oSIST prEN 13001-3-7:2019
(Main)Cranes - General design - Part 3-7: Limit states and proof of competence of machinery - Gears and gear boxes
Cranes - General design - Part 3-7: Limit states and proof of competence of machinery - Gears and gear boxes
This document is due to be used together with EN 13001-1 and EN 13001-2 and as such they specify general conditions, requirements and methods to prevent by design and theoretical verification, mechanical hazards in gear components of cranes.
This document covers the following types of gears and adjoining components, used in mechanisms for any principal movement of a crane:
- cylindrical helical and spur gears and bevel gears, with involute profile geometry;
- gears arranged in enclosed housings or as open gears;
- gears made from steel or iron and gear boxes made from steel, iron or aluminium;
- gears and pinions with lubrication;
- gear boxes and single gear arrangements with bearings and shafts supporting the gears.
The following is a list of significant hazardous situations and hazardous events that could result in risks to persons during normal use and foreseeable misuse. Clauses 4 to 7 of this document are necessary to reduce or eliminate the risks associated with the following hazards:
- exceeding the limits of strength (yield, ultimate, fatigue);
- exceeding temperature limits of material.
This document is applicable to cranes, which are manufactured after the date of approval of this document by CEN, and serves as a reference base for product standards of particular crane types.
Krane - Konstruktion allgemein - Teil 3-7: Grenzzustände und Sicherheitsnachweise für Maschinenbauteile - Verzahnungen und Getriebe
Appareils de levage à charge suspendue - Conception générale - Partie 3-7 : États limites et vérification d'aptitude des éléments de mécanismes - Engrenages et réducteurs
Le présent document doit être utilisé conjointement avec l'EN 13001-1 et l'EN 13001-2 qui ce cadre, spécifient les conditions générales, les prescriptions et les méthodes visant à prévenir les risques mécaniques liés aux engrenages des appareils de levage à charge suspendue par la conception et la vérification théorique.Le présent document couvre les types d'engrenages suivants et de composants adjacents, utilisés dans les mécanismes destinés à tout mouvement principal d'un appareil de levage à charge suspendue :
- engrenages cylindriques à dentures doites ou hélicoïdale,, à denture en développante de cercle et engrenags coniques ;
- engrenages disposés sous carters fermés ou en tant qu'engrenages nus ;
- engrenages en acier ou en fer et carters en acier, en fer ou en aluminium ;
- engrenages et pignons avec lubrification ;
- réducteurs/boite à engrenages et arrangements d'engrenages simples dans lesquels les paliers et les arbres supportent les roues dentées.
Une liste des situations dangereuses et événements dangereux significatifs susceptibles de mettre en danger la vie des personnes lors d'une utilisation normale ou d'une mauvaise utilisation prévisible de l'appareil de levage à charge suspendue est donnée ci-dessous. Les Articles 4 à 7 du présent document sont nécessaires à la réduction ou à l'élimination des risques liés aux dangers ci-dessous :
- dépassement des limites de résistance (limite d'élasticité, résistance à la traction, fatigue) ;
- dépassement des limites de température du matériau.
Le présent document s'applique aux appareils de levage à charge suspendue construits après la date d'approbation par le CEN du présent document, et sert de référence pour les normes produit des types particuliers d'appareils de levage à charge suspendue.
Žerjavi - Konstrukcija, splošno - 3-7. del: Mejna stanja in dokaz varnosti mehanizma - Zobniki in menjalniki
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
oSIST prEN 13001-3-7:2019
01-maj-2019
Žerjavi - Konstrukcija, splošno - 3-7. del: Mejna stanja in dokaz varnosti
mehanizma - Zobniki in menjalniki
Cranes - General design - Part 3-7: Limit states and proof of competence of machinery -
Gears and gear boxes
Appareils de levage à charge suspendue - Conception générale - Partie 3-7 : États
limites et vérification d'aptitude des éléments de mécanismes - Engrenages et
réducteurs
Ta slovenski standard je istoveten z: prEN 13001-3-7
ICS:
21.200 Gonila Gears
53.020.20 Dvigala Cranes
oSIST prEN 13001-3-7:2019 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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oSIST prEN 13001-3-7:2019
DRAFT
EUROPEAN STANDARD
prEN 13001-3-7
NORME EUROPÉENNE
EUROPÄISCHE NORM
March 2019
ICS 21.200; 53.020.20
English Version
Cranes - General design - Part 3-7: Limit states and proof
of competence of machinery - Gears and gear boxes
Appareils de levage à charge suspendue - Conception
générale - Partie 3-7 : États limites et vérification
d'aptitude des éléments de mécanismes - Engrenages
et réducteurs
This draft European Standard is submitted to CEN members for enquiry. It has been drawn up by the Technical Committee
CEN/TC 147.
If this draft becomes a European Standard, CEN members are bound to comply with the CEN/CENELEC Internal Regulations
which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.
This draft European Standard was established by CEN in three official versions (English, French, German). A version in any other
language made by translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC
Management Centre has the same status as the official versions.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and United Kingdom.
Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are
aware and to provide supporting documentation.
Warning : This document is not a European Standard. It is distributed for review and comments. It is subject to change without
notice and shall not be referred to as a European Standard.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2019 CEN All rights of exploitation in any form and by any means reserved Ref. No. prEN 13001-3-7:2019 E
worldwide for CEN national Members.
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Contents Page
European foreword . 4
Introduction . 5
1 Scope . 6
2 Normative references . 6
3 Terms and definitions, symbols and abbreviations . 8
3.1 Terms and definitions . 8
3.2 Symbols and abbreviations . 10
4 General requirements . 10
4.1 Gear materials and associated heat treatment . 10
4.1.1 General requirements on materials . 10
4.1.2 Impact toughness of gears . 11
4.1.3 Nitrited steels . 12
4.1.4 Ausferritic spheroidal graphite cast irons, ADI . 12
4.2 Gear housings . 12
4.3 Open gears . 13
4.4 Gear geometry/tolerances . 13
4.5 Surface quality of gears . 13
4.6 Mounting of shaft, gears and gear boxes. 13
4.7 Lubrication of gears . 14
4.8 Exchange of information. 14
5 Load actions . 14
5.1 General . 14
5.2 Load effects depending on brake torques . 15
5.3 Load actions on gears for vertical movements . 15
5.3.1 General . 15
5.3.2 Emergency cut-out, vertical movements . 15
5.3.3 Loads due to dynamic cut-off of hoisting movement by lifting force limiters . 16
5.3.4 Snag load . 17
5.3.5 Loads caused by apprehended failure of mechanism or component . 17
5.4 Load action on gears for horizontal movements . 18
5.4.1 General . 18
5.4.2 Buffer forces . 19
5.4.3 Emergency cut-out, horizontal movements . 19
5.5 Methods to derive gear torque and forces . 20
6 Proof of static and fatigue strength of gears. 20
6.1 General . 20
6.2 Application of principles of the EN 13001 series . 21
6.3 Gears for vertical movements. 22
6.3.1 Application of load class Q of EN 13001-1 . 22
6.3.2 Load actions and their numbers of occurrences . 23
6.3.3 Considerations regarding particular applications . 24
6.3.4 Fatigue of a gear under variable loading . 24
6.3.5 Proof of static and fatigue strength . 25
6.4 Gears for horizontal movements . 26
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6.4.1 Application of load class Q of EN 13001-1 . 26
6.4.2 Load actions and their numbers of cycles. 27
6.4.3 Considerations regarding particular applications . 28
6.4.4 Fatigue of a gear under variable loading . 28
6.4.5 Proof of static and fatigue strength . 29
7 Proof of competence of bearings and shafts . 30
7.1 General . 30
7.2 Proof of competence of static strength . 30
7.3 Proof of competence of fatigue strength . 31
Annex A (informative) Heat treatment of gears . 32
A.1 Quenched and tempered steels . 32
A.2 Case hardened steels . 32
A.3 Induction and flame hardened gears. 33
Annex B (informative) Risk coefficients for gears . 35
Annex C (informative) Use of a same hoisting gear in different A-/U-/Q-classes . 36
Annex D (informative) Information to be provided by the gear manufacturer . 37
Annex E (informative) Selection of a suitable set of crane standards for a given application . 38
Annex ZA (informative) Relationship between this European Standard and the Essential
requirements of Directive 2006/42/EC aimed to be covered . 40
Bibliography . 41
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European foreword
This document (prEN 13001-3-7:2019) has been prepared by Technical Committee CEN/TC 147
“Cranes – Safety”, the secretariat of which is held by BSI.
This document is currently submitted to the CEN Enquiry.
This document has been prepared under a mandate given to CEN by the European Commission and the
European Free Trade Association, and supports essential requirements of EU Directive(s).
For relationship with EU Directive(s), see informative Annex ZA, which is an integral part of this
document.
This document is one part of the EN 13001 series. The other parts are as follows:
— Cranes — General design — Part 1: General principles and requirements;
— Crane safety — General design — Part 2: Load actions;
— Cranes — General Design — Part 3-1: Limit States and proof competence of steel structure;
— Cranes — General design — Part 3-2: Limit states and proof of competence of wire ropes in reeving
systems;
— Cranes — General design — Part 3-3: Limit states and proof of competence of wheel/rail contacts;
— Cranes — General design — Part 3-4: Limit states and proof of competence of machinery — Bearings;
— Cranes — General design — Part 3-5: Limit states and proof of competence of forged hooks;
— Cranes — General design — Part 3-6: Limit states and proof of competence of machinery — Hydraulic
cylinders;
— Cranes — General design — Part 3-8: Limit states and proof competence of machinery — Shafts
[Enquiry stage].
For the relationship with other European Standards for cranes, see Annex E.
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Introduction
This European Standard has been prepared to provide a means for the mechanical design and
theoretical verification of cranes to conform to essential health and safety requirements. This European
Standard also establishes interfaces between the user (purchaser) and the designer, as well as between
the designer and the component manufacturer, in order to form a basis for selecting cranes and
components.
This European Standard is a type C standard as stated in EN ISO 12100.
The machinery concerned and the extent to which hazards, hazardous situations and events are
covered are indicated in the scope of this standard.
When provisions of this type C standard are different from those which are stated in type A or B
standards, the provisions of this type C standard take precedence over the provisions of the other
standards, for machines.
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1 Scope
This document is due to be used together with EN 13001-1 and EN 13001-2 and as such they specify
general conditions, requirements and methods to prevent by design and theoretical verification,
mechanical hazards in gear components of cranes.
This document covers the following types of gears and adjoining components, used in mechanisms for
any principal movement of a crane:
— cylindrical helical and spur gears and bevel gears, with involute profile geometry;
— gears arranged in enclosed housings or as open gears;
— gears made from steel or iron and gear boxes made from steel, iron or aluminium;
— gears and pinions with lubrication;
— gear boxes and single gear arrangements with bearings and shafts supporting the gears.
The following is a list of significant hazardous situations and hazardous events that could result in risks
to persons during normal use and foreseeable misuse. Clauses 4 to 7 of this document are necessary to
reduce or eliminate the risks associated with the following hazards:
— exceeding the limits of strength (yield, ultimate, fatigue);
— exceeding temperature limits of material.
This document is applicable to cranes, which are manufactured after the date of approval of this
document by CEN, and serves as a reference base for product standards of particular crane types.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
EN 1561:2011, Founding — Grey cast irons
EN 1563:2018, Founding — Spheroidal graphite cast irons
EN 1564:2011, Founding — Ausferritic spheroidal graphite cast irons
EN 1706:2010, Aluminium and aluminium alloys — Castings — Chemical composition and mechanical
properties
EN 10025-2:2004, Hot rolled products of structural steels — Part 2: Technical delivery conditions for non-
alloy structural steels
EN 10025-3:2004, Hot rolled products of structural steels — Part 3: Technical delivery conditions for
normalized/normalized rolled weldable fine grain structural steels
EN 10025-6:2004+A1:2009, Hot rolled products of structural steels — Part 6: Technical delivery
conditions for flat products of high yield strength structural steels in the quenched and tempered condition
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EN 10083-2:2006, Steels for quenching and tempering — Part 2: Technical delivery conditions for non
alloy steels
EN 10083-3:2006, Steels for quenching and tempering — Part 3: Technical delivery conditions for alloy
steels
EN 10084:2008, Case hardening steels — Technical delivery conditions
EN 10085:2001, Nitriding steels — Technical delivery conditions
EN 10293:2015, Steel castings - Steel castings for general engineering uses
EN 13001-1:2015, Cranes — General design — Part 1: General principles and requirements
EN 13001-2:2014, Crane safety — General design — Part 2: Load actions
EN 13001-3-1:2012+A2:2018, Crane safety — General design — Part 3-1: Limit States and proof
competence of steel structure
EN 13001-3-2:2014, Crane safety — General design — Part 3-2: Limit states and proof of competence of
wire ropes in reeving systems
EN 13001-3-3:2014, Crane safety — General design — Part 3-3: Limit states and proof of competence of
wheel/rail contacts
EN 13001-3-4:2018, Crane safety — General design — Part 3-4: Limit states and proof of competence of
machinery — Bearings
EN 13001-3-5:2016, Crane safety — General design — Part 3-5: Limit states and proof of competence of
forged hooks
EN 13001-3-6:2018, Crane safety — General design — Limit states and proof of competence of
machinery — Hydraulic cylinders
prEN 13001-3-8:2018, Cranes — General design — Part 3-8: Limit states and proof competence of
machinery — Shafts
EN 13135:2013+A1:2018, Cranes — Safety — Design — Requirements for equipment
prEN 14492-2:2016, Cranes — Power driven winches and hoists — Part 2: Power driven hoists
EN ISO 148-1:2016, Metallic materials — Charpy pendulum impact test — Part 1: Test method (ISO 148-
1:2016)
EN ISO 12100:2010, Safety of machinery — General principles for design — Risk assessment and risk
reduction (ISO 12100:2010)
ISO 1122-1:1998, Vocabulary of gear terms — Part 1: Definitions related to geometry
ISO 1328-1:2013, Cylindrical gears — ISO system of flank tolerance classification — Part 1: Definitions
and allowable values of deviations relevant to flanks of gear teeth
ISO 1328-2:1997, Cylindrical gears — ISO system of accuracy — Part 2: Definitions and allowable values
of deviations relevant to radial composite deviations and runout information
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ISO 4306-1:2007, Cranes — Vocabulary — Part 1: General
ISO 6336-1:2006, Calculation of load capacity of spur and helical gears — Part 1: Basic principles,
introduction and general influence factors
ISO 6336-2:2006, Calculation of load capacity of spur and helical gears — Part 2: Calculation of surface
durability (pitting)
ISO 6336-3:2006, Calculation of load capacity of spur and helical gears — Part 3: Calculation of tooth
bending strength
ISO 6336-5:2016, Calculation of load capacity of spur and helical gears — Part 5: Strength and quality of
materials
ISO 6336-6:2006, Calculation of load capacity of spur and helical gears — Part 6: Calculation of service
life under variable load
ISO 10300-1:2014, Calculation of load capacity of bevel gears — Part 1: Introduction and general
influence factors
ISO 10300-2:2014, Calculation of load capacity of bevel gears — Part 2: Calculation of surface durability
(pitting)
ISO 10300-3:2014, Calculation of load capacity of bevel gears — Part 3: Calculation of tooth root strength
ISO 17485:2006, Bevel gears — ISO system of accuracy
3 Terms and definitions, symbols and abbreviations
3.1 Terms and definitions
For the purposes of this document, the terms and definitions given in EN ISO 12100:2010, ISO 1122-1
and ISO 4306-1:2007 and the following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
• IEC Electropedia: available at http://www.electropedia.org/
• ISO Online browsing platform: available at http://www.iso.org/obp
3.1.1
gear box
power transmission component with gears, shafts and bearings placed in and supported by an enclosed
housing with input and output shafts
3.1.2
open gear
gear transmission where the gear parts are not supported by a compact, integrated housing structure
3.1.3
case hardening
hardening method applicable to steels, changing the chemical composition and microstructure of the
surface layer by adsorption of carbon, nitrogen or a mixture of the two and by diffusion, create a
chemical composition gradient
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3.1.4
carburize hardening depth
depth of the gear surface zone with hardness greater than 550 HV for core hardness less than 450 HV,
or greater than 650 HV for core hardness greater than or equal to 450 HV
3.1.5
induction and flame hardening depth
depth of the gear surface zone with hardness greater than or equal to 80 % of the specified surface
hardness
3.1.6
nitrided and nitrocarburized hardening depth
depth of the gear surface zone with hardness greater than or equal to 400 HV, or where the core
hardness is greater than 380 HV, depth of the gear surface zone with hardness greater than the core
hardness plus 50 HV
3.1.7
coupon
sized test piece made from a representative grade of material
3.1.8
vertical movement
movement of hoist load or of a crane part, where the slope of the path of the moved masses is 5 % or
steeper in relation to horizontal level
[SOURCE: EN 13135:2013+A1:2018, 3.29, modified — "Mass" was replaced with "masses" in the
present definition.]
3.1.9
horizontal movement
movement of hoist load or of a crane part, where the slope of the path of the moved masses is less than
5 % in relation to horizontal level
Note 1 to entry: The definition is taken from EN 13135:2013+A1:2018, 5.2.8.5.1.
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3.2 Symbols and abbreviations
Table 1 — Symbols and abbreviations
Symbols,
Description
abbreviations
C Total number of working cycles during the design life of a crane/hoist
Design numbers of working cycles for gears, vertical movements, laden (L)
C , C
GVL GVU
and unladen (U) parts of working cycles
C
Design number of working cycles for gears, horizontal movements
GH
h Height of tooth
K
Application factor, ISO 6336-6
A
m Slope of Wöhler curve, EN 13001-1
m
Rated capacity (rated load) of a crane or hoist
RC
m
Mass of the crane or hoist, relevant for a horizontal movement
DW
N Number of stress cycles
p Fatigue exponent in ISO 6336-6
R
Surface roughness
a
s , s , s , s
Acceleration and deceleration distances of movement
AL DL AU DU
S
Safety factor for tooth bending, ISO 6336-3
Fmin
S
Safety factor for surface durability, ISO 6336-3
Hmin
T Operating temperature of gear or gear box
T
Nominal torque
n
X
Average displacement of movement
lin
Y , Z
Life factors
NT NT
ϕ , ϕ , ϕ , ϕ etc.
Dynamic load factors, EN 13001-2
1 2 5 L
γ
Partial safety factor, EN 13001-2
p
γ
Risk coefficient as defined in EN 13001-2
n
γ
Specific safety factor for brakes
sB
4 General requirements
4.1 Gear materials and associated heat treatment
4.1.1 General requirements on materials
Commonly used materials for gears and their associated heat treatments are listed in Table 2.
See Annex A for more guidance on heat treatment recommendations.
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Table 2 — Typical materials for gears
Type of material Material standard Selected qualities
EN 10083-3 25CrMo4+QT 42CrMo4+QT
36NiCrMo16+QT 34CrNiMo6+QT
Quenched and tempered
6+
35NiCr QT 30CrNiMo8+QT
36CrNiMo4+QT
EN 10084 17NiCrMo6–4 16MnCr5
Case hardened
18CrNiMo7–6 20MnCr5
EN 10083-2 C45E C45R
Induction or flame hardened
EN 10083-3 37Cr4 42CrMo4
41Cr4
EN 10085 41CrMoV9
Nitrited
EN 10083-3 34CrMo4+QT 30CrNiMo8+QT
36NiCrMo16+QT
EN 1563 EN-GJS 600-3 EN-GJS 700-2
Cast iron
EN 10293 GE 300
Structural steels EN 10025-3 S420 S460
EN 10025-6 S500 S690
Other materials than those mentioned in Table 2 may be used, provided that the material properties
and characteristics are specified in a manner corresponding to referenced European Standards and
fulfil the requirements specified to the listed material qualities, especially regarding:
— chemical composition;
— mechanical strength;
— surface hardness;
— elongation at fracture;
— hardenability and the Jominy probe test results.
Verification of material properties shall be in accordance with the standards given in Table 2.
Grey cast irons, bronzes and alloys containing aluminium or zinc are not permitted for gears in
mechanisms for vertical movements.
Classification of material quality grades related to the heat treatment procedure, in accordance with
ISO 6336-5, shall be applied. Three classes ML, MQ and ME are defined. Generally, the class MQ is
recommended. Where the class ME is applied, the provisions shall be specified and the compliance with
the requirements of ISO 6336-5 be documented in detail. The class ML should not be applied for high
risk applications.
4.1.2 Impact toughness of gears
Steel qualities listed in Table 2 and delivered in accordance with the relevant standard may be used as
such for gears in operating temperatures −10 °C and higher.
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For lower operating temperatures the additional provisions of this clause shall be applied.
For materials other than case hardened, the impact toughness shall be proven with a Charpy-V impact
test in accordance with EN ISO 148-1 and the values shall meet the requirements given in Table 3.
Table 3 — Impact toughness requirements for gear materials
Operating temperature Impact test temperature Minimum impact toughness Av
−10 °C > T ≥ −20 °C −10 °C 27 J
−20 °C > T ≥ −30 °C −20 °C 27 J
−30 °C > T ≥ −40 °C −30 °C 27 J
−40 °C > T ≥ −50 °C −40 °C 27 J
For case hardened steels the impact toughness requirement is fulfilled for operating temperatures
−50 °C and higher provided that
— the steel has a content of nickel of 1,4 % or more and
— the steel has a martensitic structure on surface layer conforming to ISO 6336-5.
Special considerations regarding alloy ingredients of the steel may be needed to reach the impact
toughness.
Operating temperature is the minimum specified temperature in operating condition of the room,
enclosure or the outdoor space, where the gear is located. Benefit of any external heating system
provided may be taken into account.
4.1.3 Nitrited steels
The relevant provisions given in ISO 6336-5 shall be applied.
NOTE More guidance is provided in the Bibliography [9].
4.1.4 Ausferritic spheroidal graphite cast irons, ADI
Ausferritic spheroidal graphite cast irons are specified in EN 1564. Those materials are not in the scope
of this document, because specification of fatigue design parameters is not available in the
ISO 6336 series.
NOTE These materials could be used for internal gears in planetary gear arrangements.
4.2 Gear housings
A gear box housing shall be rigid enough in order to prevent any deformation having a detrimental
influence on the function of the gears.
Gear housings made by welding shall be stress-relieved before machining in order to guarantee their
geometric stability. Their oil tightness shall be measured and the results documented.
Gear housings in mechanisms for vertical movements shall conform to the following:
— spheroidal graphite cast iron used in housings shall have a sufficient impact toughness taking into
account the maximum wall thickness and the minimum operation temperature; the elongation at
fra
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