Engineering Structures 182 (2019) 112–122

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Engineering Structures
journal homepage: www.elsevier.com/locate/engstruct

A comparative analysis of multiaxial fatigue models under random loading T

a,b,⁎ a a c c
Ibai Portugal , Mireia Olave , Iker Urresti , Aitor Zurutuza , Arkaitz López ,
Miguel Muñiz-Calventeb, Alfonso Fernández-Cantelib
a
IK4-Ikerlan Technology Research Centre, Mechanics Area. Po J.M. Arizmendiarrieta 2, 20500 Arrasate-Mondragón, Spain
b
Universidad de Oviedo, Escuela Politécnica de Ingeniería de Gijón, Dep. of Construction and Manufacturing Engineering, C\Luis Ortiz Berrocal s/n, 33203 Gijón, Spain
c
Laulagun, Harizti Industrialdea 201-E, 20212 Olaberria, Spain

A R T I C LE I N FO A B S T R A C T

Keywords: A number of structural components, such as those related to wind turbines, are permanently subject to randomly
Component design varying load conditions during their service life and are therefore exposed to fatigue failure hazards. For this
Critical plane reason, the use of models for lifetime prediction is indispensable to ensure the structural integrity of at com-
Multiaxial fatigue ponent and the correct operation conditions during its service life. This article compares different multiaxial
Non-proportional loading
fatigue criteria, in order to promote a secure and optimal design. Orthogonal shear stress and critical plane
models based on stresses (e.g., McDiarmid and Findley), strains (e.g., Brown-Miller) and energy (e.g., Fatemi-
Socie and Smith-Watson-Topper) are therefore considered. With this goal, the effect of randomly distributed load
histories is analysed using a novel methodology based on the calculation of the stress tensor as a function of time,
by interpolating loads with those obtained from response surfaces using Finite Element Method (FEM) models.
The critical values of the selected parameters involved in the failure criterion, once estimated, are considered as
references and used to determine the fatigue damage based on the Wöhler curves of the material. The metho-
dology proposed allows the most suitable multiaxial fatigue criterion to be recognised by comparing predicted
and experimental lab fatigue lives and levels of safety reserve. In this way, a methodology is provided to advance
in the optimal test fitting and lifetime prediction of components under real fatigue conditions.

1. Introduction behaviour of which varies.

Industrial components such as bearings, gears, rail-wheels, and
cams [1] are usually subjected to thermal treatments in order to achieve
a targeted hardness at each layer. For this reason, evaluating the da-
mage suffered by these components under random loading is a complex
task, the solution to which remains an open issue today [2,3]. Appli-
cation to each particular industrial case presents specific factors that
make it unique [1]. Despite their different kind of application and
loading conditions, they are exposed to a phenomenon that acts on such
components in a similar typical fashion [4]. The primary goal of this
paper is to provide a methodology capable of predicting the initiation of
the failure of a component by taking into account rolling contact fatigue
(RCF) and random loading prevailing conditions.
Real components usually undergo varying direction and magnitude
loads over time; therefore, the problem should be analysed as a general
case of non-proportional multiaxial loading, including uniaxial loading
[5]. A clear example of this loading condition is the bearing of a wind
turbine, which is exposed to loads originating from the wind, the
Although wind turbine loading is considered random, it has a clear
pattern, which is why the loads are divided into so-called events.
Changes in wind direction are determined by geography, climate con-
ditions, etc. In seaside locations in particular, the direction also varies
from day to night. The turbine’s yaw control system makes the rotor
rotate until it faces the mean wind direction of the present event. Since
the control is oriented to the mean values, the short-term fluctuations
are the source of the fatigue loading [6]. The blades of the wind turbine
themselves also influence the loading due to the centrifugal forces of
the rotation, as well as the gravity. Another important part of wind
turbines is their pitch. The control of this component ensures that the
blades are always oriented to the desired angle, meaning that the wind
will hit the blades, and their orientation will aid the optimum rotation.
The cases studied in this paper are bearings located at the union of
the hub with the blade of the wind turbine, since these bearings are
suitable examples of the case described above (i.e., a number of dif-
ferent wind events with random loading). Additionally, the balls roll on
the raceway of the bearing due to the side-effect of the pitch oscillation,

⁎
Corresponding author at: IK4-Ikerlan Technology Research Centre, Mechanics Area. Po J.M. Arizmendiarrieta 2, 20500 Arrasate-Mondragón, Spain.
E-mail address: iportugal@ikerlan.es (I. Portugal).

https://doi.org/10.1016/j.engstruct.2018.12.035
Received 30 May 2018; Received in revised form 22 November 2018; Accepted 11 December 2018
0141-0296/ © 2018 Elsevier Ltd. All rights reserved.
I. Portugal et al.
Nomenclature
Latin characters
BM Brown-Miller parameter [Pa]
E Young’s modulus [Pa]
Fi Findley parameter [Pa]
FS Fatemi-Socie parameter [Pa]
i number of the event iteration
k material constant
McD McDiarmid parameter [Pa]
N number of cycles for fatigue failure
n number of repetitions of the event
R stress ratio
Rm mechanical strength [Pa]
S distance between balls [deg]
SWT Smith-Watson-Topper parameter [Pa]
t fatigue limit [Pa]
Q load [N]
z depth [m]
emphasising the need to analyse the effect of RCF.
Strong shear stresses produced by a rolling element pushing a
considerable load on the raceway are the main reason for crack in-
itiation by RCF phenomenon. Such stresses are induced by the constant
motion of the rolling element on the component while carrying a cer-
tain amount of load. Although the normal stresses have less influence,
they should not be considered negligible either. If the component is
properly mounted, aligned, lubricated, maintained and not overloaded,
the reason of reaching failure is RCF [7].
The state of stress in non-conformal contacts is complex, multiaxial
in type, and governed by the Hertzian contact theory [8]. According to
the Hertzian contact model, however, the pressure applied at the sur-
face provokes the extension of stresses throughout the subsurface. A
significant amount of data provided by the existing literature identifies
the distribution of shear stress and strains as the primary reason for
crack initiation, although the possible effect of the normal stresses
should not be excluded [9]. While most classical fatigue cases are ca-
tegorised as uniaxial fatigue mechanisms, RCF is typically a multiaxial
fatigue mechanism [10–14] in which the components of the stress
tensor history are not proportional to each other in the subsurface [15].
Classical fatigue methodology does not take into consideration a hy-
drostatic stress component, which is present in non-conformal contacts
[4,16]. For this very reason, a new point of view is required for such
cases. Because the principal axes change direction repeatedly during a
stress cycle, it is difficult to identify the planes where the maximum
fatigue damage occurs [5,7]. Rolling contact fatigue occurs inside a
very small volume of stressed material, because the contact stress field
is highly localised [17]. The stress volume is the product of the max-
imum stress depth and the contact track area.
A rotating bearing has a limited lifespan due to subsurface-initiated
fatigue. The extremely high level of contact stress on the surface pro-
duces this fatigue, although it is not enough to surpass the Hertzian
maximum stress. The contact loads are transmitted through the body as
stresses. The material will usually have an elastic response; however,
after a high number of cycles, this response can be compromised by
microstructural changes resulting from microplastic deformation. When
this happens, a crack originates under the surface. As the activity
continues, the crack is propagated until it reaches the surface and be-
comes visible to the eye. The subsurface crack originates from the re-
gion of the maximum shear stress [15].
When predicting the RCF life of rolling bearings, the International
Standard currently assumes an initial prediction of the rating life based
on statistical methods like International Organisation for
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Engineering Structures 182 (2019) 112–122
Greek characters
α width [deg]
β length [deg]
γ shear strain
Δ range
∊ strain
φ plane orientation [deg]
θ plane orientation [deg]
σ stress [Pa]
τ shear stress [Pa]
Subscripts
()a amplitude
()BM normal strains effects coefficient
()Fi Findley constant
()FS Fatemi-Socie constant
()max maximum
()n normal direction
Standardisation (ISO) 281 by defining the survival life of the compo-
nent. The general assumptions in this approach are only applicable if
the rolling element remains in constant motion. In cases where the
rolling element is oscillating, alternative assumptions must be set up
because the behaviour of the subsurface varies with radial loads and
pure oscillations. Furthermore, when the oscillations happen under bad
lubricant operation conditions, the comparison cannot be simplified by
resorting to a reverse security factor [18].
The main purpose of this paper is to analyse and compare the re-
sponses to a RCF example provided by different well-known multiaxial
fatigue models in order to elucidate how well they approach to the lab
experimental results or even the real design predictions. For the solu-
tion of such a complex problem, a number of theories have been pro-
posed in order to establish the criteria that can be applied to the design
of any real case, instead of resorting to the ISO281 methodology, which
is considered conservative [19].
The regular, simplest way to estimate the fatigue life of a component
consists in predicting how many cycles are needed to reach failure
based on Wöhler curves, which relate both stresses and strains with the
lifetime. Since Wöhler curves only provide the lifetime for constant
stress or strain ranges, a damage accumulation rule is necessary to
convert the real load history into an equivalent one for the same
number of cycles and constant stress or strain range. By all standards,
the Palmgren-Miner rule is the most recommended damage calculating
procedure, allowing the damage accumulation to be calculated in a
simple way for the given, usually random, loading conditions [20]. The
aforementioned procedure can be improved by introducing a prob-
abilistic concept, both into the Wöhler (or S-N) curves, and the
Palmgren-Miner damage rule [21].
In this paper, a methodology for checking the safety conditions of
wind turbine bearings is proposed. It allows for the recognition of the
most suitable multiaxial fatigue criterion for practical design.
This paper is organised as follows: first, the multiaxial fatigue
models considered in this paper are briefly described and compared.
Next, the procedure of the proposed methodology is presented.
Thereafter, the application of the methodology to some experimental
program results is introduced and discussed. Finally, the conclusions
derived from the present work are summarised.
2. Multiaxial fatigue models
In this article, the applicability of some currently used multiaxial
fatigue methods is analysed, focusing on the calculation of the damage
I. Portugal et al. Engineering Structures 182 (2019) 112–122

magnitude at every plane and making possible the recognition of the models to the particular problem presented. In this paper, some well-
prospective critical plane. Critical plane theories are grounded on a known multiaxial theories are introduced and applied. The optimal
physical interpretation of the prospective fatigue damage mechanism model is recognised via the results analysed and according to their
[22,23]. These criteria propose failure criteria involving shear and suitability to the applied case of wind turbine bearings. Table 1 pro-
normal directional stresses and strains together with fitting parameters vides a summary of these models, including graphical representations
related to the material concerned [23–26]. In the critical plane and the corresponding defining equations.
methods, the final damage considered at the examined point is identi-
fied, with the maximal damage found on a specific plane being de-
2.1. Orthogonal shear model
terminant among all the examined ones. This sample of criteria pre-
sumes that there is a unique critical plane where the maximum value of
Lundberg and Palmgren have suggested that when pure rolling is
damage is reached. The external loading and material parameters
occurring on a raceway, the critical stress is represented by the ortho-
therefore influence the critical plane position, whereby different as-
gonal shear stress on planes parallel to the surface. This parameter’s
sumptions are proposed to determine its orientation. It remains an
value is equated with the greatest value under the surface on a plane
important question concerning this solution that there can be more
inclined 45° [30]. The maximum value of the shear stress of the rolling
planes subjected to very high stress and strain levels, although no in-
element wheeling around the width axis is the orthogonal shear. This
teraction among these potential failure states is expected [13].
means that the orthogonal shear is the amplitude of the maximum
A number of the different multiaxial fatigue models presently used
range of that stress, taking into account that in RCF, the maximum and
utilises a reference parameter to evaluate the damage induced at both a
minimum values have the same absolute values.
certain location and orientation as a result of loading acting on the
component. The equivalent number of cycles is referred to as the life-
time elapsed during the initiation phase. At this point, crack propaga- 2.2. McDiarmid multiaxial failure criterion
tion begins and the additional number of cycles to achieve failure is
considered to be negligible as compared with those occurring during This criterion was developed for cases of multiaxial fatigue where
the initiation phase. None of these models are generally applicable, so the initiation of cracks occurs, mainly because of shear stresses. It is
the optimal model can be ascertained only after the application of all included as a critical plane criterion, which are so named because they
highlight the plane or orientation where one of the stress components

Table 1
Summary of multiaxial fatigue models [29].
Criterion Schematic representation of critical values Definition

Orthogonal shear Δτmax

2

McDiarmid [11] McD =

Δτmax
+
t
σ
2 2 Rm n, max

Findley [4] Fi =
Δτmax
+ kFi σn, max
2

Brown-Miller [27] BM = γa + kBM εn, max

Smith-Watson-Topper [28] εn, max

SWT = σn, max
2

Fatemi-Socie [28]
(
FS = γa 1 + kFS
σn, max
Rm )

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I. Portugal et al.
or parameters reaches the maximum value, in this particular case re-
ferring to the variation of the shear stress along a load cycle [5,11,12].
The crack initiation can mainly be attributed to the action of shear
stresses, while the normal stress component acts as a secondary para-
meter (see Table 1). Eq. (1) the multiaxial parameter as follows:
Δτmax t
McD = + σn, max
2 2 Rm (1)
where Δτmax is the maximum range of the shear stress, t is the fatigue
limit, Rm is the mechanical strength and σn, max is the maximum value of
the normal stress [11].
2.3. Findley multiaxial failure criterion
According to Findley’s criterion, fatigue failure occurs when the
shearing stress amplitude and the acting normal stress coincide in the
same plane. This way, the constant strength decreases proportionally to
the maximum normal stress, which is the sum of the normal stress
amplitude and the normal mean stress (see Table 1) [7,31]. Based on
the same premises as McDiarmid’s criterion, initiation damage is de-
termined by the shearing stress amplitude at a certain location and
plane, as demonstrated in Eq. (2):
Δτmax
Fi = + kFi σn, max
2 (2)
According to Eq. (2), the normal stress is the sum of the normal
stress amplitude and normal stress mean values [31], though unlike in
McDiarmid’s proposal, it must be multiplied by kFi , a material constant,
to be determined experimentally [4].
2.4. Brown-Miller multiaxial failure criterion
After observing the early growth of microcracks, Brown and Miller
proposed the consideration of the normal and shear strains on the
maximum shear plane where multiaxial fatigue occurs for low cycles
(see Table 1).
This criterion combines tension and torsion test results at a constant
shear strain range. Two parameters related to shear and normal strains
are considered in order to describe the fatigue lifetime, as demonstrated
in Eq. (3) [27].
BM = γa + kBM εn, max (3)
where γa is the shear strain amplitude, εn, max is the maximum value of
the normal strain, and kBM , the normal strain effect coefficient [27].
Fig. 1. Methodology summary.
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Engineering Structures 182 (2019) 112–122
2.5. Smith-Watson-Topper multiaxial failure criterion
In this criterion, the influence of the shear stresses is disregarded.
The reference parameter is the product of the maximum principal
normal stresses and the maximum principal strains in the plane where
the range of the maximum principal strain is produced (see Table 1).
When the load cycle is non-proportional, the application of this para-
meter becomes more complicated due to the rotation of the principal
directions. In this case, the Smith-Watson-Topper (SWT) parameter is
defined as the maximum of all possible orientations of the product
between the strain amplitude and the maximum normal stress [28]. Eq.
(4) the parameter as follows:
εn, max
SWT = σn, max
2 (4)
2.6. Fatemi-Socie multiaxial failure criterion
This criterion also focuses on materials that fail by shear strains.
Additionally, it introduces a parameter that reflects the crack initiation,
which is the normal maximum stress perpendicular to the plane where
the maximum growth of shear strains occurs (see Table 1) [28]. The
Fatemi-Socie criterion (whose parameter is (FS)) returns to the shear
effect by taking into account the shear strain range rather than stresses
(see Eq. (5)). Additionally, it includes the normal maximum stress
perpendicular to the plane that contains the maximum growth of shear
strains, which happens to be a magnitude influencing the orientation of
crack initiation [28]:
σn, max ⎞
FS = γa ⎛1 + kFS
⎜ ⎟
⎝ Rm ⎠ (5)
3. Methodology description
The methodology proposed in this article suggests evaluating the
fatigue life of components, particularly bearing raceways, subject to
RCF and random loading. Based on bearing geometry, fatigue damage
calculations were performed using the time-series of different wind
scenarios, or events.
The evaluation of the damage level in a component under multiaxial
random loading requires the application of a stepwise methodology
consisting of: (a) Numerical calculation of the stress and strain dis-
tribution using a FEM geometry of a ball contacting the bearing ra-
ceway section, considering those stresses on the elastic field; (b) a load
history definition including cycle counting, which represents a serious
I. Portugal et al.
concern in the analysis since the extreme values of the normal and shear
stresses or strains do not always coincide in time [32]; (c) selection of
the fatigue model and the corresponding failure criterion; (d) definition
of the S-N curves of the material; and (e) evaluation of the expected
damage level for each model.
Fig. 1 summarises the methodology [32], which is described in the
following subsections in order to reveal the complexity of this metho-
dology and demonstrate how the conclusions of this paper have been
reached.
3.1. Numerical calculation of the stress and strain distribution
The values of stresses and strains were obtained using numeric si-
mulations by response surfaces. The resulting solution are a series of
data containing the stresses and strains, which are essential for further
interpolations in order to define the stress and strain values for every
load value and location within the analysed time-series.
Since collecting a large amount of data would be unnecessarily time
consuming during the interpolation stage, only some chosen input va-
lues of α , β , and z were collected. These input values were selected
binning the obtained large vectors. The intermediate input values were
therefore ignored since the variation effect is small. After calculating
the balls’ load distributions and the position of each ball on the raceway
during the entire history, stresses and strains were calculated by in-
terpolating the values previously obtained from the numeric simula-
tion. This provided the stress and strain tensors, defining the load his-
tory in a three-dimensional way. Equivalence criteria were then applied
in order to calculate the principal axes’ stresses and strains instead of
using the six tensor components, which simplified the work in the fol-
lowing steps. A more detailed explanation of this step is provided in
[13,32]. Fig. 2 illustrates the usual stress state following the metho-
dology, where there is not any correspondence between the normal and
shear stresses. This lack of correspondence leads to the problem ex-
plained in the next subsection.
3.2. Cycle definition
The main issue caused by this type of problem is the definition of
the cycle in order to apply the rainflow algorithm to the tensor com-
ponent vectors to obtain the corresponding stress or strain amplitudes
and mean values. Nevertheless, it must be clarified that there are two
different definitions of cycles. The first one concerns the motion be-
tween the rolling element and the raceway, categorising the motion as a
cycle when a full oscillation occurs or when, in a rotation, a rolling
element reaches the initial position of the adjacent element. However,
this paper analyses a quandary where this cycle is not completed.
Because of this reason, a second concept, which is the one used in this
paper, refers to the amplitudes between the peaks or valleys of the
stress vector.
The randomness that occurs when defining the loads and the com-
plexity in the derivation of stresses and strains according to the mul-
tiaxial fatigue models, makes it necessary to obtain a different number
of cycles for the normal and shear stress/strain due to the unilateral
analysis of both vectors. Fig. 3 illustrates this idea, where the normal
and shear stresses’ peaks and valleys are illustrated after the rainflow
algorithm has been applied. Two vectors of different length result,
which means that it is not possible for them to coincide with all of the
cycles at the same time. Two factors influence the complexity of the
cycle definition and its subsequent application to estimate the damage
at a certain location point: (a) the application of the rainflow counting
method, which destroys the original sequence of the stress and strain
history, and (b) the lack of correspondence between maximal and
minimal values’ location in time of stresses and strains. Both reasons
impede the consequent conversion of the stress and strain history into
equivalent amplitudes. Because of this, the resulting vector of the shear
stress/strain is only used to define the initiation and end of the cycles
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Engineering Structures 182 (2019) 112–122
[32], since the shear stress and strains are the main crack initiation
influencing factors in RCF-type loading [13]. The behaviour explained
above does not allow the cycles to be gathered into common values,
which means that there is not any repetition of the stresses’ or strains’
amplitudes and mean values. In this way, every cycle exhibits its own
maximum normal stress or strain, as well as the amplitude and mean
values of the shear stresses or strains. Each model calculates its damage
value according to the equations listed in Table 1.
3.3. Calculation of damage
As previously explained, the parameter value of every model is
calculated using the equations from Table 1 based on the parameters
obtained from each load cycle. The damage value is obtained using the
Wöhler curves (widely explained in the example from Section 4.2) and
Miner’s rule. Damage, however, is calculated at each cycle, meaning
that the total damage is the sum of the particular damage of each of the
cycles. Additionally, the load history is the sum of the cycles in an event
multiplied by its concurrence, which is the number of repetitions of the
corresponding event. Thereafter, by considering the rotation of the
planes, the critical plane is chosen as that corresponding to the highest
value. The resulting damage value corresponds to a certain position on
the bearing, and the process is repeated in every position until the
critical area on the raceway is finally identified.
4. Example of application: wind turbine bearing under RCF
A real case of a wind turbine bearing was considered for the com-
parative analysis of the suitability of the multiaxial fatigue models in-
troduced in Section 2. The raceway material was 42CrMo4 steel alloy,
and the bearing was exposed to different types of events. The reason
that the load history was divided into events is that there are different
wind scenarios (including speed and force) and their respective pitch
control. The events may have different durations and are repeated
different numbers of times (i.e., concurrences). The sum of the events’
duration multiplied by the concurrence is the total estimated life of the
bearing.
This section explains the geometry and material of the exposed case,
the applied load, and the consequent damage calculation. Finally, an
innovative subsection is introduced, in which the influence of the initial
ball position at the starting time of each event is analysed.
4.1. Geometry and material
The example studied corresponds to a coupling hub and blade
bearing union (see Fig. 4).
The numerical procedure applied to obtain stresses and strains is
explained in Section 3.1. The obtained results are defined as four input
argument functions, namely: Q (loading value in Newtons), z (depth in
mm), β (length in degrees) and α (width in degrees). β and α are
Fig. 2. Stress state.
I. Portugal et al. Engineering Structures 182 (2019) 112–122

Fig. 3. Number of peaks and valleys of the normal and shear stress.

Accepting that the multiaxial stress or strain parameter rather than

the uniaxial stress is the reference parameter to be considered in the
representation of the S-N field, the original S-N field provisionally re-
ferred to as Δσ can be transformed in relation to the parameter-stress.
Accordingly, a new transformation to shear stress-based criteria is ea-
sily reached by simply dividing by the square root of three, as stated in
the literature [39].
In the same way, under the assumption of the elastic behaviour of
the material the stress ranges that arise during the wind turbine service,
Fig. 4. Both rows of a bearing.
a direct transformation could be performed by applying Eq. (6), which
represents the relation between the stress and strain through the fol-
measured in degrees in order to adapt the definition of the critical point lowing Young’s modulus of the σ -∊ curve:
location to particular geometries, such as non-parallelepiped shaped
bodies (see Fig. 5). The same parameters were used when defining any σ = Eε (6)
position inside the bearing. where σ is the stress value and ε is the strain value. The Young’s
The primary mechanical properties of the example’s material are modulus for the 42CrMo4 steel is E = 210 GPa [35].
provided in Table 2. In multiaxial models, where simultaneous consideration of stresses
and strains are required (for instance SWT and FS), the ∊-N curve is
4.2. Determining the Wöhler field required, in addition to the S-N field. Provided that those elastic con-
ditions prevail during the wind turbine’s functional period, a direct
For the purpose of damage assessment, the material’s fatigue conversion can be performed from the S-N and ∊-N field to SWT-N or FS-
properties, as defined by the S-N field according to the model of N [40].
Castillo-Canteli [36], were determined in an experimental program
carried out at the Laboratory of Structural Mechanics at the University
4.3. Damage value assessment
of Oviedo. Once the model parameters were estimated, the model
provided the analytical expression of the probabilistic S-N field, parti-
The events of the example have been obtained from the probability
cularly allowing the 97% survival curve (i.e., the percentile curve
analysis of a real case. The analysis includes forces, pitch control, the
corresponding to 3% probability of failure) to be defined. Since the S-N
number of events, and their concurrence.
field was defined for a particular R stress ratio (in this case, R = 0.1),
The stress and strain tensors were calculated in any desired bearing
the Goodman correction had to be applied in order to extend the ap-
position based on the response surfaces of the example following the
plicability of the S-N field to another stress rate, such as R = −1, see
previously described steps. Afterwards, the values of the different
also [37,38].
model parameters were obtained during the bearing’s service life.
In this case, there are two aspects to consider: (a) the probability of
Fig. 6 illustrates the percentage of the total damage corresponding
failure, which requires referring the assessment of the experimental
to each event. The pie chart is similar for all the analysed models and
results to the 97% probability of failure, and (b) the scale effect be-
tween specimen and bearing size and shape. In the first case, the cor-
responding 3% percentile Wöhler curve was obtained. In the second
case, the conversion concerned the stressed volume of the tested spe-
cimen and the elementary volumes (in this case, identified as those of
the finite elements), each of which were subjected to certain stress and
strain conditions throughout the load history.
The analysis of the probabilistic S-N field proves that if lower
probabilities of failure were considered in the analysis, the experi-
mental results presumably referred to the 97% probability of failure
would have to be shifted down the S-N curve, see also [36]. Fig. 5. Representation of α, β and z parameters.

117
I. Portugal et al.
Table 2
Material properties considered in the example.
Material 42CrMo4
t 450 MPa [33,34]
Rm 1100 MPa [33,34]
kFi 0.3 [4]
kBM 0.3 [27]
kFS 1 [28]
E 210 GPa [35]
Fig. 6. Percentage of each event of the total damage.
clearly indicates that there was an event that represents about 30% of
the total damage. The reason for the high incidence of this event is that
it is characterised by high concurrence and little ball oscillation, which
causes the stresses to be highly localised, thus concentrating damage at
that point.
Fig. 7 illustrates the damage values obtained for the different po-
sitions analysed in this primary study. Each of the lines represents a
model. The figure demonstrates that every model exhibits the same
trend, meaning that peaks and valleys coincide in the same positions.
Fig. 8 displays the dimensionless damage values for every plane at
the most critical position for the different multiaxial models included in
this study using Miner’s rule, which represents the sum of all the inverse
Fig. 7. Critical positions of all models.
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Engineering Structures 182 (2019) 112–122
rates of the number of cycles to failure for the parameters used in the
appointed model. In fact, all critical plane models (orthogonal shear is
not a critical plane model) have their critical planes at the same loca-
tion. The highest values are usually concentrated in a zone so that small
differences are expected for the highest damaged plane; however, da-
mage according to the critical plane in the Smith-Watson-Topper model
stands out more clearly, which means that it is more difficult for an-
other plane to overtake this critical one, at least compared to other
models, decreasing the global probability of failure.
Finally, Fig. 9 illustrates the most critical values for each model,
making it possible to perform a direct comparative analysis among
them. In this comparison, it is important to recall that the orthogonal
shear model, which is the one used by the ISO standard, is the less
conservative one, thus contradicting the belief that the ISO is a con-
servative standard. It is true, however, that ISO follows its own meth-
odology making it difficult to compare directly both results, the dif-
ference of the values is big enough to consider that ISO assumes too
conservative safety factors. Among the different models, McDiarmid’s is
the most conservative. Note that because McDiarmid and Findley’s
models are similar, though based on different constants, the ratio be-
tween the two remains constant.
4.4. Influence of the initial position of the ball at each event
The values indicated in Section 4.3 were obtained under the as-
sumption of the balls always staying at the same position at the be-
ginning of each event (see Fig. 10). This is a strongly conservative as-
sumption that implies that the balls remained at the zero position, thus
disregarding the real ball sequence at which events succeed. Further-
more, this is the most critical case among all possible cases.
Since the influence of the initial ball position is found to exert a
notable influence on the damage calculation, a new, more realistic
though less conservative assumption is proposed.
4.4.1. Random initial position of balls
The second hypothesis was based on the possibility of sliding be-
tween the balls and the raceway. This means that predicting the initial
ball position at the beginning of each event was only possible in
probabilistic terms. Assuming this, and taking into account a large
number of events and their concurrence, the probability of a ball being
at any particular location tends to a uniform distribution. The results of
this case study suggest a redistribution of the previously localised, da-
maged zones over the distance between two balls.
An example is illustrated in Fig. 11. In this example, an event has a
concurrence of n times. If the probability of staying at any certain
I. Portugal et al. Engineering Structures 182 (2019) 112–122

Fig. 8. Damage distribution for the prospective critical planes according to the different multiaxial fatigue models.

Fig. 9. Critical damage values of all models for case 1.

Fig. 10. Ball initiation position for case 1. Fig. 11. Ball initiation position for case 2.

position follows a uniform distribution, n time-series can be considered,
in each of which the balls are slightly displaced. This characteristic
displacement is the distance between balls (S° in the example) divided
by n, and the replication number is labelled i. As such, the total damage
found in the previous case is expected to be distributed uniformly along
each S° area.
An additional analysis was added to the first case in order to achieve
more accurate results, focusing the attention on the most damaged
zones and performing the analysis at discrete distances no greater than

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I. Portugal et al. Engineering Structures 182 (2019) 112–122

one tenth of the distance between the two rolling elements. The damage
analysis was performed accordingly at the localised zones so that its
probabilistic prediction as a function of the initial ball location was
possible.
Three exemplary events are illustrated in Fig. 12. The blue line re-
presents the damage values when the initial position of the ball is fixed,
while the red line represents the damage distribution when the initial
ball location is uniformly distributed so that every initial location has
the same probability of occurrence at any point. Following the ex-
planation provided in Fig. 11, if the blue line values are divided by their
concurrence and the curve is displaced in such a way that every value is
measured from each discrete position, the total sum represented by the
red line can be considered the mean value of the blue line.
The first event involved fairly concentrated damage, which was
softened along the distribution by the new approach. As such, events
similar to those represented by the other two cases would attain higher
damage levels due to a more uniform distribution.
Fig. 13 illustrates the new damage distribution per event and in-
dicates that no event stands out. Instead, the chart demonstrates small
differences between the events. Fig. 13. Percentage of each event of the total damage with random initial po-
The final results for all models in this case are significantly lower sition of balls.
than for the previous case. Whereas Case 1 was the most critical pos-
sible case, Case 2 would be the most ideal one. Common sense indicates probability of surpassing the safety damage level. As an example, Fig. 8
that real results must range between the two limits corresponding to the indicates that the Smith-Watson-Topper model reaches lower prob-
two former cases. All results are illustrated in Fig. 14. ability of fatigue failure than the remaining models, despite the fact that
It is important to recall that the orthogonal shear model does not similar maximum damage values are obtained. This emphasises the
imply the analysis of the critical planes, which is the reason for having necessity of introducing the S-N field in a probabilistic way (i.e., as
lower values. McDiarmid provides higher damage values than the other percentile curves of failure) as the suitable method of analysing the
four models, which at least provide results at the same damage level. fatigue life of components, see [21,25,41]. In any case, this question is
Finally, the damage value provided by the ISO standard is only sur- outside the scope of this paper, in which a simple comparison of some
passed by the McDiarmid model, which represents the most con- multiaxial models and the possible influence of the initial ball location
servative criterion among the cases studied. This means that its prob- is revealed from a deterministic perspective. A more consistent prob-
ability is on the safe side compared to the ISO standard as suggests the abilistic analysis is therefore expected to be undertaken in future re-
difference of values between those given by the paper’s models, and search line.
ISO’s, in spite of having followed another methodology. The damage values predicted by the orthogonal shear model are
significantly lower (i.e., too optimistic) than those provided by the re-
5. Discussion maining multiaxial damage criteria. This appears to contradict the
unexpected conservative lifetime estimation provided by the ISO stan-
The analysis of the global damage distribution at the possible cri- dard, when compared to the results found for all the multiaxial criteria
tical planes indicates that not only the maximal damage value occurring considered in this study. This apparent contradiction may be explained
at the critical location is of significance. In fact, if two multiaxial cri- by the excessive life safety factors introduced by the ISO standard with
teria lead to similar maximal damage values at the respective critical the goal of compensating for the negative influence of lubrication and
planes, but only one of them exhibits multiple planes with similar da- contamination, which reduce the bearing life. In other words, when
mage values to the critical plane, the former criterion has a higher applying the methodology recommended by the ISO standard to the

Fig. 12. Damage distribution as influenced by sliding.

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I. Portugal et al.
Fig. 14. Critical damage values for all models comparing both cases.
reliability assessment of wind turbine bearings, such as those handled
in this paper, a conservative lifetime prediction is confirmed. This
succeeds only after application of a convenient safety factor in order to
ensure the desired low probability of failure occurrence. This fact em-
phasises the convenience of developing a consistent probabilistic con-
cept in the design of wind turbine bearings, based on a probabilistic
definition of the S-N field and corresponding interpretation of the Miner
cumulative damage rule, see [21,36]. In this way, a potentially non-
conservative model becomes a conservative one, thus ensuring the
safety of components and structures subject to fatigue loading.
The initial ball position markedly influenced the damage estima-
tion. Two different cases were investigated. In the first one, a fixed
initial ball position was assumed, which undoubtedly represented un-
justifiable and overly conservative damage estimation, whereas the
second case assumed the initial position of the ball to be random. After
a number of events and concurrences occurred, a scenario with a
random initial ball position was assumed, where the probability of the
ball being located at each point between two possible extreme positions
was given by a uniform frequency distribution function. In a real
component where a limited number of events and concurrences are
expected, the resulting damage level is supposed to reach an inter-
mediate state between both bounds, but closer to the most conservative
case.
Among the possible alternative solutions concerning the initial ball
position, the first one is provisionally recommended in order to be on
the safe side. The results corresponding to the ideal case, in which
uniform distribution of the initial ball position is assumed, however,
seemed to correspond better with the real conditions, although sliding
is unlikely to occur because it should occur for all the balls at the same
time. The further the results lie from the fixed initial ball position as-
sumption, the less over-designing is favoured, leading to a decreased
manufacturing cost. Further study concerning sliding occurrence and its
repercussions on the damage level is therefore recommended.
After an individual analysis of each event, it can be concluded that
concurrence is the most influential factor, though not the only one to be
considered. This conclusion is based on the results illustrated in Fig. 6
after estimating the damage value provided by each event. The most
critical event is the most frequently concurring one; however, the
parameter values of this event are not the highest ones. In any case, the
parameter values play a secondary role.
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Engineering Structures 182 (2019) 112–122
6. Conclusions
The primary conclusions drawn from this paper are the following:
• An investigation was performed concerning the damage states
reached as measured by different multiaxial criteria in wind turbine
bearings subjected to random loading. The damage results indicate
similar allowable magnitudes, demonstrating that the different
multiaxial models applied are reasonable candidates for the design
of such components under complex loading cases.
• Critical plane models allow the damage to be studied at different
cracking orientations. Moreover, a pattern was observed; all the
models have critical planes ranging between θ = [30° −60°] and
φ = [5° −15°]. This suggests a computational time saving by lim-
iting the analysis to only these ranges. Among the studied models,
McDiarmid’s is the most conservative one, whereas Findley, Fatemi-
Socie and Brown-Miller’s criteria are increasingly less conservative.
Smith-Watson-Topper, being a model that calculates normal stress
and strain based on the cycles extracted from the shear direction,
leads to some uncertainty, resulting in the greatest scattering of
results.
• The orthogonal shear model currently recommended by the ISO
standard underestimates the damage levels compared to the other
models. In spite of this, the life modification factors considered by
the ISO standard provide too conservative of results when compared
with those provided by the remaining multiaxial criteria, as high-
lighted in the authors’ proposal.
• A new methodology for bearing design is presented as an alternative
to the orthogonal shear model currently recommended by the ISO
standard. The application of this methodology to a real case con-
firms its capability of assessing damage for bearing lifetime pre-
diction for any kind of loads and pitch-control motion.
• The initial ball position was proved to exert a remarkable influence
on the damage value. Two different approaches were used to study
the initial ball position. On the one hand, an initially always coin-
ciding ball position implies the most unfavourable damage result
representing a too conservative case, whereas according to a more
realistic assumption, the initial ball position is assumed to be
random following a uniform distribution between the two possible
extreme positions. Finally, it can be concluded that in a real loading
case damage will reach a value between the previous values but
closer to the first.
I. Portugal et al. Engineering Structures 182 (2019) 112–122

• The advances achieved in the design of bearings can be extended to prediction of large-size low-speed slewing bearings. Mech Mach Theory
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