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FAILURE AND MANAGEMENT OF MAINTENANCE AND REPAIR By Dr. Charles M.M. Ondieki, 1.

INTRODUCTION: Failure may be defined as the termination of the ability of an item to perform its required or specified function. It can also be defined as significant deviation from the expected (designed) performance of a system. There are two categories of failure: (a) Catastrophic failures which result in an immediate inability of a system to achieve its function. (b) Performance failures associated with a reducing performance of the equipment. 2. SYSTEM FAILURE AND COMPONENT FAILURE In practice it is very important to distinguish failure of the system from failure of a component within the system. System failure refers to the entire system or mission failing, whereas component failure refers to failing of individual components of a system. Component failure may not necessarily imply complete failure of the system or mission. There are many such examples in practice. For example, if the shock absorber on your car completely breaks down, you can still drive the car for quite some distance but slowly of course. To decide when a complex system has failed is by itself a complicated exercise which could include the knowledge of the expected level of performance, safety regulations in use, control systems used and protection systems used e.g. automatic shutdown, restricted plant operation. 3. FAILURE CLASSIFICATION The term "failure" or "fault" may be viewed from different angles according to the effect which the lack of performance has on the overall functional capability. Such aspects as economic viability, safety, engineering complexity, speed, causal influences provide classifications leading to a description of failure. There are six types of classification of failures 3.1. Classification according to engineering complexity According to engineering complexity, there are two distinct classes of failure: (a) Intermittent failure: failure which results in a lack of some function for a short period of time, the component reverting to its full operational performance later. (b) Permanent failure: failure which results in total lack of some function. This will last until the component is replaced or repaired. 3.2. Classification of Permanent failure according to the Degree of Failure Permanent failures may be further subdivided into two, namely: (a) Complete failure: failure which causes a complete lack of a required function. Note that in some cases the limit when a lack of function is said to be complete is debatable depending on the application; (b) Partial failure: failure which leads to a lack of some function but not such as to cause complete lack of the specified function. 3.3. Classification of permanent failure according to the speed of failure Both complete and partial permanent failure may be further classified according to the speed (suddenness) with which failure occurs: (a) Sudden failure: failure which could not be forecast by prior testing or examination i.e. unpredictable failure; (b) Gradual failure: failure which could have been forecast by thorough and careful testing examination i.e. predictable failure. 3.4, Classification according to the degree and speed of failure 1

Both failure from in 4.3.2 and 4.3.3 above can be combined to give the following further classifications: (a) Catastrophic failures: failures which are both sudden and complete, (b) Degradation failures: failures which are both partial and gradual, the term degradation here refers to deterioration of performance. 3.5. Classification according to the cause of failure Failure can also be classified according to the manner by which the failure develops as: (a) Wear-out failures: failures due to the normal processes of wear and tear as expected when the equipment was designed. (b) Misuse failure: failure attribute to the application of stresses (loads) beyond the specified capabilities. (c) Inherent weakness failure: failure attributable to poor design or construction of the system or component when subjected to normal stresses (loads) within the specified capabilities. 3.6. Classification according to the hazard Faults (major or minor failures) may be divided into two broad hazard groups, namely dangerousfailures or safe-failures as exemplified below: (a) Dangerous faults: protection system - failure to protect when needed; machine tool - failure causing damage to work-piece and/or operator Traction system - failure to brake. (b) Safe faults: protection system - failure to operate when not needed, Machine tool - failure of brakes to apply when not needed or failure of fuel supply. 4. TYPES OF FAILURE Three types of failure are recognized in system and component reliability studies. These are infant mortality, random and time-dependent failures. 4.1. Infant mortality (early failures) This refers to failures that occur very early after commissioning of the equipment. These failures are invariably inherent component weakness failures. For example, the average strength of components in the total population should normally be equal to the design strength, but sometimes there arises a sub-population of weaker components i.e. having strength below the operational stress value e.g. sometime ago a heat exchanger for a boiler in Arusha Tanzania failed after just a few months of operation. On inspection it was found out that one of the tubes was damaged during manufacture. The manufacturer agreed to supply the heat exchanger. 4.2. Random Failures These are failures which occur at random i.e. without any identifiable pattern. These are very difficult to analyse for cause even statistically. 4.3. Time-dependent Failures These are failures which are known to occur after a definite lapse of time. Normally the time to failure is known from previous statistical studies. For example, components subject to alternating stress can be studied in operation and establish the statistical average number of cycles to failure. 5. FAILURE INVESTIGATIONS In practice when major failures (usually catastrophic) occur the causes of the failures will be required by the management or by law. Therefore scientific failure investigations have to be carried out. In some countries the law requires that failure investigations of all major failures have to be 2

carried out. For example, components subject to alternating stresses can be studied in operation and establish the average number of failure. 5.1. Failure Investigation Principles The following are the main principles of procedures for a scientific failure investigation: a) The investigation has to be started as soon as possible after the failure. b) Do not destroy evidence. Do not disturb or tidy on the scene of failure or accident; in particular do not touch fracture surfaces or their immediate surroundings. c) Interfere with evidence only after thorough documentation (report, photographs etc.) has been completed. Ensure that dismantled parts can be identified individually, reassembled, and repositioned relative to each other. d) Do not concentrate on the point of fracture to the exclusion of its surroundings and of environmental conditions. e) Do not guess or draw easy conclusions. Collect all the facts and then eliminate inessentials. Rely on site photographs, notes and sketches rather than memory. f) Try to obtain the true history from objective evidence and from interviews. Do not take any statements or opinions on trust. Human perceptions, judgements, and decisions are all fallible and subject to subconscious prejudices. 5.2. Organised Failure Investigation Groups In some countries engineering failure investigation is so well organised that national associations have been formed to deal with the issue. In the U.S.A. such an association is called National Academy of Forensic Engineers (NAFE). In other countries the institutions of engineers, e.g. Institution of Engineers of Kenya (IEK), Institution of Engineers of Tanzania (IET), as well as the faculties of engineering at the national universities can be asked to investigate major failures when they occur. 6. CAUSES OF FAILURES 6.1 Main causes of failure The failures experienced most frequently in machinery are fracture, excessive deformation and surface failure. A typical review of failures and their causes are given in Table 1 Table 1: Service failures and their causes CAUSES TYPICAL COMPONENTS 1. Corrosion Plain bearings; gas turbine blades; hydraulic systems; spark plugs. 2. Fatigue Bearings (plain and rolling elements); gears; crankshafts, crankpins; steam turbine blades. 3. Contamination Hydraulic system; pneumatic systems 4. Overheating Bearings; spark plugs; cooling systems 5. Overstressing Gear teeth; bolts; transmission components. 6. Seizure Bearings; pistons; gear trains 7. Wear Plain bearings; splines; clutches, brake pads; liners; gears, valves and valve seats; hydraulic systems, etc. 6.2 FATIGUE FAILURE This occurs under the action of cyclic loading when a crack initiates and grows. Although the fatigue limit of a material may be considered as a material property, it can be greatly influenced by the operating conditions. Fatigue starts with the formation of surface micro-cracks (whether by surface roughening, grain boundary cracking, or by cracking around hard inclusions) with subsequent extension across and penetration into the body of the material until final fracture. a) Fatigue crack propagation: Small cracks in a component can be detected by non-destructive techniques (NDT) at an early stage in its expected life. They can be regularly inspected such that 3

knowledge of the growth rate may enable a component to have a longer useful life before replacement. b) Stress concentrations: Failure from fatigue frequently originates from geometrical shape changes which cause intensive stress concentrations, thus causing local failure (crack initiation) at the region of geometric discontinuity. Thus sharp comers in manufacturing components should always be avoided. c) Fatigue fracture identification: The appearances which characterise a fatigue failure during a post-mortem examination are as follows: a) Little permanent deformation. b) Break marks showing the growth progression of the crack can be seen under a microscope. c) The break marks are smooth as a result of rubbing. d) The fracture propagates in a direction normal to the principal tensile axis. Thus the fatigue surface comprises two distinct regions: one smooth (the fatigue zone), the other coarse and crystalline (the instantaneous fracture zone). 6.3 OVERLOADING OR OVERSTRESSING Loads which impose stresses in excess of the elastic limit will result in excessive deformation and lead to functional failure. This may not necessarily involve fracture although fracture is most usual. Overloading may arise by accident, poor design, or deliberate carelessness. There are three modes of loading a component namely static, repeated and dynamic. a) Static loading Static loads may be applied gradually so that at any instant in time all parts are essentially in equilibrium. It typically arises when the load slowly and progressively increases to its maximum service value which is held for a limited time and gradually removed. Also static loads may, alternatively, be applied and held at the maximum load value for such a lengthy period that the creep or flow characteristic of the material are influential in determining the ultimate life. b) Repeating loading Repeated loads are generally associated with fatigue as the stress is applied and wholly or partially removed. c) Dynamic loading Dynamic loading involve a state of movement and is classified as follows: a) Sudden loads: sudden loading occurs when a mass or "dead load" not in motion is suddenly applied to a body. It can be proved that this can create stresses approximately twice as great as if the same load were applied gently. [When a load W is applied gradually the force increases from zero to a maximum of W; thus work done when the load moves through a distance x is given by WD = Wx. This work is stored as strain energy. But when the same load is suddenly applied and moves same distance x, the work done is given by WD = Wx, which is twice when gradually applied]. b) Impact loads: these are associated with motion as one body strikes another such that exceptionally high stresses can be generated as the impact kinetic energy is transformed to strain energy. 6.4 WEAR Most life deterioration of a machine is the result of friction wear between two surfaces between which there is a relative motion. It is well-known that wear is proportional to speed and therefore wear between two surfaces increases as the relative velocity between them increases. Wear is a process of surface damage producing wear debris which may have secondary effects. When two surfaces are in rubbing contact the complex processes which occur in the surface layers may 4

involve one or more of the following activities: surface fatigue; local heating; oxidation; and molecular interaction. The different types of wear are: a) Abrasive wear: This is caused by the ploughing or gouging action of hard particles against a relatively soft surface. This is probably the most serious single cause of wear in engineering practice. Lubricant filtration and efficient sealing of bearing are therefore very important in reducing this type of wear. b) Scuffing wear: This arises when the mating surfaces come into contact when hydrodynamic lubrication cannot be maintained under sliding conditions. It is characterised by the formation of local welds between sliding surfaces. It can lead to catastrophic failure by seizure in plain bearings; and to excessive wear in piston rings or cylinder bores. c) Fatigue (pitting) wear: This occurs in rolling friction and is caused by fatigue of the surface layers. d) Molecular wear (Galling or adhesive wear): This is characterised by local adhesive metal joints and adherence of particles to the rubbing surfaces. This occurs usually at high pressures and it is rapid. If there is considerable heating in the sliding zone, this type of wear is also known as thermal wear. Thermal wear occurs if the surfaces have relative high sliding velocities. e) Mechanical-corrosion (oxidation) wear: Occurs if oxidation processes are significant. The plastically deformed and oxygen-saturated surface layer of the component fractures as a result of repeated loading, and fresh sub-layers of metals become exposed. f) Cavitations wear (Cavitations erosion): The collapse of minute vapour bubble involving impingement and associated chemical or electro-chemical surface activity is the cause of cavitations failure. It is likely to occur in hydraulic machinery. g) Wear-rate variations with time - There are three distinct wear-rate phases of a component during its working life: a) Phase I wear (Run-in wear) - During phase I the components are run in. The wear rate developed during this phase should be kept to a minimum so as to reduce wear in phase II. b) Phase II wear is the normal erosion as a result of the above mentioned processes. c) Phase III wear results from a change in the surface structure coinciding with stress variations and the metallurgical strength such that fatigue develops. 7. CORROSION Corrosive deterioration arises from electrochemical or chemical-erosion attack due to environmental conditions In addition to the loss of load-bearing material as exemplified by the rusting away of oxidized material, much primary corrosion in the form of rust occurs during erection when the working parts of machines may be exposed for long periods in a moist or wet atmosphere leading to the formation of a considerable amount of iron rust (FeO). Most manufacturers use appropriate rust protective to protect components from corrosion. With plant after erection, corrosive activity related to operating conditions is usually identified as: a) Stress corrosion: This causes cracking under the action of a steady stress in a corrosive environment. b) Corrosion fatigue: This arises under fluctuating stress in a corrosive environment. c) Cavitation corrosion: See 4.6.4 (f) above. 8. OVERHEATING When components overheat damage can occur to them due to metallurgical changes of the metal or due to thermal stresses arising from excessive thermal expansion. Because of this, most systems are 5

protected by control systems which will automatically shut them off when a certain temperature is reached. 9. BLOCKAGE Failure in machinery can be caused by blockage of essential components or systems e.g. fuel system, water cooling system, oil cooling system, etc. Blockage is normally due to contamination and can arise in two ways as follows: a) Formation of sludge: Sludge is internally formed by the circulating medium in operation and gradually blocks the system. For example, low quality industrial heavy fuel oil may contain water, dirt, asphaltic precipitates and wax. When in use such fuels gradually form sludge which, if not removed frequently, eventually blocks the circulating medium. b) Contamination by foreign matter: Foreign bodies can find their way in a circulating medium and, if not removed in time, will block the system, e.g., water cooling or oil cooling. This problem can be solved by proper straining and filtration of the circulating medium. 10. DESIGN, MANUFACTURING AND ASSEMBLY Apart from the operational causes discussed above a wide range of premature failures can be attributed to deficiencies of design, manufacture and assembly. It has been found that most common causes of premature plant failure arise from the existence of minor items of equipment such as drain cocks; screwed couplings; switches; pipe joints; gland packing, etc. Design faults can be minimized by proper designs by qualified and experienced staff. Manufacturing faults can be reduced by the use of qualified and experienced staff complemented by the use of quality control techniques. Assembly faults can be reduced by using qualified, experienced, dedicated and well motivated staff. 11. FAULT DETECTION To avoid systems failing catastrophically as a result of the above mentioned operational causes of failure, fault detection techniques should be used. For example, fatigue can be detected by NDT techniques of components regularly; overloading can be detected by load cells; wear can be detected by regular examination of parts; corrosion by regular inspection or by a corrosometer; blockage can be detected by regular inspection or by contaminant and sludge monitoring.

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