University of Ljubljana

Slovenia

Failure Analysis
Master Course

Borut KOSEC, Ale NAGODE, Gorazd KOSEC

Ljubljana, in January 2014

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Case Histories of Materials Failure

Is failure analysis really necessary?
Why not just replace an item of equipment each time it fails?
Why spend a lot of time analyzing the failure?
The basic reason for studying failures is to reduce costs and thereby increase profits.

Nine questions should be asked in every failure analysis:

What is the material?
What are its mechanical properties?
What are its physical properties?
How was it made?
How long was it used?
What was it designed to do?
To what environment was it exposed?
What properties have changed?
What was the mechanism of failure?

Broken

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Causes of Failures
Failures are caused by design errors or deficiencies in one or more of the following
categiries:
1. Design deficiencies
Failure to adequately consider the effect of notches
Inadequate knowledge of service loads and environment
Difficulty of stress analysis in complex parts and loadings
2. Deficiency in selection of material
Poor match between service conditions and selection criteria
Inadequate data on material
Too much emphasis given to cost and not enough to quality
3. Imperfection in material due to manufacturing
4. Overload and other abuses in service
5. Inadequate maintenance and repair
6. Environmental factors
Conditions beyond those allowed for in design
Deterioration of properties with time of exposure to environment

Corrosion. (Image courtesy of Norbert Wodhnl Norbert Wodhnl)

2

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Engineering components fail in service in the following general ways:

1. Excessive elastic deformation
2. Excessive plastic deformation
3. Fracture
4. Loss of required part geometry through corrosion or wear.

Broken teeth of a cement mill

Techniques of Failure Analysis

When the problem of determining the cause of a failure and proposing corrective action
must be faced, there is definite procedure for conducting the failure analysis.
Frequently a failure analysis requires the efforts of a team of people including experts in
material behaviour, stress analysis, and vibrations, and sophisticated structural and analysis
techniques.

Scanning Electron Microscope (SEM) JEOL 5610

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Field Inspection of the Failure

The most useful first approach is to inspect the failure at the site of the accident as soon as
possible after the failure occurs. This site visit should be lavishly documented with
photographs; for very soon the accident will be cleared away and repair began. It is best to
take the photographs in color. Start taking pictures at a distance and move up the site of the
failure. Shoot pictures from several angles. Careful sketches and detailed notes help to
orient the photographs and allow you to completely reconstruct the scene months or years
later when you are in design review or a courtroom.
The following critical pieces of information should be obtained during the field inspection:
1. Location of all broken pieces relative to each other
2. Identification of the origin of failure
3. Orientation and magnitude of the stresses
4. Direction of crack propagation and sequence of failure
5. Presence of obvious material defects, stress concentrations, etc.
6. Presence of oxidation, temper colors, or corrosion products
7. Presence of secondary damage not related to the main failure.

Aircraft acident

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

It is important to interview and maintenance personnel to get their version of what

happened and learn about any unusual operating history, such as unusual vibrationor noise
prior to failure. Whenever possible, the failure should be brought back to laboratory for
more detailed analysis. Any cutting that is required should be done well away from the
fracture surface so as not to alter that surface. Whenever possible, samples should be
obtained from identical material or components that did not fail. Samples of process fluids,
lubricants, etc. should be obtained for corrosion-related failures. Be sure to label all pieces
and key their identification to your notes.
Great care should be exercised in preserving the fracture surface. Never touch the fractured
surfaces, and do not attempt to fit them back together. Avoid washing a fracture surface
with water unless it has been contaminated with seawater or fire-extinguisher fluids. To
prevent corrosion of a fracture surface, dry the surface with a jet of water-free compressed
air and place the part in a desiccator or pack it with a suitable desiccant.

When the failure surface can not be removed from the field for investigation in the
laboratory, it is necessary to take the laboratory into the field. A portable metallographic
laboratory has been developed for such a situation.

The cracks appeared on the working surface of the die

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Background History and Information

A complete case history on the component that failed should be developed as soon as
possible. Ideally, most of this information should be obtained before making the site visit,
since more intellegent questions and observations will result. The following is a list of data
that need to be assembled:
1.

Name of item, identifying numbers, owner, user, manufacturer or fabrication

2.

Function of item

3.

Data on service history, including inspection of operating logs and records

4.

Discussion with operating personnel and witnesses concerning any unusual

conditions or events prior to failure

5.

Documentation on materials used in the item

6.

Information on manufacturing and fabrication methods used, including any

codes or standards

7.

Documentation on inspection standards and techniques that were applied

8.

Date and time of failure; temperature and environmental conditions

9.

Documentation on design standards and calculations performed in the design

10.

A set of shop drawings, including any modifications made to the design

during manufacturing or installation.

Fractured pipe (Image courtesy Prof. Robert Akid, School of Engineering, Sheffield)

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Comparison of Basic Nondestructive Inspection Methods

Method

Characteristics Detected

Advantages

Limitations

Example of Use

Visual-Optical

Surface characteristics such

as finish, scratches, cracks,
or color; stain in transparent
materials

Often convient; can

be automated

Can be applied only

to surfaces, through
surface openings, or
to transparent material

Paper, wood, or
metal for surface
finish and
uniformity

Liquid penetrant

Surface openings due to

cracks, porosity, seams, or
folds

Inexpensive; easy to
use; readly portable;
sensitive to small
surface flaws

Flaw must be open to

surface; not useful on
porous materials

Turbine blades for

surface cracks or
porosity

Magnetic particles

Leakage magnetic flux

caused by surface or nearsurface cracks, voids,
inclusions, or material
geometry changes

Inexpensive;
sensitive both to
surface and nearsurface flaws

Limited to
ferromagnetic
materials; surface
preparation and postinspection
demagnetization may
be required

Railroad wheels
or tracks

Radiography

Changes in density from

voids, inclusions, material
variations; placement of
internal parts

Can be used to
inspect wide range
of materials and
thicknesses;
versatile; film
provides record of
inspection

radiation safety
requires precautions;
expensive; detection
of cracks can be
difficult

Pipeline welds for

penetration,
inclusions, voids

Ultrasonics

Changes in acoustic
impendance caused by
cracks, nonbonds,
inclusions, or interfaces

Can penetrate thick

materials; excellent
for crack detection;
can be automated

Normally requires
coupling to material
either by contact to
surface or immersion
in a fluid such as
water

Adhesive
assemblies for
bond integrity

Eddy currents

Changes in electrical
conductivity caused by
material variations, cracks,
voids, or inclusions

Readily automated;
moderate cost

Limited to electrically
conducting materials;
limited penetration
depth

Heta exchanger
tubes for wall
thinning and
cracks

Ultrasonic analysis of the rod

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Thermography Case study: House

1000,0C
1000

800

600

400

Thermography Case study: Inductive heating

220,0C

Thermography Case study: Steel slab heattreatment

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Basic Types of Deformation and Fracture

Deformation

Time independent

Time dependent

Elastic

Creep

Plastic

Fracture

Static loading

Fatigue: Cyclic Loading

Brittle

High cycle

Ductile

Low cycle

Environmental

Fatigue crack growth

Creep rupture

Corrosion fatigue

Broken spring of the Golf V

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Relation between common failure modes and

conditions that produce the failure
Types of loading

Types of stress

Failure modes

Static

Repeated

Impact

Tension

Brittle fracture

Ductile fracture

Compression

Shear

High-cycle fatigue

Low-cycle fatigue

Corrosion fatigue

Buckling

Gross yielding

Creep

Caustic or hydrogen

embrittlement
Stress - corrosion

cracking

Operating temperatures
Failure modes

Low

Room

Brittle fracture

High

Criteria generally useful for selection of material

Charpy V-notch transition temperature; notch
toughnes; KIctoughness measurements

Ductile fracture

Tensile strength; shearing yield strength

Fatigue strength for expected life, with typical stress

High-cycle atigue

Low-cycle fatigue

raisers present
Static ductility available and the peak cyclic plastic
strain expected at stress raisers during prescribed life
x

Corrosion fatigue

Corrosion-fatigue strength for the metal and

contaminant and for similar time

Buckling

Modulus of elasticity and compressive yield strength

Gross yielding

Yield strength

Creep rate or sustained stress rupture strength for the

Creep

temperature and expected life

Caustic or hydrogen

other chemical environment

embrittlement
Stress - corrosion
cracking

Stability under simultaneous stress and hydrogen or

Residual or imposed stress and corrosion resistance to

the environment

10

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Failure modes for mechanical components

1.

Elastic deformation

2.

Yielding

a. Impact fracture

3.

Brinelling

b. Impact deformation

4.

Ductile failure

c. Impact wear

5.

Britttle failure

d. Impact fretting

6.

Fatigue

e. Impact fatigue

a. High-cycle fatigue

7.

9.

10.

Impact

Fretting

b. Low-cycle fatigue

a. Fretting fatigue

c. Thermal fatigue

b. Fretting wear

d. Surface fatigue

c. Fretting corrosion

e. Impact fatigue

11.

Galling and seizure

f. Corrosion fatigue

12.

Scoring

g. Fretting fatigue

13.

Creep

Corrosion

14.

Stress rupture

a. Direct chemical attack

15.

Thermal shock

b. Galvanic corrosion

16.

Thermal relaxation

c. Crevice corrosion

17.

Combined creep and fatigue

d. Pitting corrosion

18.

Buckling

e. Intergranular corrosion

19.

Creep buckling

f. Selective leaching

20.

Oxidation

g. Erosion-corrosion

21.

Radiation damage

h. Cavitation

22.

Bonding failure

i. Hydrogen damage

23.

Delamination

j. Biological corrosion

24.

Erosion

k. Stress corrosion
8.

Wear
a. Adhesive wear
b. Abrasive wear
c. Corrosive wear
d. Surface fatigue wear
e. Deformation wear
f. Impact wear
g. Fretting wear

11

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Damage Mechanisms and Fovourable Microstructural Properties of the

Tool Material

Damage mechanism

Favourable microstructural properties

mechanical loading

high hardness
suitable fracture toughness

mechanical loading at elevated

temperatures

high hot hardness

fatigue (repeated mechanical

loading)

high hardness

high thermal stability of the microstructure

high fatigue resistance
fine microstructure
low content and small size of internal defects

wear

abrasion

high hardness
high volume fraction, optimum size and distribution
of hard wear resistant particles

adhesion

high hardness
oxide layer at the surface
low chemical reactivity between tool and work
material

surface fatigue

high hardness
high fatigue resistance

high temperature

high thermal stability of the microstructure

high oxidation resistance

thermal cycling

high thermal stability of the microstructure

high hardness at elevated temperatures
high creep resistance
high resistance against plastic cycling
low thermal expansion
high oxidation resistance

12

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Automotive Failures
Component Failure Distribution
Component

Engine

41

Drivetrain

26

Suspension

13

Chassis / Body

Steering

Braking System

Hidraulics

Distribution of Causes
Cause

Abuse

29

Manufacturing / Design

21

Failed Repair

18

Age

10

Raw Material

Accident Damage

Failed Modification

Storage Procedures

13

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Materials Selection
There are no magic formulas for materials selection.

Successful materials selection depends on the answers to the following questions:

Have the performance requirements and service environments been properly and
completely defined?
Is there a good correlation between the performance requirements and the material
properties used in evaluating the candidate materials?
Has the relation between properties and their modification by subsequent manufacturing
process been fully considered?
Is the material available in the shapes and configurations required and at an acceptable
price?

The Materials Selection Process

The selection of materials on a purely rational basis is far from easy. The problem is not
only often made difficult by insufficient or inaccurate property data, it is typically on of
decision making in the face of multiple constraints without clear-cut objective function.
A problem of materials selection usually involves of two different situations:
1. Selection of the materials for a new product or new design.
2. Reevaluation of an existing product or design to reduce costs, increase reliable improve
performance, etc.

14

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Materials Selection, like any other aspect of engineering design, is a problematic

process.

The steps in the materials selection process can be defined as follows:

Analysis of the materials requirements. Determine the conditions of service and
environment thet the product must withstand. Translate them into critical material
properties.
Identification and screening of candidate materials. Compare the needed properties
(responses) with a large materials property data base to select a few materials that look
promising for the application.
Selection of candidate materials. Analyze candidate materials in terms of tradeoffs of
product performance, cost, fabricability, and availability to select the best material for
the application.
Development of design data. Determine experimentally the key material properties for
the selected material to obtain statistically reliable measures of the material performance
under the specific conditions expected to be encountered in service.

The Khafji rig disaster. (Image courtesy of Thomas Brinsko with Bic Alliance Magazine.)

15

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Presenting Technical Information

The purpose of presenting technical information is to convey technical ideas, facts, and
opinions between people. It is also a tool of persuasion.
There are allways several different ways to present any set of technical information.
The challenge is to find simple ways to present hard ideas. This leads to five main
principles of information presentation:
1. Use graphical methods of communication wherever possible,
2. Supplement algebraic and mathematical information with geometry to
make it simple and/or clearer,
3. Use visual models to portray ideas,
4. Do not be frightened to make approximations where necessary, and
5. Using sketches, diagrams, and drawings (of various types).

Steps in Writing a Technical Paper and/or Report

The five operations involved in the writing of a high-quality technical report and/or report
are best remembered with the acronym POWER:

Plan the writing

Outline the report

Write

Edit

Rewrite

16

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

Technical paper usually have an outline similar to this:

Abstract
Introduction
Experimental procedure
Experimental results
Discussion
Summary and/or conclusions
Acknowledgments
Appendixes
Tables
Figures

Formal Technical Report

A formal technical report usually is written at the end of a project.
Generally, it is a complete, stand-alone document aimed at persons having widely diverse
backgrounds. Therefore, much more detail is required.

The online of a typical formal report might be:

Covering letter (letter of transmittal)
Summary (containing conclusions)
Introduction (containing background to the work to acquiant reader with the problem
and the purpose for carrying on the work)
Experimental procedure
Discussion (of results)
Conclusions
References
Appendixes
Tables
Figures

17

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

LITERATURE
BOOKS
Source Book in Failure Analysis, ASM International, Metals Park Ohio, 1974.
S. Kalpakjian: Tool and Die Failures - Source Book, American Society for Metals; Metals Park,
Ohio, 1982.
J. Broichhausen: Schadenskunde: Analyse und Vermeidung von Schden in Konstruktion,
Fertigung und Betrieb, Carl Hanser Verlag, Mnchen/Wien, 1980.
R.D. Barer, B.F. Peters: Why Metals Fail, Gordon and Breach Science Publishers, New
York/London, 1970.
V.J. Colangelo, F.A. Heiser: Analysis of Metallurgical Failures, John Wiley & Sons Inc., New
York/London, 1974.
D.J. White: Understanding How Components Fail, ASM International, Metals Park, Ohio,
1999.
A.F. Lin: Structural Life Assessment Methods, ASM International, Metals Park, Ohio, 1998.
P.F. Timmins: Solutions to Equipment failures, ASM International, Metals Park, Ohio, 1998.
Handbook of Case Histories in Failure Analysis, Volume 1, ASM International, Metals Park,
Ohio, 1992.
Handbook of Case Histories in Failure Analysis, Volume 2, ASM International, Metals Park,
Ohio, 1992.
ASM Handbook Volume 11: Failure Analysis and Prevention, ASM International, Metals Park,
Ohio, 1986.
ASM Handbook Volume 19: Fatigue and Fracture, ASM International, Metals Park, Ohio,
1996.
D.N. French: Metallurgical Failures in Fossil Fried Boilers, John Wiley & Sons Inc., New
York, 1993.
R.D. Port, H.H. Herro: The Nalco Guide to Boiler Failure Analysis, Nalco Chemical Company,
McGraw-Hill Inc., New York, 1991.
H.M. Herro, R.D. Port: The Nalco Guide to Cooling Water Systems Analysis, Nalco Chemical
Company, McGraw-Hill Inc., New York, 1991.
O.J. Horger: ASME Handbook: Metals Engineering Design, McGraw-Hill Book Company Inc.,
New York, 1953.
K.-H. Schwalbe: Bruchmechanik metallischer Werkstoffe, Carl Hanser Verlag, Mnchen/Wien,
1980.
J. Lemaitre: A Course on Damage Mechanics, Springer Verlag, Berlin, 1992.
R. Viswanathan: Damage Mechanisms and Life Assessment of High-Temperature Components,
ASM International, Metals Park, Ohio, 1995.
H. L. Edwards, R.J.H. Wanhill: Fracture Mechanics, Edward Arnold Publ. Ltd., London, 1985.
D. Broek: The Practical Use of Fracture Mechanics, Kluwer Academic Publ., Dordrecht, 1988.
B. Dodd, Y. Bai: Ductile Fracture and Ductility: With Applications to Metallworking,
Academic Press, Harcourt Brace Jovanovich Publishers, London, 1987.
S.S. Manson: Thermal Stress and Low-Cycle Fatigue, McGraw-Hill Book Company, New
York, 1966.
A. Mendelson: Plasticity: Theory and Application, The MacMillan Company, New York, 1968.
W.F. Chen, D.J. Han: Plasticity for Structural Engineers, Springer Verlag, New York/Berlin,
1988.
R.W. Evans; B. Wilshire: Introduction to Creep, The Institute of Materials, Bourne Press
Limited, Bournemouth, 1993.
18

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

J.W. Dally, W.F. Riley: Experimental Stress Analysis, McGraw-Hill Inc., New York, 1991.
C.N. Reid: Deformation Geometry for Materials Scientists, Pergamon Press, Oxford, 1973.
P.E. Mix: Introduction to Nondestructive Testing: A TRAINING Guide, John Wiley & Sons
Inc., New York, 1987.
R. Halmshaw: Non-Destructive Testing, Edward Arnold, London, 1991.
G.E. Dieter: Engineering Design: A Materials and Processing Approach, McGraw - Hill Book
Company Inc., New York, 1987.
C. Matthews: IMechE Engineers Data Book, Professional Engineering Publishing Ltd.,
London, 2000.
M.F. Ashby: Materials Selection in Mechanical Design: Answers to Problems, Butterworth Heinemann, Oxford, 1993.
M.F. Ashby: Materials Selection in Mechanical Design:Materials and Process Selection Cards,
Butterworth - Heinemann, Oxford, 1993.
M.F. Ashby, D.R.H. Jones: Engineering Materials 1: An Introduction to Their Properties and
Applications, International Series on Materials Science and Engineering, Volume 38, Pergamon
Press, Oxford, 1996.
M.F. Ashby, D.R.H. Jones: Engineering Materials 2: An Introduction to Microstructures,
Processing and Design, International Series on Materials Science and Engineering, Volume 39,
Pergamon Press, Oxford, 1994.
M.F. Ashby: Materials Selection in Mechanical Design, Butterworth - Heinemann, Oxford,
1997.
L.A. Dobrzanski: Technical and Economical Issues of Materials Selection, Selesian technical
University, Gliwice, 1997.
F.A.A. Crane, J.A. Charles: Selection and Use of Engineering Materials, Butterworths & Co.
Ltd., London, 1984.
R.E. Smallman, R.J. Bishop: Metals and Materials: Science, Processes, Applications,
Butterworth - Heinemann, Oxford, 1995.
E. Hornbogen: Werkstoffe, Springer Verlag, Berlin, 1994.
K.H. Decker: Maschinenelemente, Carl Hanser Verlag, Muenchen, 1975. (in German)
G.E. Totten, M.A.H. Howes: Steel Heat Treatment, Marcel Dekker, New York, 1997.
M. Oru, R. Sunulahpai: Lomovi i osnove mehanike loma, Univerzitet u Zenici, fakultet za
metalurgiju i materijale, Zenica, 2009.
M. Jansen, J. Zuidema, R.J.H. Wanhill: Fracture Mechanics, Delft University Press, Delft,
2002.
T.V. Rajan, C.P. Sharma, A. Sharma: Heat Treatment Principles and Techniques, PHI
Learning, New Delhi, 2011.
L.C.F. Cannale, R.A. Mesquita, G.E. Totten: Failure Analysis of Heat Treated Steel
Components, ASM International, Materials Park, Ohio, 2008.
Allianz Handbook of Loss Prevention. Allianz Versicherungs AG, Berlin, 1987.
B. Joci: Steels and Cast Irons, BIO-TOP, Dobja Vas, 2008.
D. Mazumdar, J.W. Evans: Modeling of Steelmaking Processes, CRC Press, Taylor & Francis
Group, Boca Raton, London, New York, 2010.
C. Matthews: A Guide to Presenting Technical Information, Professional Engineering
Publishing Ltd., London, 2000.
P.A. Laplante: Technical Writing A Practical Guide for Engineers and Scientists, CRC Press,
Taylor & Francis Group, Boca Raton, 2012.

19

B. Kosec, A. Nagode, G. Kosec: FAILURE ANALYSIS (Master Course)

JOURNALS
Engineering Fracture Mechanics
http://www.elsevier.com/inca/publications/store/3/2/2
ISSN 0928-1045

Engineering Failure Analysis

http://www.elsevier.com/locate/engfailanal
ISSN 1350-6307

Practical Failure Analysis

http://www.asm-intl.org/journals
ISSN 1529-8159

International Journal of Damage Mechanics

http://www.techpub.com
ISSN 1056-7895

Acta Materialia
http:// www.elsevier.com/inca/publications/store/2/2/1
ISSN 1359-6454

Materials Science and Technology

http://www.materials.org.uk
ISSN

Journal of Computer-Aided Materials Design

http://www.wkap.nl/journals/jcd
ISSN 0928-1045

Journal of Materials Processing Technology

http:// www.elsevier.com/inca/publications/store/5/0/5/6/5/6
ISSN 0924-0136

Computational Materials Science

http:// www.elsevier.com/inca/publications/store/5/2/3/4/1/2
ISSN 0927-0256

Tehnika dijagnostika (Technical Diagnostics)

http:// www.tehnickadijagnostika.com
ISSN 1451-1975

Integritet i vek konstrukcija (Structural Integrity and Life)

http:// www.divk.org.rs/ivk
ISSN 1451-3749

Metalurgija (Metallurgy)
http://public.carnet.hr/metalzrg
ISSN 0543-5846

20