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l&J Maintenance Engineering Repair Methods for Basic Machine Elements

I Uses o/ FTA:
4.3.1. Fault Tree Analysis (FTA) FTA is used to:

Fault Tree Analysis (FTA) is a systematic way of identifying all possible faults that
could lead to system fail-danger failure. FTA provides a concise description of various
combinations of possible occurrences within the system that can result a predetermined
critical output events. FTA helps to identify and evaluate critical components, fault paths and
possible errors. Fault trees are powerful design tools that can help ensure that product
performance objectives are met.
Bell Telephone Laboratories developed the concept in 1962 for U.S Air Force to use
with the Minuteman system. It was later adopted and extensively applied by the Boeing
Company. Fault Tree Analysis is one of many symbolic "analytical logic techniques" found
in operations research and in system reliability. Other techniques include Reliability Block
Diagrams (RBDs).
Key elements of FTA:
The key elements of a FTA include:
) investigate potential faults
! ) investigate modes and causes
) quantify their contribution to system unreliability in the course of product
design.
This method is frequently used as a qualitative evaluation method in order to assist the
designer, planner or operator in deciding how a system may fail and what remedies may be
used to overcome the causes of failure. The method can also be used for quantitative
evaluation in which the causes of system failure are gradually broken down into an increasing
number of hierarchical levels until a level is reached at which reliability data is sufficient or
precise enough for a quantitative assessment to be made. The appropriate data is then inserted
into the tree at this hierarchical level and combined together using the logic of the tree to give
the reliability assessment of the complete system being studied.
Drawbacks of FTA:

) Gates represent the outcome (i) Though fault trees may reveal human error, they do little to determine the
i'
) Events represent the input to gates underlying cause.

) Cut sets are groups of events that would cause a:system to fail.

Basic steps involved in FTA:

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f
(ii) Fault trees require a detailed knowledge of the design, construction and operation
of the system.
(iii) It is not suitable for assessing normal operations,
Fault Tree Analysis begins by identifying the top event known as the undesirable event
of the system. The undesirable event of the system is caused by events generated and
li (iv) Fault trees may become very large and complex.
i (v) Significant training and experience are necessary to use this technique properly.
connected by logic gates such, as AND, OR, etc.
Once, the technique has been mastered, application stays time-consuming however
The following basic steps are involved in performing fault tree analysis:
the commercial software is available.
(1) Establishing system definition (vi) It is not practical on systems with large numbers of safety critical failures.
(2) Constructing the fault tree
Fault Tree Diagram (FTD):
(3) Evaluating the fault tree qualitatively
FTA can be qualitatively done by drawing the tree and identifying all basic events. Fault
(4) Collecting basic data such as components' failure rates, repair rates and failure , Tree Diagrams (or negative analytical trees) are logic block diagrams that display the state of
occurrence probability
I a system (top event) in terms of the states of its components (basic events). Like Reliabil1ty
(5) Evaluating fault tree quantitatively
(6) Recommending corrective measures. I, Block Diagrams (RBDs), FTDs are also a graphical design technique and as such provide an
alternative methodology to RBDs.

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Maintenance Engineering I Repair Methods for Basic Machine Elements
An FTD is built for top to dowit in term of events rather than blocks. It uses a graphic
"model" of the pathways within a system that can lead to a foreseeable, undesirable loss OR gate denotes a failure will occur if any input fails
(series reliability).
event (or a failure). The pathways interconnect contributory events and conditions using
standard logic symbols (AND, OR etc.). The basic constructs in a fault tree diagram are gates
Transfer event.
and events where the events have an identical meaning as a block in an RBD and the gates
are ihe conditions.
Table 4.1: Difference betweenfault tree diagram and reliability block diagrams Brake fails

Fault Trees Diagram Reliability Block Diagrams

Fault tree works in the ''failure space" RBD works in the "success space" and
and looks at system failure combinations. thus, it looks at system successes
combinations.

It is used to access fixed probabilities It includes time-varying distributions , for

(i.e. each event that comprises the tree the success (reliability equation) and
has a fixed probability of occurring). other properties such as repair/restoration
distributions.

Drawing Fault Trees: Gates and Events

I AND

Fault trees are built using gates ad events (blocks). The following Table 4.2 shows the
flowchart symbols which are used in fault tree analysis in order to aid with the correct I
reading of the fault tree.
Table 4.2: Flowe/tart symbols used inf ault tree analysis
I
Symbol Description I
A rectangle signifies ·a fault or undesired event cause_d

D by one or more preceding causes acting throug _logic

gates. ; '
l Figure 4.8Fault tree diagram/or a brake system
The two most commonly used gates in a fault tree are AND and OR gates. As an
example, consider two events (or blocks) comprising a Top Event (or a system). If the

0 Circle signifies a primary failure or basic fault that

requires no further development.
oecurrence of either one of the events causes the top event to occur, then these events
(blocks) are connected using an OR gate. Alternatively, if both events need to occur to cause

<> Diamond denotes a secondary failure or undesired

event but not developed further.
. the top event to occur, they are connected by an AND gate. For example, consider the simple
case of a failure of brake system of an automotive vehicle as shown in Figure 4.8.

0 AND gate denotes that a failure will occur' if aff inputs The fault tree diagram for this system includes two basic events connected to an OR gate
fail {parallel redundancy).
( ' . ;
(which is the "Top Event" i.e. brake fails). For the "Top Event" to occur, either brake pad

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llfD Maintenance Engineering I

fails or three other events such as brake sensor, brake controller and brake actuator fail.
Therefore, these three events are connected by AND gate.
From the fault tree diagram, it is observed that the primary and secondary causes are
analysed both quantitatively and qualitatively in a logical way so that the necessary remedial
actions can be taken to avoid such failure in future. The initial structure of fault tree is shown
in Figure 4.9 which is drawn prior to construct the fault tree diagram.
Repair Methods for Basic Machine Elements
enumerate a list of components and subsystems and determine the result of their operation or
non-operation. In this way, all sequences of possible events are covered involving those
components.
Event trees can be used to analyze systems in which all components of the system are
continuously working or for systems in which some are working or all components are in
standby mode and those involve the sequential operational logic and switching. The starting
point (referred as initiating event) disrupts normal system operation. The event tree displays
the sequences of events involving success and failure of system components.

In the case of standby systems and in particular, safety and mission-oriented systems, the
event tree is used to identify the . various possible outcomes of the system following a given
Primary cause Y
initiating event which is generally an unsatisfactory operating event or situation. In the case
of continuously operated systems, these events can occur (i.e., components can fail) in any
Corrective I arbitrary order. In the event tree analysis, the components can be considered in any order
Sub cause Remedial action
X2 since they do not operate chronologically with respect to each other.

Example of Event Tree:

Corrective I Corrective I A simple example of an event tree is shown in Figure 4. i0.
Remedial action Remedial action
Sprinkler system Call to Fire Outcome Consequence
department
i
Figure 4.9 Fault tree structure

Benefits of Fault Tree Diagram:

l Success
Success

r Failure OK
J Fire
(i) It is used to Identify possible system reliability or safety problems at design time,
Success Partial damage 2
(ii) It is used to assess system reliability or safety during operation, f Failure
(iii) It helps to improve understanding of the system, l Failure
Partial damage 2
(iv) It helps to Identify components that may need testing or more rigorous quality System destroyed 3

assurance scrutiny and

(v) It can identify the root cause of equipment failures. I
l
Figure 4.10 Event Tree Structure

4.3.2. Event Tree Analysis (ETA)
An event tree is a visual representation of all events which can occur in a system. As the
number of events increases, the picture wiJI fan out similar to the branches of a tree..Event
trees function similar to fault trees but in the opposite direction. An event tree attempts to
This event tree was constructed to analyze the possible outcomes of a system fire. The
t system has 2 components designed to handle this event: a sprinkler system and an automated
t call fo the fire department. If the fire department is not notified, the fire wiil be mostly
contained by the sprinkler system. If the sprinkler system fails as well, the system will be
destroyed.

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Maintenance Engineering

The aim of an· event tree is to detennine the probability of an event based on the
outcomes of each event in the chronological sequence of events leading up o it. By analyzing
all possible outcomes, the percentage of outcomes can be determined which leads to the
desired result.
4.4. SEQUENTIAL FAULT LOCATION METHODS
Sequential fault location deals with locating the fault in systematic and orderly manner
so as to have a thorough study on cause of fault. In sequential fault location diagnosis, the
Levels of root cause analysis:
The three levels of root-cause analysis are physical roots, human roots and latent roots.
(i) Physical roots or the roots of equipment problems are where many failure analyses
stop. These roots may be what comes out of a laboratory investigation or
engineering analysis and they are often component-level or materials-level
findings.
(ii) Human roots (i.e., people issues) involve human factors which caused the failure,

process of fault location is carried out step by step where each step depends on the result of an example being an error in human judgment.
the diagnostic experiment at the previous step. This experiment is called adaptive testing. (iii) Latent roots lead the causes of the human error and include roots that are
Sequential diagnosis procedure can be graphically represented as a diagnostic tree. organizational or procedural in nature as well as environmental or other roots that
Various sequential fault location methods are listed below: are outside the realm of control.

(i) Root Cause Analysis (RCA) These levels or root cause are best defined by two examples in Table 4.3.

(ii) Root Cause Failure Analysis (RCFA) Table 4.3: Example of root causes off ailure of bolt
(iii) Cause-and-Effect Analysis Root type Root causes offailure of bolt
(iv) Failure mode and effect analysis (FMEA)
Physical roots Fatigue crack; equipment vibration; lack of vibration; isolation
(v) Failure Mode, Effects and Criticality Analysis (FMECA).
t

4.4.1. Root Cause Analysis (RCA)

I Human roots

Latent roots
Improper equipment installed

Inadequate specification verification process

Root Cause Analysis (RCA) is a step by step method that leads to the discovery of a
fault's fit or root cause. This analysis is intended to identify the fundamental cause(s) that if
I Root cause analysis (RCA)process:

corrected will prevent recurrence. Every equipment failure happens for a number of reasons. RCA has the following five identifiable steps.
t
There is a definite progression of actions and consequences that lead to a failure. An RCA Step 1: Define the Problem
investigation from the end failure is back to the root cause. For defining the problem statement, the following questions need t<? be answered.
RCA seeks to identify the origin . of a problem using a specific set of steps with )- What has happened?
associated tools to find the primary cause of the problem so that one can:
) What are the specific symptoms?
) detennine what happened
Step 2: Collect data
) detennine why it happened
The next step is the data collection. Before moving on to factors that contributed to the
) figure out what to do to reduce the likelihood that it will happen again. problem, a situation needs to be analyzed thoroughly . To maximize the effectiveness of RCA,
RCA assumes that systems and events are interrelated. An action in one area triggers·an ·t,he advice from experts and front line staff who understands the situation can be sought. The
action in another area and so on. By tracing back these actions, it can be discovered where the _ following question help in collecting data.
problem started and how it grew into the symptom that are faced at present.

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ID:J Maintenance Engineering· [ Repair Methods for Basic Machine Elements Im I

I progressively tracing each cause that led to the previous cause. It continues till the trail can be
traced back no further. Each result of a cause must clearly flow from its predecessor (the one
) What are the proofs available that the problem exists?
before it). If it is clear that a step is missing between causes·, it is added in and evidence
) How long has the problem existed?
looked to support its presence. Once, the fault tree is completed and checked for the logical
) What is the impact of the problem? flow, then the team detennines what changes to make to prevent the sequence of causes and
Step 3: Identify possible causalfactors consequences from again occurring.

During this stage, as many causal factors as possible need to be identified. Too often,
4.4.2. Root Cause Failure Analysis (RCFA)
pe-0ple identify one or two factors and then stop but which is not sufficient.
) What sequence of events leads to the problem? Root Cause Failure Analysis (RCFA) focuses in eliminating the risk of recurrence of the
failures by identifying the physical , human and latent system roots which lead to the failure.
> What conditions allow the problem to occur?
RCFA is simple but a well.disciplined to investigate, rectify and eliminate equipment failure.
) What other problems surround the occurrence of the central problem?
It is more effective when attempted with chronic breakdowns. The methodology is similar to
Step 4: Identify the root cause(s) RCA.
The same tools used to identify the causal factors (in Step 3) can be used to look at the
roots of each factor. These tools are designed to encourage for digging deeper at each level of 4.4.3. Cause.and.Effect Analysis

cause and effect.

> Why does the causal factor exist?
Design

> What is the real reason the problem occurred?

Step 5: Recommend and implement solutions
During this step, possible solutions can _ be recommended and the same is to be
impJemented to avoid preventing future failure by answering the following question.:;..

> What can you do to prevent the problem from happening again?
) How will the solution be implemented? Welding
defects
) Who will be responsible for it?
) What are the risks of implementing the solution?

Cause-and-effect process can be analyzed and changes needed for various systems'.can-
be identified. Also, the effects of recommended solution can be predicted ahead. Similarly,
the potential failures can be spotted before they happen.

Overview of the RCA Process:

The method brings a team of 3 to 6 knowledgeable people together to investigate the
I.
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Others Operation

failure using evidence left behind from the fault. The team brainstorms to find as many
Figure 4.11 Fisltho11e diagram
causes of the fault as possible. By using what evidence remained after the fault and through
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discussions with people involved in the incident, all non-contributing causes are removd
but contributing causes are retained. A fault tree is constructed starting with the final
;1,
 t f Failures are always caused to happen. A cause-and-effect analysis is a way to relate the
a causes to failure in an attempt to find the root cause. Causes can be design problems, human
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Repair Methods for Basic Machine Elements
&I" Maintenance Engineering

perfonnance, poor fabrication and so forth. A simple cause-and-effect analysis can take the (iii) Process-focuses on manufacturing and assembly processes

fonn of a fishbone diagram as shown in Figure 4.11 that can be constructed as folJows. (iv) Service-focuses on service functions.

) It clearly describes the failure at the right sde of the diagram
) It identifies the main cause categories as branches converging on the failure
) It brainstorms and lists all causes on each branch
)- It analyzes the data until the root cause(s) are identified.
4.4.4. Failure Modes and Effects Analysis (FMEA)
Steps involved in FMEA:
FMEAs are developed in three distinct phases where actions can be detennined. It is
understood to perfonn some pre-work prior to FMEA so tha!robustness and past history are
included in the analysis. The flow chart given in Figure 4.12 depicts the steps involved in the
development of FMEA.
Identify function I root cause

Failure Mode and Effect Analysis (FMEA) is a bottomup qualitative dependability

analysis method. It is particularly suited to the study of material, pomponent and equipment Identify failure modes

failures and their effects on the next higher functional system level. FMEA lends itself to the
analysis of systems f different technoloies (electrical, mechanical St hyd;raulic, softw.are, etc.) Determine ·effect of
with simple functional structures. r --- failure modes

FMEA procedure involves xamining each item, considering ow that item can fail and Classify failures based on
then detenninfog how that failure will affect tbe operation of the entire component or system. its severity

The process of identifying possible component failure modes and detennining their effectS on
Oetennine failure
the system operation helps the analyst to develop a deeper understanding of the relationship probability
among the different system components and to make any n-essary changes to either
eliminate or mitigate the possible undesirab'e effects of a failure.
FMEA is used to identify potential failure modes, determine their effect on the operation
of the product and identify actions to minimize the failures. FMEA is a tool used to prvent Identify any compensate provisions
problems from occurring. or design changes needed

The early . and consistent use o FMEAs in the design process allows the engineer to ,1 ldentl special

de.sign out failures and produce reliable, safe and customer pleasing products. FMEAs also
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---1 Caletilate cdttcalllty using RPN characteristics
I
capture the historical infonnation for the use in future product improvement.
Develop recommendations
Types of FMEA:
There are several types of FMEAs. Among them, some are used much more often than
Final risk assessment
others. FMEAs should always be done whenever failures would mean the potential harm or I
I
injury to the user of the end item being designed. The types of FMEA are given below:
L - - - Task action to minimise I
eliminate risk
(i) System-focuses on global system functions
(ii) Design-focuses on components and subsystems Figure 4.12 FMEA jlow diagram

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