Chapter 4

1
Determination of the State of
Damage/Failure
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 Failure Analysis
2
How to Diagnose a Failure
Failure analysis is the process of determining the original
cause of a component failure in order to keep it from
happening again.
Too often, when a failed component is replaced without
determining its cause, there will be a recurring failure
The true cause of a failure can be better determined by
knowing what to look for, determining how a piece of
the equipment was running, and learning about
previous problems. In some cases, the part itself is at
fault.
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3

When a product does not live up to its design expectancy, i.e.,

when it fails either gradually, or suddenly, a method of
evaluation must be available to understand why the failure
occurred.
Root-cause failure analysis provides this understanding.
Fully implemented, it seeks not only to solve the immediate
problem, but to provide valuable guidance to avoid the
problem in the future.

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 Root Cause Analysis
4
 Finding the real cause of the problem that tends to happen in a
repeated fashion and dealing with it rather than simply
continuing to deal with the symptoms is called root cause
analysis.
 Root Cause Analysis (RCA) is a step-by-step method used to
analyze failures and problems down to their root cause.
 An RCA traces the cause and effect trail from the end failure
back to the root cause in order to determine:
what happened,
 why it happened
what to do to reduce the likelihood that it will happen
again.
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 IN RCA Failure investigation process
5
steps are as follows:
1. Problem definition and data gathering
2. Control barriers
3. Event and causal factor charting
4. Cause and effect analysis
5. Root cause identification
6. Corrective actions effectiveness assessment
7. Report generation

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6 1. Problem definition and data gathering
 information that should be collected consists
 conditions before, during, and after the
occurrence;
 personnel involvement (including actions
taken);
 environmental factors; and
 other information having relevance to the
condition or problem.

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7 Continued…
 This is carried out by asking the questions that could be answered
through:
 reviewing records, reports or logs, equipment or installation
drawings and documents; conducting interviews with operators,
maintenance staff, engineers and plant foremen, and
Consulting experts regarding possible consequences of
corrective actions.
We may also need
 to visit the failed equipment or installation; consulting
equipment manufacturer, reviewing computerized information
system,

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 Questions that help to define the problem and gather data
8

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9
2. Control barriers
Control barriers are administrative or physical aids that
are made part of work conditions.
They are devices employed to protect employees or
equipment and enhance the safety and performance of the
machine system.
The purpose of checking control barriers in a failure
investigation process is to determine if all the control
barriers pertaining to the failure under investigation are
present and effective.

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10 Continued…

Physical control barriers

conservative design allowance, engineered safety features, fire
barriers and seals, ground fault protection, locked doors,
valves, breaks, and controls, insulation, redundant system,
emergency shutdown system, etc.
Administrative control barriers include
alarms, safety rules and procedures, certification of operators
and engineers, methods of communication, policies and
procedures, work permits, standards, training and education,
etc.

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3. Event and causal factor charting
 an analysis tool whereby events relations, conditions,
changes, barriers, and causal factors are charted on a
timeline using a standard representation using the
symbols shown in Figure below.

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12

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4. Cause and effect analysis
 When the entire occurrence has been charted
out, the investigators are in a good position to
identify the major contributors to the problem,
the causal factors.
 The diagram will help to show the cause and
effect relationship between factors, even if
significantly removed from each other in the
system.

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14

5. Root cause identification

After identifying all causal factors, the team begins the
root cause identification.
For every event there will likely be a number of causal
factors.
For each causal factor there will likely be a number of
root causes.

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15 6. Corrective actions effectiveness
assessment
The final step of the process is to generate
recommendations for corrective action taking into
consideration the following questions:
What can be done to prevent the problem from
happening again?
How will the solution be implemented?
Who will be responsible for it? and
What are the risks of implementing the solution?

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16
7. Report generation
Corrective actions, management and personnel involved.
Information of interest to other facilities should also be included in
the report.
The study report should include
Problem definition;
Event and causal factors chart;
Cause and effect analysis;
Root cause(s) of the problem;
Problem solution; and
Implementation plan with clear responsibilities and follow-up.

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17

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18 The following five steps are an effective approach to
good failure diagnostics:
1. Document the problem.
2. Make a preliminary investigation.
3. Prepare the parts for inspection.
4. Find the cause of the failure.
5. Correct the cause of the problem.

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 1.Document the Problem
19

Here are some guidelines for starting to learn about a

failure, including questions to ask:
 Talk to the operator of the machine.
 Look at the service records.
 Find out when the machine was last serviced.
 Ask: In what type of service is the machine being used?
 Ask: Has this particular failure occurred before?
 Ask: How was the machine working prior to the failure?
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20 You need to be a good listener. Sometimes, insignificant or
unrelated symptoms can point to the cause of the failure.
Ask: Was the machine operating at normal temperatures?
 Ask: Were the gauges showing normal ranges of operation?
 Ask: Was there any unusual noise or vibration?
Note: After listening, review the previous repair and
maintenance records. If there is more than one operator, talk
to all of them and compare their observations for consistency
with the service and maintenance records.

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 2.Make a Preliminary Investigation
21

 These steps consist of external inspections and

observations that will be valuable when combined with the
results of the parts examination.
 Look for leaks, cracks or other damage that can point to the
cause of the failure.
 Make note of obvious leaks around hoses and seals.
 Look for cracks in the carrier housing (harder to see, but
sometimes visible).
 Does the general mechanical condition of the machine
indicate proper maintenance or are there signs of neglect?
 If equipped with a torque-limiting device, is it working
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 3.Prepare the Parts for Inspection
22

 After the preliminary investigation, locate the failure and

prepare the part for examination. In failure analysis, it may be
necessary to disassemble the unit.
 When disassembling subassemblies and parts, do not clean
the parts immediately since cleaning may destroy some of the
evidence.
 Ask more questions when examining the interior of the
machine. Does the lubricant meet the manufacturer
specifications?
 Regarding quality, quantity, and viscosity? As soon as you
have locate the failed part, take time to analyze the data.

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 4. Find the Cause of the Failure
23

 Here begins the real challenge to determine the exact cause of the
failure. Keep in mind that there is no benefit to replacing a failed
part without determining the cause of the failure !!!

 For example, after examining a failed part and finding that the
failure is caused by a lack of lubrication, you must determine if
there was an external leak. Obviously, if there is an external leak,
just replacing/ refilling the failed part/lubricant is not going to
correct the situation.

 Another important consideration is to determine the specific type

of failure which can be a valuable indicator for the cause of failure.
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 5. Correct the Cause of the Problem
24

Once the cause of the problem has been determined,

refer to the appropriate Service Manual to perform
the repairs.

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 Different Types of Failures and Possible Causes
25
Shock (Impact) Failure

Ring Gear - Catastrophic Ring Gear - Coast Side Shock

Failure Failure

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The End!!!
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