13/09/2022

Why do Things fail?

Prof Ted Smith
ehsmith@uclan.ac.uk

https://www.youtube.com/watch?v=ESTJC
QpGW3Q

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 13/09/2022

Learning outcomes
List the 6 most common root causes

Understand the difference between root cause and failure mechanism

Describe how these can cause failure

Analyse an incident and create a root cause analysis

Explain how fatigue occurs in rolling element bearings

Describe the mechanisms of adhesive and abrasive wear

3

Executive Summary
• When a failure occurs, it is important to
find the ‘root cause’
• The ‘root cause’ is usually due to:

• These lead to failure commonly due to:

• These are discussed in the following slides

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Static load increases

Dynamic changes
Mis-alignment
Dirt, Heat
Acid, Water Wear
Process fluid Overload Corrosion

ge tal
Lubricant

an en
Coating degradation

Su nge
s
ch onm

ch
rfa s
a
vir

ce
En Why
things
fail

rat ive
Hu tors

ion
vib ess
fac
ma

Poor adjustments

c
n

Ex
(e.g. valves) Strength Loosening
Mistakes with controls degradation Mis-alignment
Out-of-balance

Embrittlement
Annealing
Fatigue cracking
Creep
5

- Loss of product
- Loss of customers
- Loss of reputation
- Loss of income

Unscheduled downtime

- Environmental
Overload damage
ge tal
an en

- ‘Clean-up’
Su nge
s

- Injury or death
ch onm

ch

costs
rfa s
a

- Damage to
vir

ce

equipment, Why - Prosecution

En

buildings etc Accidents things Pollution - Loss of

fail customers
rat ive

- Prosecution
Hu tors

ion

- Loss of
vib ess
fac

- Financial
ma

reputation.
c

compensation
n

Ex

- Loss of Strength
degradation
customers
- Loss of
reputation
Unscheduled repairs

- Unbudgeted financial costs

- Disruption to other work 6
- Reduced profits

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Overload and Vibration

Common root causes of failure:
1. Static load increase
2. Dynamic load changes
3. Misalignment
4. Unbalance
5. Resonance
6. Looseness
7. Bent shaft

Misalignment
Causes include soft foot, pipe strain, inadequate bases etc.

https://www.youtube.com/watch?v=MXAsK
FnCqUE

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Misalignment
Soft foot Pipe strain

https://www.youtube.com/watch?v=9Sb2k6
toAQY

https://www.youtube.com/watch?v=2FNGR
GCo8sk

Imbalance/Unbalance

Click

https://www.youtube.com/watch?v=VKr5RZt6MQo

http://www.lifetime-reliability.com/free-
articles/precision-
maintenance/Rotating_Machinery_Rotor_B
alancing.pdf

10

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Resonance

https://www.youtube.com/watch?v=iyw4AcZuj5k

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Looseness

https://www.youtube.com/watch?v=dUXtBf
xcpn0

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Bolt tensioning

Bolts are designed to be tightened to a specific clamping force. This clamping force or
tension ensures the joint will not slacken or vibrate loose. There are 3 main methods to
apply/measure the correct preload tension (BS4604):

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Bolt tensioning

Preload setting errors

• Operator "Feel" +/-35%
• Torque Wrench +/-25%
• Angle Torquing (Turn of nut) +/-15%
• Load Indicating Washer +/-10%
• Measuring Bolt elongation +/-5%
• Hydraulic Bolt pretension +/-(1% to 10%)
• Strain Gauges / Ultrasonics +/-1%
• Superbolt multi-jackbolt tensioners +/- 5%

http://www.lifetime-reliability.com/free-articles/precision-
maintenance/Summary_of_Bolt_Tensioning.pdf

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Analysing failure. Answer (a), (b) and (c)

A customer bought a cake that was supposed be topped with coconut but was topped with
almonds instead. This caused a severe allergic reaction which necessitated hospitalisation.
Upon investigation, the following facts were observed.
1. After the cleaning of the manufacturing plant, the removable labels on the separate
containers of coconut and almonds had been taken off.
2. The labels were not replaced for 2 days.
3. New operators were given training on the importance of using the correct topping to
avoid allergic reactions.
4. The person who operated the plant when the faulty cakes were produced was ill on the
day of his training and a new training date had not been fixed.

(a) What happened? (b) Why did it happen? (c) How can this situation be prevented?

Work in Teams to prepare your answers.

We will have a discussion about your answers so you should all

work together so that you are prepared to answer questions. 15

15

https://www.youtube.com/watch?v=BaEHV Video
pKc-1Q

https://www.pumpsandsystems.com/centrifugal-pumps/february-2018-
16
centrifugal-pump-primer

16

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Pump failure
The centrifugal pump in a nitric acid
plant stops working.
The fitter isolates the pump and
removes the outlet pipe to reveal the
impeller.
She finds that there is considerable
corrosion on the impeller

Upon removing the impeller, it is seen

that the bearing nearest the impellor
exhibits very severe damage to the inner
race,

What could be the root cause and what

is the failure mechanism?

17

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An example of Root Cause

Why? Why? Why? Why? Why?

Fatigue Excessive Out of

Pump Bearing Corrosion
of inner load on balance of
fails failed of impellor
race bearing rotor

Why?

Incorrect
material

https://en.m.wikipedia.org/wiki/Five_Whys

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 1st Why did this occur?

13/09/2022

Delving deeper into the system to find the root cause

2nd Why did this occur?

RootrdCause Analysis Form

3 Why did this occur?
What was the Incident or Problem?

4thst Why did this occur?

1 Why did this occur?

Delving deeper into the system to find the root cause

5thndWhy did this occur?1
2 Why did this occur?

3rd Why did this occur?

What needs to be done to prevent the Root Cause happening again?
Learning
and
Prevention

4th Why did this occur?

Ted Smith, 20/7/2022

19

1 add more rows if necessary

5th Why did this occur?1
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Learning What needs to be done to prevent the Root Cause happening again?
and

Your turn!
Prevention

A customer bought a cake that was supposed be topped with coconut but was topped with
almonds instead. This caused a severe allergic reaction which necessitated hospitalisation.
Ted Smith, 20/7/2022
Upon investigation, the following facts were observed.
1. After the cleaning of the manufacturing plant, the removable labels on the separate
1 add more rows if necessary
containers of coconut and almonds had been taken off.
2. The labels were not replaced for 2 days.
3. New operators were given training on the importance of using the correct topping to
avoid allergic reactions.
4. The person who operated the plant when the faulty cakes were produced was ill on the
day of his training and a new training date had not been fixed.

Complete the RCA Report Form

Work in Teams to prepare your answers.

We will have a discussion about your answers so you should all

work together so that you are prepared to answer questions. 20

20

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Good design
Unscheduled downtime

Overload
ge tal
an en

Correct installation

Su nge
s
ch onm

ch
rfa s
a
vir

ce
En

Why things
Accidents fail Pollution

rat ive
Hu tors

ion
vib ess
fac
ma

Preventive maintenance
n

Ex

Strength
degradation

Unscheduled repairs
Good repair work

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Electrical
Electrical Plastic
Plastic
Fatigue
Fatigue Wear
Wear Corrosion
Corrosion Fracture
Fracture
erosion
erosion deformation
deformation

Subsurface
Subsurface Adhesive
Adhesive Frictional
Frictional Excessive
Excessive Forced
Forced
Overload
Overload
fatigue
fatigue wear
wear corrosion
corrosion voltage
voltage fracture
fracture

Surface
Surface Abrasive
Abrasive Moisture
Moisture Current
Current Indentation
Indentation Fatigue
Fatigue
initiated
initiated wear
wear corrosion
corrosion leakage
leakage from
from fracture
fracture
fatigue
fatigue debris
debris
Thermal
Thermal
Indentation
Indentation cracking
cracking
by
by
handling
handling

Failure in Rolling Element Bearings BS ISO 15243:2004

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Rolling Element Bearing Failures

Contamination Other
17% 17% Fatigue
33%

Incorrect
lubrication
33%

• 1/3rd fail due to fatigue

• 1/3rd fail due to lubrication problems
• wrong lubricant, wrong quantity, wrong lubrication interval
th
• 1/6 fail due to contamination
• ineffective seals

• 1/6th fail for other reasons

• improper handling and mounting, heavier or different loading than anticipated,
wrong or inadequate fits

From Bearing damage and failure analysis, SKF 23

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Fatigue
Electrical
Electrical Plastic
Plastic
Fatigue
Fatigue Wear
Wear Corrosion
Corrosion Fracture
Fracture
erosion
erosion deformation
deformation

Subsurface
Subsurface Adhesive
Adhesive Frictional
Frictional Excessive
Excessive Forced
Forced
Overload
Overload
fatigue
fatigue wear
wear corrosion
corrosion voltage
voltage fracture
fracture

Surface
Surface Abrasive
Abrasive Moisture
Moisture Current
Current Indentation
Indentation Fatigue
Fatigue
initiated
initiated wear
wear corrosion
corrosion leakage
leakage from
from fracture
fracture
fatigue
fatigue debris
debris

• This is a type of failure caused by repeatedly

Indentation
Indentation
by
Thermal
Thermal
cracking
cracking
by
handling
handling

• Cracks develop and grow, eventually causing

• Characterised by pits on the surface

•

• Its the main feature which

• Also effects gear teeth, and plain bearings subject to changing
load patterns
• Failure is described by

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Some common types of rolling element bearings

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25

26

26

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35,000
N

Steel cylinder and

block. Because of
symmetry, only half the
geometry has been
analysed
mm

mm 27

27

Maximum principal stress difference (i.e. max shear stress), MPa

Max within
cylinder.
This is
where failure
will occur

Max within
block. This
is where
failure will
occur

28

28

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Hertzian stress analysis

29

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Part: Inner ring of an angular contact ball

bearing
Symptom: Spalling around half of the
circumference of the raceway surface
Cause: Poor lubrication due to entry of
cutting coolant into bearing

Part: Inner ring of an angular contact ball

bearing
Symptom: Spalling diagonally along
raceway
Cause: Poor alignment between shaft and
housing during mounting

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https://www.nskamericas.com/flaking-160.htm

30

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Part: Inner ring of deep groove ball

bearing
Symptom: Spalling of raceway at ball
pitch
Cause: Dents due to shock load
during mounting

Part: Balls
Symptom: Spalling of ball surface
Cause: Dents due to shock load while
stationary

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https://www.nskamericas.com/flaking-160.htm

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Summary
• When a failure occurs, it is important to
find the ‘root cause’
• The ‘root cause’ is usually due to:

• These can lead to failure commonly due

to:

32

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