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Pump Reliability
Components of an RCM Program

Reliability-Centered Maintenance (RCM) integrates Preventive Maintenance (PM),

Predictive Testing and Inspection (PT&I), Repair (also called reactive maintenance),
and Proactive Maintenance to increase the probability that a machine or
component will function in the required manner over its design life-cycle with a
minimum amount of maintenance and downtime.

INTRODUCTION TO RELIABILITY-
CENTERED MAINTENANCE
• RCM requires maintenance decisions to be
supported by sound technical and economic
justification
• For example, an identical make and model of
exhaust fan can be used to support restroom
operations or as part of a smoke/purge system.
• The consequence of failure and the maintenance
approach of the two units are different, based on
the system used.

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RCM analysis carefully considers the

following questions:

What does the system or

equipment do; what are its
functions?
What functional failures are likely
to occur?
What are the likely consequences
of these functional failures?
What can be done to reduce the
probability of the failure, identify
the onset of failure, or reduce the
consequences of the failure?

. RCM Analysis Considerations

3

RCM AND FAILURE ANALYSIS

maintenance tasks should be performed between the point of initial degradation and
point of initial detection

P-F Curve

For example, a fan operating at an overall vibration level of 0.2 inches per second (ips) is closer
to the point of functional failure than an identical unit operating at an overall vibration level of
0.1 ips and should be monitored more frequently. 4

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RCM AND FAILURE ANALYSIS

FAILURE FAILURE MODES AND
1 System and System EFFECTS ANALYSIS
Boundary 1 Criticality of
2 Function and Occurrence
Functional Failure 2 Probability of
3 Failure Modes Occurrence
4 Reliability 3 Cause of Failure
5 Failure Characteristics
6 Preventing Failure

Failure descriptors
Notation Description
1.0
Mechanical failure — A failure related to some mechanical defect, but where no
genera further details are known
1.1
Leakage External and internal leakages, either liquids or gases. If the
failure mode at equipment unit level is leakage, a more
causal-oriented failure descriptor should be used wherever
possible
1.2
Vibration Abnormal vibration. If the failure mode at equipment level is
vibration, a more causal-oriented failure descriptor should be
used wherever possible
1.3
Clearance/alignment failure Failure caused by faulty clearance or alignment
1.4
Deformation Distortion, bending, buckling, denting, yielding, shrinking, etc.
1.5
Looseness Disconnection, loose items
1.6
Sticking Sticking, seizure, jamming due to reasons other than
deformation or clearance/alignment failures
2.0
Material failure — general A failure related to a material defect, but no further details
known
2.1
Cavitation Relevant for equipment such as pumps and valves
2.2
Corrosion All types of corrosion, both wet (electrochemical) and dry
(chemical)
2.3
Erosion Erosive wear
2.4
Wear Abrasive and adhesive wear, e.g. scoring, galling, scuffing,
fretting, etc.
2.5
Breakage Fracture, breach, crack
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2.6 Fatigue If the cause of breakage can be traced to fatigue, this code
should be used
2.7
Overheating Material damage due to overheating/burning
2.8
Burst Item burst, blown, exploded, imploded, etc.
3.0
Instrument failure — Failure related to instrumentation, but no details known
general
3.1
Control failure
3.2
No No signal/indication/alarm when expected
signal/indication/alarm
3.3
Faulty Signal/indication/alarm is wrong in relation to actual process.
signal/indication/alarm
Could be spurious, intermittent, oscillating, arbitrary
3.4
Out of adjustment Calibration error, parameter drift
3.5
Software failure Faulty or no control/monitoring/operation due to software
failure
3.6
Common mode failure Several instrument items failed simultaneously, e.g. redundant
fire and gas detectors
4.0
Electrical failure — Failures related to the supply and transmission of electrical
general power, but where no further details are known
4.1
Short circuiting Short circuit
4.2
Open circuit Disconnection, interruption, broken wire/cable
4.3
No power/voltage Missing or insufficient electrical power supply
4.4
Faulty power/voltage Faulty electrical power supply, e.g. overvoltage
4.5
Earth/isolation fault Earth fault, low electrical resistance

Failure descriptors
No. Notation Description
The failure where caused by some external events or
5 External influence — general substances outside boundary, but no further details
are known
Flow restricted/blocked due to fouling,
5.1 Blockage/plugged
contamination, icing, etc.
Contaminated fluid/gas/surface, e.g. lubrication oil
5.2 Contamination
contaminated, gas detector head contaminated
Miscellaneous external Foreign objects, impacts, environmental, influence
5.3
influences from neighboring systems
Descriptors that do not fall into one of the
6 Miscellaneous — generala
categories listed above
No information available related to the failure
6.1 Unknown
descriptor

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Failure causes
No Notation Description
Design-related causes —
1 general Failure related to inadequate design for operation and/or
maintenance, but no further details known
1.1 Improper capacity Inadequate dimension/capacity
1.2 Improper material Improper material selection
1.3 Improper design Inadequate equipment design or configuration (shape, size,
technology, configuration, operability, maintainability, etc.)
2 Fabrication/installation- Failure related to fabrication or installation, but no further details
related causes general known
2.1 Fabrication error Manufacturing or processing failure
2.2 Installation error Installation or assembly failure (assembly after
maintenance not included)
3 Failure related to Failure related to operation/use or maintenance of the
operation/maintenance equipment, but no further details known
— general
Off-design or unintended service conditions, e.g. compressor
operation outside envelope, pressure above specification,
3.1 Off-design service etc

Failure causes
3.2 Operating error Mistake, misuse, negligence, oversights, etc. during operation

Mistake, errors, negligence, oversights, etc. during maintenance

3.3 Maintenance error
Failure caused by wear and tear resulting from normal operation
Expected wear and
3.4 of the equipment unit
tear
Failure related to
Failure related to some administrative system, but no further
4 administration —
details known
general
Failure related to procedures, specifications, drawings,
4.1 Documentation error
reporting, etc
Failure related to planning, organization, quality
4.2 Management error control/assurance, etc.

Miscellaneous —
5 Causes that do not fall into one of the categories listed above
generala

5.1 Unknowna No information available related to the failure cause

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Method of detection
No. Notation Description
Preventive Failure discovered during preventive service, replacement or overhaul of an item
1
maintenance when executing the preventive maintenance programme
Failure discovered by activating an intended function and comparing the response
2 Functional testing
against a predefined standard
Failure discovered during planned inspection, e.g. visual inspection, non-destructive
3 Inspection
testing
Failures revealed during a planned, scheduled condition monitoring of a predefined
Periodic condition
4 failure mode, either manually or automatically, e.g. thermography, vibration
monitoring
measuring, oil analysis, sampling

Continuous condition Failures revealed during a continuous condition monitoring of a predefined failure
5
monitoring mode

Corrective
6 Failure observed during corrective maintenance
maintenance
Observation during routine or casual non-routine operator checks mainly by senses
7 Observation
(noise, smell, smoke, leakage, appearance, local indicators)
Several of above methods involved. If one of the methods is the predominant one;
8 Combination
this should be coded
Production
9 Failure discovered by production upset, reduction, etc.
interference
10 Other Other observation method
11

Maintenance activity
No. Activity Description Examples type
1 Replace Replacement of the item by a new, or Replacement of a worn-out bearing
refurbished, of the same type and
make C, P
2 Repair Manual maintenance action Repack, weld, plug, reconnect, remake,
performed to restore an item to its etc.
original appearance or state C
3 Modify Replace, renew, or change the item, Install a filter with smaller mesh
or a part of it, with an item/part of diameter, replace a lubrication oil
different type, make, material or pump with another type, etc.
design C
4 Adjust Bringing any out-of-tolerance Align, set and reset, calibrate, balance
condition into tolerance C
5 Refit Minor repair/servicing activity to Polish, clean, grind, paint, coat, lube,
bring back an item to an acceptable oil change, etc.
appearance, internal and external C
6 Check The cause of the failure is Restart, resetting, etc. In particular
investigated, but no maintenance relevant for functional failures, e.g. fire
action performed, or action deferred. and gas detectors
Able to regain function by simple
actions, e.g. restart or resetting C

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Maintenance activity
7 Service E.g. cleaning, replenishment of
Periodic service tasks. Normally consumables, adjustments and
no dismantling of the item calibrations P
8 Test Periodic test of function
Function test of fire pump, gas
availability detector etc. P
9 Inspection Periodic inspection/check. A All types of general checks.
careful scrutiny of an item carried
Includes minor servicing as part of
out with or without dismantling, the inspection task
normally by use of senses P
10 Overhaul Comprehensive
inspection/overhaul with
Major overhaul extensive disassembly and
replacement of items as specified
or required P(C)
11 Combinatio Several of the above activities are If one activity is the dominating,
n included this could alternatively be
recorded C, P
12 Other Maintenance activity other than
specified above C, P

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15

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Pump can
deliver up to
1000 liters of
water per mute
Y
X Off take from
tank What is the function of the
800 liters/ equipment and what is the expected
minute performance?

Margin for deterioration The objectives of the maintenance with

respect to any asset are defined as the
Performance

Desired performance functions of the asset and its associated

What the use want it desired standards of performance.
to do

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The objective of maintenance

Initial capability (what it can do)
is to ensure that capability
stays above this level
The maintenance
cannot raise the So maintenance
capability of the The objective of achieves its
assets above this maintenance is to objectives by
Performance

level . So this ensure that maintaining the

asset is not capability stays capability of the
maintainable above this level asset in this zone

Desired performance
Initial capability Desired performance
What the use want it to do
Maintenance asset
Performance

The maintenance cannot raise

the capability of the assets
above this level . So this asset
is not maintainable

Non Maintenance situation 18

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Pump Example Motor example

• if the pump shown in Figure had
an initial capability of 750 litres/ Similarly, if we make a habit of
minute, it would not be able to trying to draw 15 kW (desired
keep the tank full. Since the performance) from a 10 kW electric
maintenance program does not motor (initial capability), the motor
exist which makes pumps will keep tripping out and will
bigger, maintenance cannot eventually burn out prematurely.
deliver the desired performance
in this context. No amount of maintenance will
make this motor big enough.
Pump can
deliver up to
1000 liters of
water per mute Y
X Off take from
tank
800 liters/ minute

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In what way does the equipment fail to

fulfill its function?
How the item can fail to fulfill its function?

What can cause each possible loss of function?

(Inability of an asset to meet a desired standard of
performance).

20

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FAILURE
MODE

What causes each functional failure?

Identify the failure modes, which are reasonably

likely to cause each loss of function. Identify the
cause, not the symptoms.
NOTE: This should be done for all new equipment. Where a good
record exists, it is better to concentrate on the real causes already
registered

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Failure mode
For instance, the pump in last
Figure has at least two
functions.
1. Is to pump water at not
less than 800 litres/minute,
2. the other is to contain the
water.
• It is perfectly feasible for
such a pump to be capable
of pumping the required
amount (not failed in terms
of its primary function) while
leaking excessively (failed in
terms of the secondary
function
This shows why it is more
accurate to define failure in
terms of the loss of specific
functions rather than the
failure of an asset as a whole.
It also shows why the RCM
process uses the term
'functional failure' to describe
failed states, rather than
'failure' on its own
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Failure mode examples

For instance, the function of a temperature
gauge could be listed as 'to display the
temperature of process X to within (say) 2% of journals in a cycle time of 3.00±:0.03 minutes
the actual process temperature.
This gauge can suffer from three functional
failures, as follows:
fails altogether to display process temperature 2. Grinds workpiece in a cycle time longer
displays a temperature more than 2% higher
than the actual temperature
displays a temperature more than 2% lower
than the actual temperature.
For example, the primary function of a sweet-
packing machine as being 'To pack 250±1 gm
of sweets into bags at a minimum rate of 75
bags per minute'. This machine has failed:
if it stops altogether
if it packs more than 251 gm of sweets into any
bags
if it packs less than 249 gm into any bags
if it packs at a rate of less than 75 bags per
minute.
The function of a crankshaft grinding machine
was listed as 'To finish grind main bearing
to a diameter of 75 ±0.1 mm with a surface
finish of Ra 0.2'.
1. Completely unable to grind workpiece
than 3.03 minutes
3. Grinds workpiece in a cycle time less
than 2,97 minutes
4. Diameter exceeds 75.1 mm
5. Diameter is below 74.9 mm
6. Surface finish too rough.
For example, the primary function of the pump
discussed earlier is 'to pump water from tank X
to Tank Y at not less than 800 litres/minute'.
This function could suffer from two functional
failures, as follows:
1. fails to pump any water at all
2. pumps water at less than 800 lilres per
minute.
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FAILURE
EFFECTS Failure Failure effect
mode
What will happen when 1 Gearbox Motor trips and alarm sounds
each failure occurs? bearing in the control room. 3 hours
seize downtime to replace gearbox
with spare. New bearings
Describes what would fitted in workshop
happen or what happened 2 Gear Motor does not trip but
teeth machine stops. 3 hours
when the failure did occur. It stripped downtime to replace gearbox
should also cover such issues with spare. New gears fitted in
like downtime, effects on workshop
product quality, etc 3 gearbox Motor trips and alarm sounds
seized in control room. 3 hours
due to downtime to replace gearbox
lack of oil with spare. Seized gearbox
would be scrapped
24

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FAILURE
CONSEQUENCES
What are the consequences of the
failure?

Failure consequences are far more important than

their technical characteristics. The only reason for
doing any kind of preventive maintenance is not
only to prevent failures, but to avoid or at least
mitigate the consequence of failure.
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Will the loss of the Could this failure mode Does this failure mode
function caused by this cause a loss of function have a direct adverse
failure mode on its own or secondary damage effect on operational
become evident to the which could hurt or kill capability?
operating crew under someone or lead to the
normal circumstances? breach of any known
environmental standard?

Proactive maintenance
is worth doing if it
reduces the probability
of a multiple failure to a
tolerable level
Proactive maintenance is
Proactive maintenance
worth doing it over a
is worth doing it over a
period of time it costs
period of time it costs
less than the cost of the
Proactive maintenance is less than the cost of
operational
worth doing if it reduces repairing the failure.
consequences plus the
the probability of the cost of replacing the
failure to a tolerable level failure

Do a schedule Redesign is No schedule No schedule

failure finding task compulsory maintenance maintenance

Redesign may Redesign may Redesign may

be compulsory be desirable be desirable

The evaluation of failure consequences

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MAINTENANCE
ACTION

What can be done to prevent each

failure?

Select the appropriated maintenance

PM, CM or PrM

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RCM information worksheet

System : Cooling water pumping system
Sub system :

Function Functional failure Failure Mode

(Loss of function) (Cause of failure)
To transfer A Unable to 1 Bearing seizes
water from transfer any 2 Impeller comes drift
tank X to tank Y water at all 3 Impeller jammed by foreign object
at not less than 4 Coupling hub shears due to fatigue
800 liters/ 5 Motor burns out
minute 6 Inlet valve jams closed
etc
B Transfers less 1 Impeller worn
than 800 liters 2 Partially blocked suction line
per minute Etc..

Failure modes of a pump

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14

level1 level2 level3 level4 level5
pump set fail pump fails impeller fails impeller come drift mounting nut undone
mounting nut worn away
impeller nut cracked
impeller key sheared
object smashes impeller part in system after maintenanceassembly error
foreign object enters system
casing
ruptured casing bolts come loose casing bolts under tightened
bolt loosened by vibration
casing bolts corroded away
bolts fail due to fretting
casing joint fails joint incorrectly fitted
joint fails due to fretting
casing smashed casing smashed by vehicle
smashed by object from the sky casing hit by meteorite
pump seal failsnormal wear and tear seal abraded
pump runs dry water supply fails
seal misaligned assembly error
seal faces dirty assembly error
wrong seal fitted wrong seal supplied
wrong seal specified
Damaged seal installed pump seal dropped in stores
pump seal damaged in transit
Failure modes at different levels of detail
9/14/2013
level6 level7
nut not righting correctly assembly error
nut eroded/corroded away
nut made of wrong material wrong material supplied
wrong material specification
impeller nut overnighting assembly error
not made of wrong material wrong material specified
wrong material supplied
wrong key steel specified design error
wrong key steel supplied procurement error
storekeeping error
requisition error
suction strainer not installed assembly error
strainer holed by corrosion
assembly error
assembly error
operating error
pump in vulnerable position design error
casing hit by part of aircraft
procurement error
storekeeping error
design error
procurement error
storekeeping error
29
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Failure modes at different levels of detail

31

Pumps
Equipment class Type Application
Description Code Description Code Description Code
Pump PU Water fire-
Centrifugal CE fighting FF
Reciprocating RE Water injection WI
Rotary RO Oil handling OH
Gas treatment GT

Gas processing GP
Chemical
injection CI
Sea-water lift SL
NGL export NE
Utility UT

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Equipment boundary — Pump s

33

Equipment unit subdivision — Pumps

Equipment
Pumps
unit
Power Control and Lubrication
Subunit Pump unit Miscellaneous
transmission monitoring system
Gearbox /
Support Control Reservoir Purge air
variable drive
Actuating Pump with Cooling/heating
Casing
device motor system
Bearing Impeller Monitoring Filter Filter, cyclone
Pulsation
Seals Shaft Valves Cooler
damper
Radial
Maintainabl Lubrication bearing
Internal power Valves Flange joints
e items Coupling to Thrust
supply Piping Others
driver bearing
Oil
Coupling to Seals
driven unit Valves
Piping
Cylinder
liner
Piston
Diaphragm
34

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Name Description Unit or code list

Corresponding driver Specify driver identification
Type of driver (*) Type Electric, turbine, diesel, gas engine
Oil, gas, condensate, freshwater,
steam, sea water, crude oil, oily
water, flare gas, fuel gas,
Fluid handled (*) Type water/glycol, methanol, nitrogen,
chemicals hydrocarbon-combined,
gas/oil,gas/condensate, oil/water,
gas/oil/water
Benign (clean fluids, e.g. air, water,
nitrogen) Moderately
corrosive/erosive (oil/gas not
Fluid corrosive/erosive
defined as severe, sea water, Benign, moderate, severe
(*)
occasionally particles) Severe
corrosive/erosive [sour gas/oil (high
H2S), high CO2,content] high sand
Booster, supply, injection, transfer,
Application — pump (*) Where applied
lift, dosage, disperse
Axial, radial, composite, diaphragm,
Pump design Design characteristic plunger, piston, screw, vane, gear,
lobe
Power — design (*) Design/rated power of pump kW
Utilization of capacity (*) operating/design capacity %
Suction pressure —
Design pressure Pascal (bar)
design (*)
Equipment unit specific data — Pumps
35

Name Description Unit or code list

Discharge pressure design
Design pressure Pascal (bar)
(*)
Speed Design speed r/min or strokes/min
Centrifugal: Number of impellers
(in all stages) Reciprocating:
Number of stages Numeric
Number of cylinders Rotary:
Number of rotors
Barrel, split case, axial split,
Body type Barrel, split casing, etc.
cartridge,
Shaft orientation Horizontal, vertical
Mechanical, oil seal, dry gas, packed
Shaft sealing Type
gland, dry seal, labyrinth, combined
Transmission type Type Direct, gear, integral,
Fixed, flexible, hydraulic, magnetic,
Coupling Coupling
disconnect
Environment (*) Submerged or dry-mounted
Specify if separate cooling system
Pump cooling Yes/No
is installed

Radial bearing Thrust Type Specify in comment field if

Ant frictional, journal, magnetic
bearing thrust pressure regulator installed
Overhung, between bearings, pump
Bearing support Type
casing, split sleeve
(*) Indicates high-priority information.
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Equipment unit Code Definition Description

Pumps FTS Fail to start on demand Unable to activate pump

STP
Fail to stop on demand Unable to stop or incorrect shutdown process
SPS Spurious stop Unexpected shutdown of pump
BRD Serious damage (seizure, breakage, explosion,
Breakdown etc.)
HIO
High output Output pressure/flow above specification
LOO
Low output Output pressure/flow below specification
ERO Erratic output Oscillating or unstable pressure/flow
ELP External leakage process medium Process medium escape to environment
ELU
External leakage utility medium Lube/seal oil, coolant, etc.
INL Internal leakage E.g. process medium in lube oil
VIB Vibration Excessive vibration
NOI Noise Excessive noise
OHE Overheating Excessive temperature
PDE Parameter deviation Monitored parameter exceeding tolerances
AIR Abnormal instrument reading E.g. false alarm, faulty reading
STD Structural deficiency E.g. cracks in support or suspension
SER Minor in-service problems Loose items, discoloration, dirt, etc.
OTH Other Specify in comment field
UNK Unknown Inadequate/missing information

Failure modes — Pumps

37

Seals Seals
A seal is a device placed between two surfaces
to prevent the flow of gas or fluid from one Static Dynamic
region to another. Seals are used for both seal seal
static and dynamic applications

gasket Sealant O-ring

The reliability of a seal design Reciprocati Rotating Fixed Non contact

ng seal seal seal seal
is determined by the ability of the seal to Labyrinth
restrict the flow of fluid from one region to Magnetic

another for its intended life in a prescribed

operating environment. The evaluation of a
seal design for reliability must include a
definition of the design characteristics and the
operating environment in order to estimate its
design life

38

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Dynamic seal
Wear often occurs between the primary ring and mating ring. This surface contact
is maintained by a spring. There is a film of liquid maintained between the sealing
surfaces to eliminate as much friction as possible.

the three common points of sealing contact occur between the following points:
(1) Mating surfaces between primary and mating rings
(2) Between the rotating component and shaft or sleeve
(3) Between the stationary component and the gland plate

However, elastomers are more sensitive to

thermal deterioration than to mechanical
wear. Hard particles can become embedded in
soft elastomeric and metal surfaces leading to
abrasion of the harder mating surfaces forming
the seal, resulting in leakage

39

FAILURE MODE FAILURE MECHANISMS FAILURE CAUSES

Leakage Wear - Misalignment - Shaft out-of-roundness - Excessive

shaft end play
- Excessive torque - Surface finish - Contaminants
- Inadequate lubrication
Dynamic instability - Misalignment
Embrittlement - Contaminants - Fluid/seal incompatibility
- Thermal degradation - Idle periods between use
Spring Failure See Chapter 4, Table 4-1
Fracture Stress-corrosion cracking - Excessive PV value
- Excessive fluid pressure
Edge chipping - Excessive shaft deflection - Seal faces out-of-square
- Excessive shaft whip

Axial shear - Excessive pressure loading

Torsional shear Excessive torque due to improper lubrication
- Excessive fluid pressure
40

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Bearings
• Bearings are among the few components that
are designed for a finite life because of the
fatigue properties of the materials used.
• There are many different types of bearings in
use making it extremely difficult to establish
base failure rates for bearings based on field
performance data. Bearing analysis is also
extremely difficult due to the large number of
engineering parameters associated with
bearing design

Design considerations
1. Internal Clearance
2. Bearing Race Creep
3. Bearing Material

41

FAILURE MODE FAILURE MECHANISM FAILURE CAUSE

Fatigue damage - Spalling of ball/roller raceway - Heavy, prolonged load

Noisy bearing
Bearing seizure
Bearing vibration
- Brinelling - Excess speed
- Smearing - Shock load
- Excessive vibration
- Surface fatigue - Loss of lubricant
- Glazing - Housing bore out of round
- Microspalling of stressed - Corrosive agents
surfaces - Distorted bearing seals
Crack formation on rings Inadequate heat removal
and balls or rollers capability
- Skidding - Loss of lubricant
- High temperature
- Excessive speed
- Scuffing Misalignment
- Fretting - Housing bore out of round
- Pitting of surfaces - Unbalanced/excessive load
- Inadequate housing support

Typical Modes of Bearing Failure 42

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Bearing failures
Inspection Requirements
Subsurface fatigue
1. dimensional inspection Fatigue
Surface initiated fatigue
requirements
2. Magnetic particle Abrasive wear
inspection can detect the Wear
presence of relatively large Adhesive wear

surface or near-surface
Moisture corrosion
anomalies(irregularity), Corrosion Fretting corrosion
such as inclusions Frictional corrosion
(additional), which are False brinelling
often the cause of bearing Excessive voltage
Electrical erosion
spalls.
Current leakage
3. Metal etch(scratch)
inspection can detect the Overload
Indents by handling
presence of grinding burns, Plastic deformation
Indentation
which locally change the Indents from debris
hardness of the material
Forced fracture
and cause premature
bearing failure Fracture Fatigue fracture

Thermal cracking 43

Fatigue

Wear

Plastic deformation
Corrosion

Fatigue 44

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Pump failure
No dis. At all
Function Failure
LEVEL 1
Motor burned out Bearing Failure Valve is shut
Failure Mode Failure Mode Failure Mode
LEVEL 2
Dirt / Debris Lack of lubrication Overloading WEAR
Have the bearing analyze for its metallurgical lab on why it failed

Adhesive Abrasive Erosive Fatigue Corrosive

How
LEVEL 3

High Vibration
How
LEVEL 4

Imbalance Misalignment Resonance How

LEVEL 5
Real Root Cause of the Problem

LEVEL 6
No procedure No Training
No Alignment Tools
45

RCFA evaluates factors The most common causes of

affecting service service failures or breakdown:
performance such as:
Incorrect operation
• Materials/corrosion/e
Poorly performed or inadequate
nvironment
maintenance
• Changes in operational
Incorrect installation and bad
conditions
workmanship
• Stresses and strains
Incorrect repair introducing new
defects
• Presence of defects
Poor quality manufacture leading to
and their origin, substandard
nature and
components
consequences

Poor design
• Design
• Welding procedures
and material
weldability

46

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Examples of problems disclosed by the laboratory investigation

as part of the RCFA:
BALL-/ROLLER BEARING DRIVE SHAFTS
• Poor design
• Incorrect material quality
• Manufacturing defects
• Poor alignment and balance • Incorrect design
• Seal failure • Poor quality manufacture
• Electrical discharge (arcing) • Geometric imperfections
• Overload • Incorrect operation
• Inadequate lubrication • Surface defects
• Vibration • Corrosion
• Contamination
• Incorrect balance and alignment
• Fretting
• Incorrect assembly
• Corrosion
• Fatigue or overloading

47

Root Cause Failure Analysis

Disclosed Failure of:
MAIN BEARING
• Heavily worn raceway,
cracking of casehardened
surface, plastic
deformation of sealing
groove
• The main cause of failure
was overloading of the
bearing.
Actions/recommendation:
• Reanalysis by FEM and
redesign
Bearing Breakdown
• Axial overloading
• Thrust washers fitted in
both bearing housings
• Incorrect assembly
Actions/recommendation:
Remove thrust washers
from one bearing
housings

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Balance
• Bearings are the machine
components that support and
transfer the forces from the
rotating element to the
machine frame
• One of the leading causes of
premature rolling element
bearing failure is parasitic load
due to excessive vibration
caused by imbalance and
misalignment.
• The resulting parasitic loads
result in increased dynamic
loads on the bearings.

49

Rotor Imbalance
Mechanical imbalance is the condition where more weight is on
one side of a centerline of a rotor than on the other
rotor imbalance is the result of an imbalance between
centripetal forces generated by the rotation. The source of rotor
vibration also can be an imbalance between the lift generated by
the rotor and gravity.

In many cases, the solution to a balancing problem can be

greatly simplified if the "type" of rotor unbalance can first be
identified. Essentially, there are four types of rotor unbalance -
static,couple, quasi-static and dynamic.
Each type of unbalance is identified by the relationship which
exists between the shaft centerline or shaft axis and the
"central principal axis" which is the axis about which the weight
of the rotor is equally distributed

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a condition of static unbalance. A single

unbalance weight has been placed in the center
plane of the rotor, causing the rotor center-of-
gravity to be displaced off the rotating centerline.
Note that the central principal axis is displaced
parallel to the shaft axis

Obviously, a condition of static unbalance

can be totally corrected by making a single
weight correction in the center plane of the
rotor or, if this is not possible, by making
equal corrections at the end planes of the
rotor with the weights inline with one
another.
condition of couple unbalance where equal
unbalance weights have been added at the
end planes but 180° opposite one another.
•Although the center of gravity has not been
displaced off the centerline, the central principal axis
is tilted and intersects the shaft axis at the center of
gravity. It should be apparent that to correct this
condition of unbalance it will be necessary to apply
equal but opposite correction weights at the end
planes of the rotor.

Quasi-static unbalance
Dynamic unbalance

where the static unbalance component is in

line with one of the couple components.

the most common type of unbalance and

simply represents a random combination of
static and couple unbalance. Comparative
phase readings will not be the same or 180
degree opposite as they would for a static,
couple or quasi-static unbalance

26

What is balancing?
To the average person, rotor balancing is often
a "black art". Most people’s knowledge of
balancing is limited to car wheels and tyres that
must be balanced before fitting to cars;
otherwise they will experience steering wheel
judder, uneven wear on tyres and so on.
Units of unbalance
The units of unbalance are mass times radius,
for example: a weight added to a certain
position on the part being balanced would shift
the mass axis into the running axis and
therefore be in balance. The weight of
correction multiplied by the applied radius will
give an unbalance unit.
For metric measurement the units will be gram-
millimetres (gmm) or for large rotors, gram-
centimetres. The Imperial equivalent will be
gram-inches or ounce-inches. This weight
(mass) would be applied at a radius from the
running centre at the light position.
Methods of correcting unbalance
Removal of material by drilling, milling etc from
the heavy position on the component is used to
correct the unbalance. Alternatively it can be
corrected by adding material to the “light”
position on the component by bolting or
welding balance weights to reduce unbalance.
Balancing flexible rotors
This type of rotor is balanced at a low speed
where the rotor does not flex. Correction for
unbalance is made, then the speed is gradually
increased, and the unbalance is corrected in
stages until the rotor’s operating speed is
reached
An unbalanced rotor
Unbalance exists in a rotor when the mass
centre axis is different to its running centre
axis. Practically all newly machined parts are
non symmetrical due to blow holes in castings,
uneven number and position of bolt holes,
parts fitted off-centre, machined diameters
eccentric to the bearing locations etc.
An unbalanced rotor, when rotating, wants to
revolve around its mass centre axis. Because
the bearings restrict this movement, the
centrifugal force, due to the unbalance, causes
the rotor to vibrate. This vibration causes wear
to the bearings, creates unnecessary noise,
and, in extreme cases disintegration of the
rotor itself can be experienced. It is therefore
necessary to reduce the unbalance to an
acceptable limit.
Types of rotors
Rotors fall into two groups. One is where the
rotor is rigid and does not deflect up to and
including the operating speed.
The other group comprises flexible rotors that
“bow” up to the operating speed. The first
deflection seen is a “skipping rope effect”
which means the centre of the rotor at speed
moves out from its rotational axis, causing high
“static” unbalance.
Balancing machines
To identify the position and amount of
unbalance, balancing machines are used by a
rotor manufacture to correct any unbalance
that exists. These machines are so sensitive
that they can easily and accurately identify any
mass axis 0.001mm off the running axis.
One type of machine will only identify static
unbalance. This is used for balancing disk
shaped parts. Another type of machine will
identify unbalances in two axial planes, e.g. for
balancing a rotors whose length is
proportionally greater than its diameter. These
machines are available in versions that balance
the rotor in either the horizontal or vertical
axis.
With the use of modern electronics, accuracy
easily exceeds national and international
standards. The set-up of the machine is very
simple by just typing measurements into a
computer
Modern techniques
With the high cost of replacing damaged rotors,
the airline industry stipulates that parts or
sections of rotors that are changed must
maintain an acceptable balance. The technique
involves using dummy adjacent parts, for
example balancing a compressor module with a
dummy turbine module and replacing
compressor and turbine blades without any
further balance. These techniques are available
to general industry if customers require them
9/14/2013
Balancing limits
There are balance limits, just like machining
limits, where the unbalance is acceptable.
International and national standards are
quoted for rotors, for example:. car wheels are
balanced to a limit of grade 40 and small
electrical armatures are balanced to grade 2.5.
The grades are converted to unbalance units,
depending on the rotational speed of the rotor
as per ISO 1940 standards.
Types of unbalance
There are three types of unbalance:
Static unbalance – is where the mass axis is
displaced only parallel to the shaft axis. The
unbalance is corrected only in one axial plane.
Couple unbalance – is where the mass axis
intersects the running axis. For example: a disk
that has swash run-out with no static
unbalance. The unbalance is usually corrected
in two planes
Dynamic unbalance – is where the mass axis is
not coincidental with the rotational axis. This
unbalance is usually a combination of static and
couple unbalance and is corrected in two
planes
53
Balancing rigid rotors
Because unbalance exists in a component even
when stationary, rigid rotors can be balanced at
a low speed, just enough to produce a
centrifugal force to register the unbalance.
Summary
The latest production methods reduce or
eliminate the need for balancing in low speed
applications, but with ever increasing speeds
used on rotating machinery, dynamic balancing
will be necessary for the foreseeable future. An
understanding of dynamic balancing
streamlines the complete production process.
54
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Coupling Failure

when coupling subjected to torque and

misalignment, "ALL” couplings react on the
connected equipment components. Some
produce greater reactionary forces than others
and if overlooked, can cause vibration, shaft
failures, bearing failures, and other operational
and early failure of other components of the
drive train

55

56

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• Misalignment
• Looseness
• Bad installation
• Poor lubrication ( if needed)
• Wrong design
Alignment errors
Misalignment creates loads
that can exceed coupling
specifications, any coupling
that bends during
misalignment generates
bearing loads. Therefore,
excessive misalignment can
cause premature failure in
other system components,
such as bearings
Coupling failure
Shock and backlash
Backlash refers to play in
Torque couplings and is essentially
This is particularly important motion that is lost.
when torque varies, for Backlash is not acceptable in
instance with start-and-stop motion-control applications
motion. In some cases, where it diminishes positioning
designers may wish to build in accuracy and makes tuning the
a degree of torsional system difficult
compliance to dampen torque Shock damping helps reduce the
shock loads and peaks effects of impulse loads and
minimizes shock to the motor and
other sensitive equipment.
57

Coupling Selection
Early selection reduces errors in
estimating performance and makes
premature coupling failure less likely.
Coupling selection involves a number of
design criteria including torque,
misalignment, stiffness, inertia, rpm, shaft
mounting, environment, space limitations,
service factors, and cost. Engineers
selecting couplings must address all these
criteria in the selection process

58

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Alignment
• The forces of vibration
from misalignment also
cause gradual
deterioration of seals,
couplings, drive windings,
and other rotating
elements where close
tolerances exist.

Table 5-3. Recommended Coupled Alignment

Tolerances (General Motors, 1993)

Parameter Tolerance
Soft Foot 0.002" max
Foot centerline deformation(No Load to full load0 0.001" max
Single Steel Base Plate Thickness 1.0" min
Foot Movement Caused by Pipe Flange Tightening 0.002" max
Total Shim Pack 5
Minimum Shim Pack Size 0.125" min
Axial Shaft Play 0.125" min
Table 5-4. Alignment Related Tolerances
(General Motors, 1993) 59

Alignment Effects
Based on data from a
petrochemical industry
survey, precision
alignment practices
achieve:
– Average bearing life
increases by a factor of
8.0
– Maintenance costs
decreases of 7 percent
– Machinery availability
increases by 12 percent

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Misalignment types
Parallel Vertical misalignment
Parallel misalignment
Parallel horizontal misalignment
Angular Vertical misalignment
Angular horizontal misalignment

Angular misalignment

61

Straight edge

Many mechanics use a straightedge and a feeler gauge

to get the two shafts close to proper alignment. 62

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Equipment Item measure Tools

Coupling Face gap By feeler gauge and
straight edge
Shaft Run out Dial gauge

Base Level Sprit gauge

Alignment kit Bar sag Dial

Motor Soft foot Dial

Motor Magnetic Centre Dial

Pump/ compressor Pipe strain Dial

Pump/ compressor Thermal growth Dial

63

P= parallel A = Angular
V= vertical H = Horizontal
+ 0.0 + 0.0

12 12

+ 0.0 9 p 3 + 0.0 + 0.0 9 A 3 + 0.0

÷2 6
6
+ 0.0
- 17 ÷2 + 6

AV
- 8.5
+ 6
Minus PV
Sag -2 - 6.5 AH
+ 0.0
+ 0.0 PH
PV = - 6.5 AV = + 6
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Using Formulas

XAP X
inboard = * AV − PV
D
12
inboard = * 6 − 6 . 5 = 14
10
YAP Y
Outboard = * AV − PV
D
24
Outboard = * 6 + 6 . 5 = 20 . 9
10

65

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