An Introduction To Failure Analysis For Metallurgical Engineers

08/11/13
An Introduction to Failure Analysis for Metallurgical Engineers
TMS Outstanding Student

Paper Contest Winner-1999 Undergraduate Division
An Introduction to Failure Analysis for Metallurgical
Engineers
Thomas Davidson
FORWARD
The objective of this paper is to introduce the reader to the
procedures generally followed when conducting a
metallurgical failure analysis. Due to the large number, of
possible causes of failures, this report will not delve deeply
into theory. Instead, six failure case reports are provided to
allow the reader to learn by example. For this reason, the
reader is expected to have some background knowledge of
failure mechanisms. However, the paper includes a detailed
bibliography containing several sources that were used
during my summer employment to help carry out these cases.
The six cases presented are cases I worked on over the
summer of 98 for Noranda Technology Centre in the
Materials Technology for Failure Prevention group.
PROCEDURE
CONTENTS
FORWARD
PROCEDURE
CASE STUDIES
Introduction to Case
Studies
Case Study 1: Crane Bolt
Failure
Case Study 2: Rider Roller
Shaft Failure
Case Study 3: Crane Pin
Failure
Case Study 4: Shaft Bearing
Failure
Case Study 5: Bronze Bull
Gear Failure
Case Study 6: Analysis of
316L Reducer Failure
APPENDIX 1: EXAMPLE
QUESTIONNAIRE
Bibliography
To increase the odds of completing a conclusive failure analysis

while at the same time saving time and money, investigations
should be carried out using a systemic approach similar to that
outlined in Figure P.1. It is important to note however, that it is
often impossible to foresee results that might require the
investigator to go back and repeat a test. A simple way reduce
the occurrence of this is to go into a case well informed on how
similar systems have failed. An excellent source of for this type of
information is the ASM handbooks, particularly volume 10 on
"Failure analysis and prevention". This book is an invaluable
reference to the beginner and the expert and should be consulted
regularly. Another important source of information are the
standards by which the part was manufactured. These standards
give the investigator a measuring stick by which to compare, as
well as indicating areas of importance. There are many organisations that produce standards for different
www.tms.org/Students/Winners/Davidson/Davidson.html
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applications and several organisations standards can overlap. It would be a good idea for the investigators to
spend some time familiarising themselves with these organisations and how the standards are used. Table P.1
gives a brief list of the more common organisations that write standards and their general area of coverage.
The first step in conducting any failure analysis is to gain a good understanding of the conditions under which
the part was operating. The investigator must ask questions from those who work with, as well as those who
maintain the equipment and visit the site whenever possible. Contacting the manufacturer may also be
necessary. A simple questionnaire, presented in Appendix 1, is a good place to start and will lead the
investigator to more detailed questions. Unfortunately, in many instances the investigator will receive a failed
part with little information about its history and operating conditions. In cases such as these the physical
evidence will have to be more heavily relied on.
Figure P.1. Chart outlining the major steps that are usually taken when conducting a failure
analysis.
Table P.1--Common standard organisations and their general area of coverage.

Acronym
AISI
ASTM
API
Coverage
Steel composition standards
Standards for materials and their manufacture
Petroleum industry standards which are used by many other industries
ASME
Responsible for Boiler Pressure vessel codes
NACE
Codes for materials exposed to corrosive environments
SAE
Automotive industry standards used by many other industries
UNS
Classification for metals and metal alloys
The second step is to conduct a visual examination, cataloguing and recording the physical evidence at the
same time. This serves the functions of:
Familiarising the investigators with the evidence.
Creating a permanent record that can be referred to in light of new information.
Samples should be examined, photographed and sketched taking particular care to identify and record any
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area of particular importance, such as fracture surfaces and surface defects. Visual examination can be aided
by the use of a stereomicroscope with lights that can be easily directed. Shadows can give depth to a surface
making it easier to analysis and photograph. Pieces should always be examined and recorded before any
surface cleaning is undertaken. In some cases substances such as dirt, paint and Oil on the surface can
themselves be important clues, indicating such things as how old the fracture surface is and in what kind of
environment the piece was operating. A good general rule is to be conservative when destroying evidence of
any kind. The visual examination is a good time for the investigator to examine the fracture surfaces in detail
and try to identify the mode of fracture (brittle , ductile, fatigue, etc.), points of initiation, and direction of
propagation. Each mode of fracture has distinct characteristics that can be easily seen with the naked eye or
the use of a stereomicroscope, however, sometimes a scanning electron microscope (SEM) will have to be
used. There are several good books, some listed in the bibliography, on fracture mechanism and compilations
of fracture surface photographs that can be used by the investigator to identify the mechanism of fracture
under investigation. As a reminder, some common fracture surface characteristics arc listed in Table P.2 with
their corresponding mechanism.
Table P.2--Fracture mechanisms and their fracture surface characteristics.

Mode of Fracture
Typical fracture surface Characteristics
Ductile
Cup and Cone

Dimples
Dull Surface
Inclusion at the bottom of the dimple
Brittle Intergranular
Shiny
Grain Boundary cracking
Brittle Transgranular
Shiny
Cleavage fractures
Flat
Fatigue
Beachmarks
Striations (SEM)
Initiation sites
Propagation area
Zone of final fracture
The third step is to decide on a course of action. Based on the visual examinations and the background
information the investigator must outline a plan of action, which is the series of steps that will be needed to
successfully complete the case. There are several resources that an investigator can draw on to determine the
cause of failure, which can classified into one of the following categories:
Macroscopic examination
Non-destructive testing (NDT)
Chemical analysis
Metallographic examination
Mechanical Testing
Many of these categories will require steps that use the same equipment and therefore much time can be
saved with a little forethought. The macroscopic examination is best performed when cataloguing the samples,
however the investigator will often want to return to examine the part in more detail once other evidence is
gathered. Use of a scanning electron microscope (SEM) is often useful at this stage because of its large range
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of magnifications and its large depth of field. Since undamaged fracture surfaces are not always available, it is
often a good idea to open other cracks that may be present in the piece. This often reveals good quality
fracture surfaces similar to those that caused failure. Procedures for doing this can also be found in the ASM
handbook volume 10.
Nondestructive tests (NDT) are a good way to examine parts without causing permanent damage. Often
times, results obtained from examining failed parts in the lab using NDT's can be used to examine parts in the
field and remove them from service before failure occurs. There are several NDT's that are available to the
investigator and it would be a good idea to read up on each ones abilities. Table P.3 gives an outline of
NDT's available and what they are able to detect.
Table P.3--Commonly used nondestructive tests and there capabilities in detecting defects.
NDT Method
Radiography
Capabilities
Measures differences in radiation absorption.
Inclusions, Porosity, Cracks
Ultrasonic
Dye Penetrate
Uses high frequency sonar to find surface and subsurface

defects.
Inclusions, porosity, thickness of material, position of defects.
Uses a die to penetrate open defects.
Surface cracks and porosity
Magnetic Particle
Eddy Current
Uses a magnetic field and iron powder to locate surface and near
surface defects.
Surface cracks and defects
Based on magnetic induction.
Measures conductivity, magnetic permeability, physical
dimensions, cracks, porosity, and inclusions.
Chemical analysis is done on the bulk of the material to confirm the material composition. Depending on the
investigation, chemical analysis should also be done on any overlay materials or surface residues. There arc
several techniques that can be used to check composition, and the choice of which to use often depends on
accessibility and sample type. In many cases, the SEM can be a powerful tool for fast identification of surface
materials. Care should be taken not to contaminate samples taken for chemical analysis by surface residue or
cutting instruments.
Metallographic examination involves the sectioning of samples to examine the microstructure. The sections
that are selected for examination are dependent on the type of piece and the mode of fracture. Sections from
the sample should be taken in different planes so that any differences in the microstructure can be seen.
Sometimes it is useful to take a cross section through the fracture surface so that the microstructure below the
fracture and the surface profile can be examined. A section running parallel to the fracture surface is also often
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taken for examination. Samples should be mounted, ground, and polished using metallographic techniques.
They should be examined before etching for porosity, inclusions, and other defects. Microstructures should
be identified and their properties researched. There are several referenced that the investigator can refer to
for identification of uncertain structures.
Mechanical testing is done to verify that the mechanical properties of the material conform to the standards.
There are many types of mechanical testing that can be performed and their procedures can be found in the
ASTM mechanical testing standards. The most common method used is hardness testing because of its
relative simplicity, low cost, and the fact that for many materials tables exist to relate hardness with yield
strength. A macrohardness is usually sufficient to determine material properties, however microhardnesss
measurements are helpful in determining property variations within the material. Use the microhardness
measurement to compare the surface hardness to that of the body or to verify the microstructure. Other
mechanical testing such as tensile tests and impact tests can be used, however their use is usually limited by
insufficient material and high costs .
Once all the data is gathered, the investigator must come to a conclusion based on the evidence present. This
requires that the investigator draw heavily on background experience and research performed. This step can
be difficult because when conducting the investigation clues will lead the investigator down paths that seem to
be the cause but which are merely consequences.
The final and most difficult step in any investigation is coming up with recommendations. Some cases will be
simple, however many cases are not obvious even though the cause and theory are known.
Recommendations are not to be taken lightly. Serious failures can occur if recommendations are in error. The
system may have to be redesigned or a new material put in place. Sometimes all you will be able to
recommend is that inspections be carried out more often.
CASE STUDIES
Introduction to Case Studies
These case studies are actual reports submitted in response to industrial failures. The purpose of these reports
is to demonstrate by example. Most of the cases mention the techniques that where used when stating the
results. They where written at a basic level due to the uncertainty of background of the reader and further
reading is be recommended to better understand the failure mechanism. Most of the cases that are presented
here have comparable cases in the ASM failure analysis handbook.
Case Study 1: Crane Bolt Failure

Introduction:
One of two bolts supporting a load of 16 200 lbs failed while in service causing eight hours of downtime on
an essential machine to production. The bolts were in operation on a crane used to transfer anodes into the
machine. Figure 1.1 shows a drawing of the set-up and the location of fraction Just above the nut. The crane
cycled 600 time a day 7 days a week.
The broken bolt (Figure 1.2) and a new unused bolt, recommended by the supplier for the application, were
supplied to conduct the investigation. The original designers of the crane specified a bolt that conforms to
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SAE standards grade 5. The supplier of the new bolt confirmed that it was made to conform with ASTM
standard A 193 grade B7.
Figure 1.1. Drawing of the bolt and

crane set-up.
Figure 1.2. Photograph of broken Figure 1.3. Photograph of fracture

bolt
surface.
Results:
Observations
Examination of the fracture surface revealed characteristics such as a beachmarks associated with fatigue
(Figure 1.3). The zone of final fracture was located between two areas of fatigue propagation suggesting the
presence of bending forces. The surface area of final fracture was approximately 12% of the total fracture
surface suggesting that the bolt was not overloaded. Cracks where also found between threads near the
fracture surface indicating that the bolt was highly susceptible to fatigue initiation.
Results from chemical analyses (Table 1.1) show that the original broken bolt had a carbon content slightly
below those required by the SAE standards for a grade 5 bolt. This lower carbon content would have acted
to decrease the material properties. The chemical composition of the new sample bolt conformed to the
ASTM standard A193/A grade B7 that requires an AISI-SAE 4140 composition.
Table 1.1--Chemical analysis results on both bolts.
Element
Original broken bolt (% )
SAE Standard New Sample

Grade 5 (% )
Bolt (% )
ASTM Standard B7
AISI 4140 (% )
Carbon
0.20
0.28-0.55
0.42
0.37-0.49
Manganese
0.65
--
0.85
0.65-1.10
Silicon
0.22
--
0.22
0.15-0.35
Phosphor
0.013
0.048 max.
0.015
0.035
Sulphur
0.011
0.058 max.
0.030
0.040
Chrome
0.08
--
0.79
0.75-1.20
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Nickel
0.06
--
0.07
--
Molybdenum
0.01
--
0.15
0.15-0.25
Microscopic examination of the bolts where done using longitudinal and latitudinal mounts for each. The
sections taken from the fractured bolt were taken close to the fracture surface. Examination before etching of
the two bolts showed no cracking or unusually large inclusions. The original broken bolt did show some
flaking at the base of the threads (Figure 1.4) but this is expected for a bolt that has been in service. Etching
the sections revealed a microstructure of coarse pearlite in a matrix of ferrite (Figure 1.5). The SAE grade 5
standard requires that the bolt be quenched and tempered to conform and therefore should have a tempered
martensite structure. Martensite has higher material properties such as yield strength and hardness, which
increases its resistance to fatigue initiation. The ferrite matrix of the original bolt has low yield strength, which
in turn reduces its resistance to fatigue initiation. The new bolt was found to be quenched and tempered as
required by the ASTM standard (Figure 1.6). However rolling seems where found at the tips of the treads
(Figure 1.7). This is not a serious defect because of the defects location in a low stress area however, if the
bolt was placed in a corrosive atmosphere these seams would corrode and then act as fatigue initiation sites.
Figure 1.4. Micrograph of

flaking found at the base of
a thread in the fractured
bolt. 2% nital 100X
Figure 1.5. Micrograph of Figure 1.6. Micrograph of

fractured bolt. Ferrite
new bolt. Tempered
matrix with pearlite. 2%
martensite. 2% nital 500X
nital 200X
Figure 1.7. Micrograph of

the new bolt thread
showing a rolling seam.
2% nital 200X
Tensile tests were done on the bolts to test their material properties in comparison with the standards. The
results (Table 1.2) show that the yield strength and ultimate tensile strength of the original bolt are only two
thirds that required by the standards. This conforms to the microstructural observations. The properties of the
new bolt conformed to the standard even though they were slightly elevated.
Table 1.2--Results and standard requirements of tensile tests.
Original Broken Bolt New Sample Bolt

Sample #
Standard Grade Standard Grade

5 SAE
By AISI
Ultimate Tensile Strength (KSI)
69.5
69.5
148
146
100
125
Yield Strength (KSI)
42.7
44.4
134
133
80
105
Elongation (%)
26
24
20
20
16 min.
16 min.
Surface Reduction (%)
67
67
59
59
50 min.
50 min.
Conclusions and Recommendations:

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Examination revealed that the bolt failed as a result of high cycle low load fatigue. Chemical analysis and
tensile tests confirmed that the bolt did not meet the SAE grade 5 standards required by the original design of
the crane. The major cause for this lack of conformity is because the bolt was not quenched and tempered.
Since the resistance of steel to fatigue initiation in proportional to its yield strength, the low properties of the
steel in this case left it open to fatigue initiation.
Examination of the new bolt revealed that it conformed with the ASTM standards A 193 for a grade B7 bolt,
as the supplier specified. However, rolling seams were found in the thread tips. Due to the relatively low loads
this area is subjected to this is not a major problem but if the bolt is subjected to a corrosive environments
these seams could grow and become fatigue initiation sites.
The SAE grade 5 bolt specified by the original designers should continue to be used in future and the upgrade
to the ASTM B7 is unnecessary.
Case Study 2: Rider Roller Shaft Failure

Introduction:
A section of a failed "rider roller" shaft was sent for failure analysis (Figure 2. 1). This shaft is designed to ride
on top of cardboard as it is being rolled. It was first installed in December 97 replacing a shaft in which
cracks were observed near the ends. In March 98 a crack was observed in the centre of the roll. Since no
replacements were available at the time, welding was used to repair the crack. This caused the shaft to
become out of round by 0. 140". To repair this a hydraulic Jack was used at the centre of the roll to bend it
back leaving a 0.040" deflection that was corrected by machining. Nine days later, on April 11th 98 at 21:
00, the shaft broke on the key-way side while the machine was being set up at low speed. The roll usually
operates at 550 meters per minute, approximately 630 RPM.
The low carbon steel shaft was suppose to have a stainless steel weld overlay applied before installation to
protect against corrosion in the mill environment. 17-4PH steel was used for this application before and failed
to endure the high cycle low stress conditions.
Figure 2.1. Photograph of "rider

Figure 2.2. Photograph of fracture
roller" indicating approximate point surface showing initiation site,
of fracture.
beachmarks from fracture
propagation, and small area of final
fracture.
Figure 2.3. Photograph of shaft

surface indicating weld overlay flaw.
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Results:
Observations:
The fracture surface is characteristic of a high cycle fatigue failure caused by low torsion stresses (Figure 2.2).
The area of final fracture is small, approximately 35% of total area, indicating that the material was adequate
for the low applied stresses. The beachmarks (Figure 2.2), characteristics of fatigue that radiate from the
initiation site, and the location of final fracture, being off centre, indicated that initiation did not occur evenly
around the circumference of the shaft. Around the circumference of the fracture surface, a layer was observed
which fractured at a 45' angle to the plane of fracture. This is characteristic of the weld overlay. As well, there
were many grooves running around the outside of the shaft that are weld overlay features (Figure 2.3).
Materials characterisation and evaluation:
Chemical analysis of the material revealed it to be low carbon steel. Compositions correspond to the AISI
1019 specifications (Table 2.1). Using the alloy analyser, the weld overlay was found to be a low alloy steel,
probably type EFe, and not stainless steel as was thought.
Table 2.1--Result of shaft chemical analysis.
Analysed Composition of Shaft (% )
AISI-SAE 1019
Standard Composition Ranges (% )
Carbon
0.19
0.15-0.20
Manganese
0.70
0.70-1.00
Silicon
0.26
--
Phosphorus
0.020
0.040 max.
Sulphur
0.020
0.040 max.
Chromium
0.10
--
Nickel
0.17
--
Molybdenum
0.02
--
Element
Microscopic examination revealed the core to have a ferrite and a coarse pearlite structure characteristics of
low carbon steel (Figure 2.4). The weld overlay had pearlite matrix with some acicular ferrite (Figure 2.5). A
microhardness test revealed a hard surface that gets progressively softer towards the core (Table 2.2). This
concurs with the microstructure. The inclusions present in the core of the shaft where acceptable (Figure 2.6).
Table 2.2--Results of microhardness measurements.

Distance from Surface (mm)
Hardness HVN-200g
35
257
42
271
107
255
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140
247
214
187
252
187
Core
156
Core
167
Examination of a longitudinal mount taken from near the point of major crack initiation sites showed large
inclusions between weld passes (Figure 2.7). Examination of the fracture surface initiation sites (Figure 2.8),
on the same sample, showed an initiation site on the fracture surface that is similar in shape and size to the
inclusions. This suggests that these inclusions acted as stress raisers and thus as fatigue initiation sites. The
bending of the shaft would have caused decohesion of the inclusions and increased the chances of fatigue
initiation. Decohesion of the weld overlay between welding passes can also be seen around the circumference
of the shaft (Figure 2.3). This indicates poor bonding between the weld overlay and the base material.
Figure 2.4.
Micrograph of core
microstructure
composed of ferrite
and pearlite. 2% nital
100X
Figure 2.5.
Micrograph of weld
overlay
microstructure
composed of a pearlite
matrix with the
presence of acicular
ferrite. 2% nital
500X
Figure 2.6.
Micrograph
representing average
inclusion content of
the low carbon steel
core. 2% nital 100X
Figure 2.7.
Micrograph showing
two inclusions found
in the weld overlay
2% nital 15X
Figure 2.8.
Micrograph showing
the fracture surface
initiation site. 2%
nital 15X

The failure was caused by high cycle low stress fatigue, which was initiated at inclusions in the weld overlay.
For this kind of failure, when there is an absence of other defects, the surface conditions become an important
factor in the prevention of crack initiation. Bending the shaft to correct its alignment probably caused
decohesion of the weld inclusions encouraging microcracks to form. This would have increased local stress
concentrations and the possibility of crack initiation. These inclusions probably originated from the weld being
applied too quickly.
The use of a weld overlay to reconstruct existing rolls is an acceptable procedure provided the weld is
applied property. This would harden the surface and thereby make the shaft more resistant to fatigue initiation
at surface defects. A welding procedure should be developed that would involve the making of block samples
in which the welding conditions, such as current and speed, are varied and optimised. Noranda Technology
Centre can help in developing a procedure. A liquid penetrant inspection should be performed to inspect the
weld overlay for any cracks or porosity.
Future shafts should be made out of low alloy steel AISI-SAE 4340, heat-treated to a hardness of 35 HRC.
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The properties of this material fall between those of 1019 and 174PH. It will resist crack initiation better than
the former, due to its higher endurance limit, and will resist crack propagation better than the latter, due to its
higher fracture toughness (Table 2.3).
Table 2.3--Fatigue related properties of selected materials.

Fracture Toughness
Material
Endurance limit (MPa)
1018
275
260
4340
450
110
17-4PH
--
53
Other recommendations are:

Avoid bending of shafts that have been surface hardened or had weld overlay applied due to the high
possibility of inducing surface cracks.
Avoid mechanical damage to the surface, such as scratches and dents, because they can act as crack
initiation sites.
Corrosion can be prevented in both cases by applying a coat of paint.
Case Study 3: Crane Pin Failure

Introduction:
After several failures, a pin connecting a chain to a load transfer bloc was sent for failure investigation (Figures
3.1a and 3.1b). The conditions of operation are similar to those under which the bolt in case study I was
operating.
Figure 3.1a. Pin industrial drawing.
Figure 3.1b. Photograph of broken

pin.
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Observations :
The pin was broken in two locations
approximately 2.4 and 5.2 centimetres from one
edge. These locations are shown in relation to the
mechanism in Figure 3.2. Examination of the
surface revealed that where the bolt came in
contact with the chain, sever plastic deformation
was present. Examination of the 2.4 cm. fracture
surface (Figure 3.3), which was located in an area
of chain contact plastic deformation, revealed
characteristics of fatigue. The fracture surface had
little to no zone of final fracture indicating that the
loads perpendicular to the fracture plane where
low. Fatigue characteristics showed that fracture
initiated on the opposite side to the deformation.
Figure 3.2. Industrial drawing of pin chain and block
This indicate that bending forces were present in
mechanism.
the pin. Bending would have caused one side of
the pin to be in tension and the other in
compression. The fatigue started on the tension
side. Examination of the 5.4 cm fracture surface located in the middle of the load transfer block revealed the
same characteristics of fatigue failure (Figure 3.4). However, a comparison of the two fracture surfaces on the
adjoining Piece of the Pin revealed that the initiation sites were on opposite sides of the pin (Figure 3.5). This
indicates that bending forces at the two fractures were opposite.
Figure 3.3. Photograph of fracture Figure 3.4. Photograph of fracture Figure 3.5. Photograph of pin
surface of 2.4 cm fracture.
surface of 5.4 cm fracture.
indicating locations of fracture
initiation.
A chemical analysis performed on the body of the pin revealed it to conform to the SAE AISI standard 1095.
The original drawings for this application specify a SAE-AlSl 4140 (Table 3.1) Metallurgical examination of
the mounted sample revealed plastic deformation at the edges as well as no significant inclusions. Examination
of the microstructure revealed a ferrite matrix with spherodised carbides (Figure 3.6). The soft ferrite matrix
increases the odds of fatigue initiation but will slow down fatigue propagation.
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Table 3.1. Results of pin chemical analysis.

Element
Carbon
Manganese
Silicon
Phosphor
Sulphur
Chrome
Nickel
Molybdenum
Pin
1.06
0.31
0.25
0.011
0.008
0.03
0.03
0.01
SAE-AISI 1095
0.90-1.03
0.30-0.50
-0.040
0.050
----
Figure 3.6.
Microphotograph of pin
microstructure. Ferrite
matrix with spherodised
carbides. 2% nital 1000X
Microhardness measurements show that the pin was slightly harder in the centre than on the surface (Table
3.2). The softer surface would have increased the possibility of fatigue initiation at the surface.
Table 3.2. Microhardness results.
Location
Hardness VHN (200g)

Longitudinal Section
Transversal Section
Side
Centre
235
232
241
275
294
229
248
261
268
294

As the crane charges and unloads, the pin is subjected to bending forces. These forces create tensile forces
on the surface at which point the probability of fatigue initiation is high.
Since the pin undergoes cyclic stresses, a steel for this application must have a high resistance to fatigue
initiation. For these reasons, the original design material, SAE AISI 4140 hardened to a range of 45 50 HRC, was a good choice.
The block and chain should be examined for wear. If worn they would allow for larger bending then
was originally allowed for in the design. If they are worn, they should be replaced.
If these measures do not correct the problem and the pin continues to break in future, the forces in the
original design should be revised.
Case Study 4: Shaft Bearing Failure

Introduction:
A bearing that had been in service for a year and a half was sent to undergo failure analysis (Figure 4.1). This
bearing had been installed in the drive of a #P-40 centrifugal pump in the R-8 plant. It was located on a long
shaft to separate the pump from the drive due to the presence of concentrated sulphuric acid. The shaft was
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belt driven at about 800 RPM. No special events were noticed in the pump operation.
Figure 4.1. Photograph of

bearing setup

inner ring showing
spalling in groove.
Figure 4.3. SEM

photograph of spalling,
flaking and cracking, in
the groove. 200X
Figure 4.4. SEM

photograph showing
presence of 45 sheer
planes. 500X
Results:
Observations:
The inner raceway showed severe plastic deformation around its circumference in the form of a groove,
which is located above the area designed to be the ball raceway (Figure 4.2). Spalling, a flaking and cracking
of the surface, was observed in the groove but was not evenly distributed around its circumference.
Examination of the spalling using a scanning electron microscope (SEM) exposed flaking and the presence of
surface cracks (Figure 4.3). Increased magnification of this area revealed fracture surfaces at forty-five
degree angles indicating shear loads were present (Figure 4.4).
The inner raceway fracture surface is perpendicular to the groove and is located where the spalling is most
severe. Beachmarks and river lines, which are characteristic of fatigue failures, revealed several initiation sites
situated in the base of the groove (Figure 4.5). Closer examination with the SEM confirms that fatigue
initiated from the spalling damage (Figure 4.6). Spalling was also seen to a lesser degree on the balls surfaces.
The outer raceway revealed no major defects.
Figure 4.5. Photograph of the inner ring

fracture surface.
Figure 4.6. SEM photograph

of the inner ring fracture
surface showing fatigue
initiating at spall in the
groove. 200X
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Material characterisation and evaluation:

Both the compositions of the ball bearing and the inner raceway were found to fall within the norms for 52100
steel, AISI-SAE standards (Table 4.1). The microhardness measurements of both pieces are typical for this
type of steel (Table 4.2). Surface hardness measurements for both ball and inner ring are similar, which is
required by this type of application.
Table 4.1--Result of chemical analysis.
Element
AISI-SAE 52100
Analysed Composition Standard Composition
Analysed Composition of Ball (% ) of Inner Ring (% )
Ranges (% )
Carbon
0.97
1.02
0.98-1.10
Manganese
0.40
0.37
0.25-0.45
Silicon
0.24
0.23
0.15-0.30
Phosphorus
0.013
0.013
0.025
Sulphur
0.007
0.006
0.025
Chromium
1.21
1.36
0.025
Nickel
0.11
0.12
--
Molybdenum
0.02
0.05
--
Table 4.2--Results of microhardness tests.

Ball Bearing
Inner Ring
Hardness #
Centre
Surface
Damaged
Surface
Centre
Outside
Surface
650
890
890
775
890
574
890
890
792
787
618
927
890
804
890
Microscopic examination of a cross section of the inner raceway revealed surface cracks consistent with the
spalling observed (Figure 4-7). Etching the sample revealed a homogeneous macrostructure of a tempered
martensite matrix with undissolved carbides present (Figure 4.8). This microstructure agrees with the chemical
analysis and microhardness measurements.
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Figure 4.7.
Micrograph of cracks
on the inner ring
surface. 200X
Figure 4.8.
Microphotograph of
the inner ring
microstructure
composed of
martensite and
undissolved carbides.
2% nital 200X
Figure 4.9.
Figure 4.10.
Micrograph of cracks Microphotographs of
on the ball surface.
crack in a ball. 15X
100X
Figure 4.11.
Microphotograph of
figure 4.10 etched
with 2% nital
showing
heterogeneous
martensite structure
with undissolved
carbides. 15X
Microscopic examination of a quartered ball bearing also revealed surface cracks (Figure 4.9). A large crack
extending towards the centre of the bearing was also found (Figure 4.10). The microstructure is
heterogeneous, unevenly distributed; tempered martinsite with undissolved carbides. The large surface crack
ties along a border of the heterogeneity (Figure 4.11). Some decarburization was observed on the surface
near spalling cracks.
Conclusions:
The failure was a result of vibrational fatigue initiated at spalling on the surface of the inner raceway. The
spalling, which is a characteristic of contact fatigue, originated from the bearing being Installed Incorrectly or
from it undergoing abnormal equiaxial radial loads in service, which caused a displacement of the inner ring.
This displacement increased the axial loads causing the plastic deformation and spalling. Decarburization and
uneven tempering of the balls as well as the extent of plastic deformation indicate a temperature rise.
Case Study 5: Bronze Bull Gear Failure

Introduction:
A bronze bull gear was sent for failure investigation (Figure 5.1). It was used to rotate bleach washer number
65B at a rate between 4 and 5 RPM. The contacting gear was a hardened steel worm gear, which was
powered by a 50 horsepower 1800 RPM electric motor. The gear is a cast copper alloy with cut teeth and
machined surface and was only in service for one month.
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08/11/13
Figure 5.1. Photograph showing the

bronze bull gear.
Figure 5.2. Photograph of the bull gear profile showing

debris and severe materials loss.
Observations:
Examination of the gear tooth revealed that there was a large amount of material loss. A measurement taken
near the base of the tooth where the material loss was most obvious revealed that tooth had gone from a
thickness of 31 mm to 20 mm, a loss of I I mm. The contact surface had grooves running along the path the
worm gear would have taken. Debris was also found along what was probably the exiting edge of the gear
teeth (Figure 5.2). Along the front of the teeth, plastic deformation was seen near the edges where decreasing
thickness could no longer support the load. Some cracking was observed in these areas. When opened, they
revealed that the mode of crack propagation was interdendritic.
Table 5.1--Chemical composition of bull gear.

Composition %
Element
Bull Gear
Standard C90700
Copper
88.51
88.0-90.0
Aluminium
<0.01
0.005 max.
Manganese
0.03
--
Iron
0.03
0.15 max.
Tin
9.83
10.0-12.0
Lead
0.42
0.30* max.
Nickel
0.29
--*
Silicon
<0.005
--
Zinc
0.73
0.50* max.
Phosphorous
--
0.1-0.3
* Lead + Nickel + Zinc < 1.0 max.
Chemical analysis of the bronze gear revealed that it conformed most closely with the UNS standard for
copper alloy C90700 (Table 5.1). The lead and zinc content however were slightly above those allowed by
the standard. Several samples where taken from the gear and examined microscopically. They revealed large
amounts of interdentritic shrinkage porosity (Figure 5.3) and interdentritic segregation (Figure 5.4). The
porosity reduces the amount of area supporting the load and therefore raises stresses in the material. The
heterogeneity of the structure is caused by rejection of tin into solution as the dendrites grow while cooling.
This segregation also reduces the mechanical properties of the material. Etching the microstructure with 20 nil
NH40H, 20 ml H20, 20 nil H202 (3%) revealed a coarse dendrite microstructure (Figure 5.5). No plastic
deformation of the working surface was observed which indicates abrasive wear.
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08/11/13
Figure 5.3.
Microphotograph showing
the large amounts of
porosity. 15X
Figure 5.4.
interdendritic segregation.
200X
Figure 5.5.
the large dendritic
structure. 15X
Hardnesses were taken on the cross section of a tooth which gave an

Table 5.2. Vickers Macrohardness
average Vickers hardness number of 76.6 VHN (5Kg) (Table 5.2). This is
Results
below the Brinell-500 Kg hardness number of 95 (100VHN) required by
Sample
VHN (5Kg)
the ASTM standard, B427-93a "Standard Specification for Gear Bronze
Alloy Castings". A lower hardness number also suggests that the mechanical
1
74.4
properties of the material would be below standards. This agrees with our
2
77.0
metallographic examination.
3
78.2
Conclusions:
4
5
71.6
81.6
The bronze bull gear failed as a result of sever abrasive wear. The gear did
not meet ASTM materials specifications for this application and this probably had a great influence on the
final failure. However, there are several possible causes of abrasive wear for which the system should be
examined:
If the surface of the matching worm gear were damaged in any way, the difference in hardness would
have led to severe wear.
If the lubricant was contaminated with an abrasive material wear will occur.
If there was a misalignment between the two gears, the contact surface may be reduced increasing
contact loads above those that the material can withstand.
If the system was overloaded, the rate of wear increases.
If one or a combination of these factors is present, it is then likely others failures would follow.
In this case, a large amount of porosity, a coarse dendrite structure, and interdentritic segregation combined
to reduce the properties of the bronze bull gear below those required by ASTM B427-93a standards. A
possibility is that that when the gear is subjected to loads or overloading, these low properties would allowed
the gear teeth to deflect. The gear surfaces would no longer meet as they were designed, decreasing the
contact surface, which would have increased the loads and therefore wear. Contamination of the lubricant
would have followed, causing the wear to continue.
In future this bronze bull gear should be ordered specifying that it conform to ASTM standard B427-93a for
the copper alloy UNS C 90700. As well the lubricant should be checked regularly for contamination and
both gear surfaces should be examined for damage.
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08/11/13
Case Study 6: Analysis of 316L Reducer Failure

Introduction:
An 8" x 6", 316L stainless steel reducer was sent for failure analysis (Figure 6. 1). It had been in service for
13 months when a leak was noticed. The reducer was installed on #1 acid storage tank, equipment number
50-200. The anodically protected carbon steel tank, contained off specification concentrated 93% sulphuric
acid. The flow rate through the reducer was 400 gal/min.

reducer.
Figure 6.2. (a-left) Old tank installation. (b-right) Tank installation at the time of
reducer failure.
The tank was originally designed with a 4" diameter carbon steel nozzle, at floor level, that connected directly
to a valve (Figure 6.2a). This lasted seven to eight years without incident. The design was changed to
accommodate renovations so that an 8" carbon steel nozzle was installed 6" above the tank floor. This nozzle
lead into the failed reducer, which then connected to a valve composed of alloy 1-0 steel (Figure 6.2b). This
valve was said to be badly corroded. The valve then led to a 6" pipe made of 316L stainless steel in which no
problems were found. After the reducer failure, the piping arrangements were changed so that the reducer is
now after the valve.
Observations:
Visual examination of the reducer revealed an area at the top where little damage was observed (Figure 6.3).
This area, which was probably an air pocket, extended from the top of the 87' diameter flange into the
reducing pipe where is stopped just before the 6" diameter flange. Damage in this area consisted of minor
pitting (Figure 6.4). Damage, resembling a honeycomb structure in places, was most severe just below the air
pocket in the reducing pipe near the 6" diameter end (Figures 6.5a and 6.5b). This is where the leak was
found (Figure 6.6). The damage becomes less severe in the pipe section towards the bottom. Only pitting
was found in both the 8" and 6" flanges.
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the top insider of the
reducer showing the area
at the top where little
damage occurred.
Figure 6.4.
Figure 6.5. Photographs showing areas to the (a-left)
Microphotograph of pitting right and (bright) left of the top relatively undamaged
in air pocket. 15X
surface. The red arrow in (a) indicated where the leak
occurred.
Chemical analysis of the flange and the pipe revealed that they both conform to AISI-SAE standards for
316L stainless steel (Table 6.1)
Table 6.1--Result of chemical analysis.
Element
Analysed Composition Analysed Composition

of Flange (% )
of Pipe (% )
AISI-SAE 316L Standard

Composition Ranges (% )
Carbon
0.031
0.034
0.03 max.
Manganese
1.85
1.28
2.00 max.
Silicon
0.57
0.35
1.00 max.
Phosphorus
0.014
0.011
0.045 max.
Sulphur
0.023
0.001
0.03 max.
Chromium
16.53
17.47
16.0-18.0
Nickel
10.85
11.46
10.0-14.0
Molybdenum
2.16
2.08
2.0-3.0
Closer examination of the inside surface of the reducer with a SEM revealed dimples (Figure 6.7). These
features are typical of a ductile deformation, which indicates abrasion. The orientation of the features also
follows the direction of liquid flow. Pitting and uniform corrosion was also found in the region (Figure 6.8).
Figure 6.6. Photograph taken on Figure 6.7. SEM

the outside of the reducer
photograph of the inside
showing the hole where the
surface of the reducer in
reducer leaked.
the damaged area. 200X
Figure 6.8. SEM

photograph of the inside
surface of the reducer in
the damaged area. 500X

A combination of two mechanisms caused the failure. Severe turbulence in the reducer caused a degradation
of the passive layer that protects the stainless steel from corrosion. This would have left the system open to
severe corrosion, which in turn would have lead to failure. The top of the reducer was probably protected by
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the presence of an air pocket.

The second mechanism was erosion, originating when air bubbles near the surface imploded causing
mechanical damage, cavitation. Turbulence in the system may have formed bubbles from the air pocket at the
top of the reducer. These bubbles would then have been carried into the reducer where increasing pressures
would have caused them to implode. The highly corrosive environment would have increased the rate of
degradation dramatically.
The new setup, placing the valve before the reducer, changed the dynamics of the system and may have
solved the problem, however existing reducers and valves should have their thickness monitored at regular
intervals using an ultrasonic thickness gauge. If problems reoccur, the system should be evaluated for
excessive turbulence and air pockets. A possible solution would be to use a PTFE liner in the reducer. This
would provide a barrier that protects against turbulence but not cavitation.
APPENDIX 1: EXAMPLE QUESTIONNAIRE
Bibliography
D.A. Ryder et al., "General Practice in Failure Analysis," in ASM Metals Handbook Volume 11 "Failure
Analysis and Prevention", Ed. Kathleen Mill (Ohio: ASM International, 1986)
B.E. Wilde, "Stress-Corrosion Cracking," in ASM Metals Handbook Volume 11 "Failure Analysis and
Prevention", Ed. Kathleen Mill (Ohio: ASM International, 1986)
K. H. Kamdar, "Liquid-Metal Embrittlement," in ASM Metals Handbook Volume 11 "Failure Analysis and
Alan G. Glover et al., "Failures of Weldments," in ASM Metals Handbook Volume 11 "Failure Analysis and
L. Windner, "Failures of Rolling-Element Bearings," in ASM Metals Handbook Volume 11 "Failure Analysis
and Prevention", Ed. Kathleen Mill (Ohio: ASM International, 1986)
"Threaded Steel Fasteners," in ASM Metals Handbook Volume 11 "Failure Analysis and Prevention", Ed.
Kathleen Mill (Ohio: ASM International, 1986)
Walter J. Jensen, "Failures of Mechanical Fasteners," in ASM Metals Handbook Volume 11 "Failure
Analysis and Prevention", Ed. Kathleen Mill (Ohio: ASM International, 1986)
E. Alban, "Failures of Gears," in ASM Metals Handbook Volume 11 "Failure Analysis and Prevention", Ed.
Kathleen Mill (Ohio: ASM International, 1986)
Michael Bauccio ed. Et al., ASM Metals Reference Book, Third Edition, Ed. Kathleen Mill (Ohio: ASM
International, 1993)
Geaorge E. Dieter, Mechanical Metallurgy (Toronto: McGraw-Hill, Inc., 1986)
Douglas A. Skoog and James J. Leary, Principles of Instrumental Analysis, Fourth Edition (Toronto:
Sauders College Publishing, 1992)
William D. Callister, Jr., Materials Science and Engineering: An Introduction, Third Edition (Toronto:
John Wiley & Sons, Inc., 1994)
Kathleen Mill ed. et al. ASM Metals Handbook: Metallography and Microstructures, (Ohio: ASM
International, 1993)
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TMS Outstanding Student

To increase the odds of completing a conclusive failure analysis

An Introduction to Failure Analysis for Metallurgical Engineers

Table P.1--Common standard organisations and their general area of coverage.

Responsible for Boiler Pressure vessel codes

Codes for materials exposed to corrosive environments

Automotive industry standards used by many other industries

Classification for metals and metal alloys

An Introduction to Failure Analysis for Metallurgical Engineers

Table P.2--Fracture mechanisms and their fracture surface characteristics.

Typical fracture surface Characteristics

Cup and Cone

An Introduction to Failure Analysis for Metallurgical Engineers

Uses high frequency sonar to find surface and subsurface

An Introduction to Failure Analysis for Metallurgical Engineers

Case Study 1: Crane Bolt Failure

An Introduction to Failure Analysis for Metallurgical Engineers

Figure 1.1. Drawing of the bolt and

Figure 1.2. Photograph of broken Figure 1.3. Photograph of fracture

Original broken bolt (% )

SAE Standard New Sample

An Introduction to Failure Analysis for Metallurgical Engineers

Figure 1.4. Micrograph of

Figure 1.5. Micrograph of Figure 1.6. Micrograph of

Figure 1.7. Micrograph of

Original Broken Bolt New Sample Bolt

Standard Grade Standard Grade

Ultimate Tensile Strength (KSI)

Yield Strength (KSI)

Surface Reduction (%)

Conclusions and Recommendations:

An Introduction to Failure Analysis for Metallurgical Engineers

Case Study 2: Rider Roller Shaft Failure

Figure 2.1. Photograph of "rider

Figure 2.3. Photograph of shaft

An Introduction to Failure Analysis for Metallurgical Engineers

Table 2.1--Result of shaft chemical analysis.

Analysed Composition of Shaft (% )

Table 2.2--Results of microhardness measurements.

An Introduction to Failure Analysis for Metallurgical Engineers

Conclusions and Recommendations:

An Introduction to Failure Analysis for Metallurgical Engineers

Table 2.3--Fatigue related properties of selected materials.

Endurance limit (MPa)

Other recommendations are:

Case Study 3: Crane Pin Failure

Figure 3.1a. Pin industrial drawing.

Figure 3.1b. Photograph of broken

An Introduction to Failure Analysis for Metallurgical Engineers

An Introduction to Failure Analysis for Metallurgical Engineers

Table 3.1. Results of pin chemical analysis.

Table 3.2. Microhardness results.

Hardness VHN (200g)

Conclusions and Recommendations:

Case Study 4: Shaft Bearing Failure

An Introduction to Failure Analysis for Metallurgical Engineers

Figure 4.1. Photograph of

Figure 4.2. Photograph of

Figure 4.3. SEM

Figure 4.4. SEM