8

8.1
ENGINEERING FAILURE
ANALYSIS

ENGINEERING PRODUCTS AND THEIR PERFORMANCE

Any engineering product ranging from a vacuum cleaner to an aircraft is designed
and manufactured to perform specific functions serving human needs over a
predetermined service life. Its history include s three main stages: (i) engineering
design, (ii) manufacturing, and (iii) service as schematically illustrated in Figure 8.1.

Figure 8.1 Main stages in the history of an engineering product

Engineering design is essentially a decision making process by which a product can
be manufactured at a reasonable cost. Differences in design of a given product,
which are reflected on its performance can be related to the extent of engineering
analysis preceding any decision made by the designer. Parameter s include d in such
an analysis are (i) geometry and dimensions of different parts, (ii) types of materials
used in manufacturing and their specifications, (iii) fabrication and assembling
techniques, and (iv) service conditions.
Design is initiated after establishing the market need for a new product or improving
the performance of an existing product. Subsequently, the design engineer
conceives, plans, and conducts a program to develop complete engineering drawings
of the product specifying the above design parameters. A prototype product is then
manufactured and tested. If necessary, the design is modified so that the product
meets all required specifications. Following this stage, the design is materialized
into a commercial product by the manufacturer. Finally, the product is put into

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 service to meet its functional requirements specifying the procedures of start-up and
shut down as well as the maintenance procedure and its schedule.
8.2 FAILURE OF ENGINEERING PRODUCTS
When an engineering product ceases to perform on e or more of its functions well
before its expected service life, it is said to fail. Even though designers and
manufacturers continue to strengthen the links among design, manufacturing, and
performance, failures still occur and will continue to occur for one reason or
another. Failures can cause loss of lives, unscheduled shut downs of plants,
increasing maintenance and repair costs as well as very costly litigation and
damages . Any type of failure can be expected to occur at the weakest link in the
chain of the continuous process of engineering design, fabrication and performance
as demonstrated b y the following examples.
8.3 DEFINITION AND OBJECTIVE OF FAILURE ANALYSIS
INVESTIGATIONS
A failure analysis is an investigation carried out to determine the cause of failure of
a certain product or equivalently the mistake in the continuous process of
engineering design manufacturing performance in order to prevent its recurrence in
the future. After the investigation is completed, its findings are documented in a
report. It is important to realize, however, that failure analysis investigations can
serve other useful purposes, as described below. Results of failure analysis
investigations can be extremely useful to designer s of the same or similar products.
Knowledge of prior incidents of failure and their causes aid the designer in
developing a product of improved reliability and durability. Frequently, however,
such information never reaches the designer for one reason or another. Because of
the legal aspects of failures, the results of failure analysis investigations can be used
as the basis for litigation and insurance claims. Manufacturers can also use the
results of failure analysis investigations for marketing purposes to promote a new
product with better performance capabilities. Furthermore, by identifying the
deficiencies of certain structural materials through failure analysis investigations, it
is possible to develop new materials or improve the properties of existing materials.
8.4 TYPICAL DEFECTS
A wide variety of defects can be found in a given engineering component. These
flaws may result from such sources as material imperfections, defects generated
during service, and defects introduced as a result of faulty design practice.
Regarding the first source mentioned, defects can be found within the original
material supply or can be introduced during the manufacturing process. Typical
material defects include porosity, shrinkage cavities, and quench cracks. Other
micro-structural features can trigger crack formation if the applied stresses exceed
some critical level. These include nonmetallic inclusions, unfavorably oriented
forging flow lines, brittle second phases, grain-boundary films, and micro-structural
features resulting from 300°C and temper embrittlement. The list of manufacturing
defects includes machining, grinding and stamping marks (such as gouges, burns,

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 tears, scratches, and cracks), laps, seams, delaminations, decarburization, improper
case hardening, and defects due to welding (e.g., porosity, hot cracking, cold
cracking, lack of penetration, and poor weld bead profile).
Defects can be introduced into the component during service conditions as a result
of excessive fretting and wear. Environmental attack can also cause material
degradation as a result of general corrosion damage, liquid metal and hydrogen
embrittlement, stress corrosion cracking, and corrosion fatigue. Surely, cyclic
loading can initiate fatigue damage without an aggressive environment and may lead
to serious cracking of a component.
Finally, defects can be introduced into a component through faulty design. These
human errors include the presence of severe stress concentrations, improper
selection of material properties and surface treatments, failure to take remedial
actions (such as baking a steel part after it has been cadmium plated to remove
charged hydrogen gas), inadequate or inaccurate stress analysis to identify stress
fields in the component, and improper attention to important load and environmental
service conditions as they relate to material performance.
8.5 FAILURE ANALYSIS PROCEDURE
Generally, the exact procedure for failure analysis is dependent upon the particular
case. However, any successful and complete failure analysis investigation should
provide answers to the following questions:
1. What is the mode of failure?
2. What is the most probable cause of failure?
3. How can failure be prevented in the future?
It is important to realize that any failure results from some sort of a mistake causing
a weak link in the chain of the continuous process of engineering design-
manufacturing- performance. Therefore, to provide clear and straight answers to the
above questions, any failure analysis investigation must address three main issues:
(i) service conditions, (ii) manufacturing, and (iii) design. By a process of
elimination, it is possible to narrow down the most probable cause of failure and
then identify the weakest link in the above process. Subsequently, it becomes
possible to determine possible means by which future failures can be prevented.
Any effective failure analysis investigation must involve three main stages: (i) clear
definition of the problem, (ii) complete search of the literature to develop a good
technical background in the problem area as required, and (iii) development of an
experimental program which must be well oriented and coordinated to address the
problem. Clear definition of the problem is the most important of the above three
aspects. It is evident that the uninformed engineer or scientist cannot make a
contribution to solving a problem that is not understood. Developing the proper
technical background, as well as the experimental program necessary to solve the
problem, is critically dependent upon a clear definition of the problem. Since the
time required to complete a failure analysis investigation can be very important in
many cases, the effective analyst must be capable of recognizing problems and

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 communicating these problems to others with technical knowledge in a timely
fashion.
8.6 DEFINITION OF THE PROBLEM
A failure analysis investigation begins by the proponent calling the analyst to
investigate a given problem. Initially, the analyst meets with concerned personnel
such as process engineers, maintenance engineers, etc. to discuss the problem.
Typically, the discussions begin by the proponent giving some description of the
problem; e.g. during regular maintenance, cracks are detected in a certain
component, a part has undergone fracture, leaks are detected in storage tanks, etc. It
is the responsibility of the analyst to ask relevant and important questions
concerning the history of the component involved in the failure, such as (i) process
involved, (ii) the application, (iii) type of material, its specifications, shape,
dimensions, and processing technique, (iv) design parameters, (v) service
conditions, (vi) maintenance history, (vii) sequence of events preceding the failure,
(viii) frequency of failure and whether it is of localized nature, etc. Sometimes,
some of this information may not be available. However, it is very important that the
analyst collects as much information as possible about the history of the component
or part involved in the failure.
Inspection of the failure site is a very important aid in defining the problem. A
thorough examination of the condition of the failed component can provide a great
deal of information. Depending upon the particular case, attention must be given to
such features as location of cracks, fracture characteristics, perforations, deposits,
wall thinning, sagging, detached pieces, etc. Also, whenever possible, the analyst
must obtain as much information as possible from eyewitnesses about any abnormal
conditions preceding the failure. In some cases, visual inspection of the failed
component can reveal information which cannot otherwise be obtained. For
example, if fracture is involved in the failure, visual inspection can provide
information about the type of loading, load path, and fracture path. From such
information, it is possible to reconstruct the direction of stresses.
Usually, the fracture path is normal to the direction of maximum principal stress.
Photographic documentation of the failed component is almost always necessary for
future reference and further inspection after leaving the site. It is important to
photograph all features of the failed component. A clear definition of the problem is
largely dependent upon the depth of information obtained, site inspection, as well as
the skill and judgment of the analyst.
8.7 TECHNICAL BACKGROUND
Once the problem is clearly defined, the analyst must be able to identify the
technical background required to solve the problem. Depending upon the skill and
judgment of the analyst, it is possible to define the problem as environmental,
mechanical, or a combination of both. Furthermore, through discussions with
concerned personnel and visual inspection, the experienced analyst can narrow
down the various possibilities. Also, in some cases, the failure may resemble a
previous case. In this manner, the analyst can identify the technical literature

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 relevant to the particular problem, e.g., high-temperature corrosion, fatigue,
hydrogen embrittlement, stress corrosion cracking, etc. To illustrate this
methodology with an example, one analyst determines that most evidence points out
that the most probable cause of failure is high temperature carburization attack. It is
by large deposits of coke. This identifies the technical background required to solve
the problem.
8.8 EXPERIMENTAL PROGRAM AND ANALYSIS
Having defined the problem, an experimental program is developed to determine the
cause of failure. Experiments must be coordinated and tailored so that they provide
complementary information leading to identifying the cause of failure. Evidently,
both the nature and number of experiments carried out can significantly differ from
one case to another. Samples used to carry out those experiments must be carefully
selected such that they represent as much as possible all features of the failed
component. Deposits or pieces detached from the component can provide valuable
information. Whenever possible, samples removed from sound sections, as well as
samples never used in service, must also be collected for comparative purposes. It is
also important that the analyst realizes that stress analysis and fracture mechanics
are very valuable tools in failure analysis investigations. Given below is a guideline
for the type of experiments and analysis involved in failure analysis investigations.
Obviously, however, the exact experiments and analysis carried out are dependent
upon the particular case.
Investigative tools used in failure analysis studies can be classified into two main
types: (i) tools which can be used on site and (ii) laboratory tools.
8.8.1 NONDESTRUCTIVE TESTING
It is recalled from earlier discussions that the primary objective of nondestructive
testing is to detect either surface and internal cracks or discontinuities. Non-
Destructive tests are explained in the Chapter No. 2.
8.8.2 MATERIAL VERIFICATION
Although rarely the material of the component turns out to be different from that
specified, it is always recommended to verify the material(s) of the failed
component. In most cases, microchemical analysis by energy dispersive X-ray
spectroscopy in a scanning electron microscope provides sufficiently accurate
results.
8.8.3 THEORETICAL STRESS ANALYSIS
From knowledge of service conditions such as applied loads or pressure, and
geometry and size of the component, it is possible to calculate the principal stresses
developed in the part. Comparing the maxi mum principal stress with the strength of
the material used in the application provides important information about the
suitability of the material for the application and whether the design parameters
were strictly followed during service.

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8.8.4 FRACTURE MECHANICS
Analysis using the principles of fracture mechanics provides valuable information
about the stress developed in the failed component at the time of fracture in relation
to the design stress, particularly in the case of crack propagation by a brittle
mechanism. The outcome of this analysis determines the next course of action in the
investigation. Although fracture mechanics can be used to determine the number of
cycles preceding fracture by a fatigue mechanism, the method based upon
measuring the spacing of fatigue striations can be more convenient provided the
striations are clearly visible on fracture surfaces.
8.8.5 MACROSTRUCTURE AND MICROSTRUCTURE OF THE MATERIAL
A careful and thorough characterization of the macrostructure and microstructure of
the material involved in the failure can frequently provide important clues.
Whenever possible, it is particularly useful to compare the structural features of
samples removed from the failed component with those representative of samples
removed from sound sections, as well as of samples never used in service. It is also
important to refer to any specific recommendations by the manufacturer about the
use of the material. Macro-structural characterization at small magnifications, e.g.,
10, can provide further information about the fracture path and the location from
which it was originated, e.g., internal surface or external surface. Selection of the
proper technique for micro-structural characterization is dependent upon the type of
information required. However, it is always recommended to begin with light
optical microscopy or scanning electron microscopy to characterize the overall
micro-structural features.
In examining the microstructure, particular attention must be given to such features
as grain size and shape, secondary precipitates and their distribution, and micro-
cracks and their location. An unusually large grain size is an indication that the
material is exposed to an excessively high temperature. Grain shape and the shape of
annealing twins provide information about the state of cold work. Elongated grains
indicate that the material is severely cold worked. Plastic deformation can be
reflected by bent twin boundaries. Fine slip lines within the grains also indicate that
the material has been plastically deformed. If secondary precipitates are detected,
particular attention must be given to their nature and morphology. Micro-chemical
analysis by either energy dispersive or wavelength dispersive X-ray spectroscopy
can be used to determine their composition. Provided the precipitates are present in
sufficient amount (.10% by volume), they can be identified by X-ray diffraction. In
certain cases, transmission electron microscopy may be required. While examining
the gross micro-structural features, particular attention must be given to whether
micro-cracks are present. For example, grain boundary cracks may result from either
creep deformation or embrittling the grain boundaries by precipitates of a secondary
phase.
8.8.6 CHARACTERIZATION OF FRACTURE SURFACES: FRACTOGRAPHY
Although a great deal of information about fracture characteristics can be obtained
by means of visual inspection, characterization of the mechanism responsible for
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 fracture usually requires micro-structural examination of the fracture surface,
particularly in a scanning electron microscope. It is very important to realize that
any fracture results from an overloading condition. In contrast, cracks can propagate
by various mechanisms. Therefore, the analyst must be extremely careful in
reaching a conclusion about the mechanism responsible for crack propagation if the
entire fracture surface is not available. Sometimes, cracks are not propagated to the
extent causing fracture. If cracks extend through the entire thickness of the part, it is
possible to induce complete separation by certain fixtures and examine the
morphology of crack surface. In some cases, particularly when the component
operates at high temperatures, the details of fracture or crack surfaces can be masked
by oxidation. Descaling in a suitable acid, e.g., HCL, can be used to remove the
oxide layer, revealing the morphology of the fracture surface.
8.8.6.1 Fracture Surfaces Produced by a Cleavage Mechanism
Since most cleavage cracks are transgranular, the fracture surface appears granular
or shiny at small magnifications, and cleavage steps become clearly visible at higher
magnifications. In contrast, a quasi-cleavage fracture exhibits radial markings and
chevrons at small magnifications, and quasi-cleavage steps are observed at high
magnifications. If cleavage occurs on a single crystallographic plane, the resulting
fracture surface is smooth on an atomic scale. However, because engineering alloys
are complex multiphase alloy systems, corresponding fracture surfaces produced by
cleavage exhibit a variety of morphological features. Due to the presence of several
microstructural features, cleavage cracks can nucleate at various locations within the
grains. When these cracks propagate, the crack front can bypass various obstacles as
described earlier producing a fracture surface of complex irregular morphology, as
shown in figure 8.2.

Figure 8.2 Fracture surface produced by cleavage mechanism showing river patterns

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8.8.6.2 Fracture Surfaces Produced by Micro-void Coalescence
Since plastic deformation is involved in producing a fracture surface by micro-void
coalescence, the fracture surface shows evidence for slip lines or bands. When a
void is created at the interface between a secondary phase particle and the matrix,
plastic deformation by slip occurs in the vicinity of the particle. With continued
deformation, the void increases in size, and eventually the interconnecting layers of
the material are separated. This results in a fracture surface consisting of cusps or
dimples. If voids are formed at the interface between the matrix and secondary
phase particles, the centers of some cusps contain particles. Figure 8.3 illustrates a
fracture surface produced by micro-void coalescence. In some cases where the
localized plastic deformation occurs in the vicinity of the voids, slip lines may be
observed at the fracture surface. Straight slip lines are observed in fcc materials if
dislocations are confined to move on single slip planes corresponding to high
stacking fault energy. Conversely, if the stacking fault energy is low and
dislocations can readily cross-slip, the slip lines become wavy. Both the density,
size, and depth of dimples observed on fracture surfaces produced by micro-void
coalescence reflect the amount of plastic deformation, which has preceded fracture.
For highly ductile materials, the fracture surface contains a smaller density of large
deep dimples. As the ductility is reduced, the dimples become finer, shallower, and
of larger density. Although in this case, localized plastic deformation can still occur
in the vicinity of voids, the amount of macroscopic deformation required to
complete the separation diminishes.

Figure 8.3 Fracture surface produced by micro-void coalescence

8.8.6.3 Fracture Surfaces Produced by Intergranular Separation
An intergranular fracture exhibits a smooth and shiny surface at small
magnifications, and at higher magnifications a structure resembling the grain
structure of the material is observed. At low magnifications a ductile fracture
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 appears fibrous and rough. However, at higher magnifications, the fracture is found
to result from the initiation, growth, and coalescence of voids, resulting in a pattern
of dimples at the fracture surface as explained earlier.
8.8.6.4 Fracture Surfaces Produced by a Fatigue Mechanism
Fatigue fracture is distinguished by its characteristic striations. As described earlier,
fracture mechanics can be used to estimate the number of cycles preceding fracture
by a fatigue mechanism. An accurate method for estimating the number of cycles is
based upon measuring the spacing of fatigue striations observed on fracture surface.
This can be done by using SEM or TEM. Fatigue striations will be more sharply
defined in a TEM sample; however, SEM offers the advantage of relatively large
area analysis. This enables identification of fracture origin area and differentiation
between stage I and stage II of fracture propagation. The point of common
intersection for all fracture marks will be the fracture origin. The fracture surface
may contain more than one origin, indicating a high stress or discrete stress
concentration sites. Multi-origin fracture is distinguished by several ratchet marks.
The stage I fracture usually shows no sign of striations and extends only to a few
grains around the site of origin. The stage II fracture is represented by a change in
orientation of the fracture plane. The shape and location of the crack front will
indicate the type of loading (i.e., tension, bending, torsion, etc.) to which the part
was subjected. Likewise, the location and size of the final fracture indicates the
magnitude of nominal stress level.
8.8.6.5 Fracture Surface Produced by a Creep Mechanism
High-temperature creep is often initiated by nucleation of micro-voids at grain
boundary quadruple points due to localized melting. These voids enlarge and
propagate along the grain boundaries resulting in intergranular cracking that
ultimately leads to fracture. The grains revealed after fracture are rounded and
elongated in contrast to smooth-faceted morphology typically shown by low
temperature intergranular fracture. Occasionally, evidence of oxidation at the
fractured surface can also be found.
8.8.6.6 Fracture Surface Produced by Stress-Corrosion Cracking
As indicated earlier, crack propagation in stress-corrosion cracking can occur
intergranularly or transgranularly. Since, stress-corrosion cracking takes place under
a combined effect of stress and unfavorable environment, the exposed surface after
fracture will normally be covered with a layer of corrosion/oxidation products.
Examination under optical and SEM can also reveal extensive secondary cracking.
The fracture surface will appear crystalline or flat depending on mode of crack
propagation followed.
8.8.6.7 Fracture Surface Produced by Hydrogen-Induced Cracking
Hydrogen-induced cracking predominantly consists of a single crack with no
branching. The crack propagation could be intergranular or transgranular or it can
change from one mode to another. The fracture surface will not show any corrosion
product unless the material is exposed to such an environment. The crack can
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 initiate from within and at the surface of the material. Hydrogen damage can
produce “flakes,” which are short, elliptical, and discontinuous cracks that take on a
brightly shining appearance.
8.8.7 ANALYSIS OF CORROSION DEPOSITS
Whenever corrosion deposits are detected, they must be analyzed to determine their
nature, e.g., oxide, sulfide, carbide, chloride, etc. Corrosion deposits may remain
adhered to or separated from the surface of the component. By a combination of
either micro-chemical analysis in a scanning electron microscope or bulk analysis
by X-ray fluorescence, and X-ray diffraction, the nature of the deposit can be
identified. In some cases particularly those where low-temperature aqueous
corrosion is involved, the products of corrosion reactions may be washed away.
Such cases require an exact knowledge of the environment composition and the
corrosion resistance of the material in relevant environments.
8.8.8 PROPERTY EVALUATION
Provided sufficient material is available, various tests can be carried out to evaluate
the properties of the failed component, e.g., tensile, impact toughness, etc. However,
in many cases, both surface hardness and micro-hardness tests are used as
convenient means for evaluating the mechanical strength.
8.9 MODE OF FAILURE VS. CAUSE OF FAILURE
It is extremely important that the analyst distinguishes between the mode of failure
and cause of failure. Sometimes the two terms are intermixed, leading to a great deal
of confusion. To prevent future failures, it is essential to identify the cause of
failure. To illustrate the difference between the two terms, consider the following
examples. An investigation reveals that a machine part has failed by a fatigue
mechanism. In this case, the mode of failure is fatigue. However, this does not
provide any information about why the part has failed by a fatigue mechanism. It is
recalled from earlier discussion that if the part or component is not properly
designed for fatigue, catastrophic failure can occur even if the best material known
for its fatigue resistance is selected for the application. This can also occur if the
fabrication techniques introduce into the material flaws or discontinuities,
weakening its fatigue resistance, or if the service conditions deviate from the design
parameters. In another case, the mode of failure is determined to be high-
temperature carburization. This can be related to either a material with no adequate
resistance to high-temperature carburization, or improper service conditions.
8.10 DATA INTERPRETATION AND TERMINOLOGY
Accurate and detailed interpretation of experimental data are key factors in
completing a successful failure analysis study. Based upon this interpretation, the
analyst can provide the proponent with proper recommendations to solve the
problem. Evidently, this requires the analyst to have an adequate knowledge of
materials engineering and material science as well as the capabilities and limitations
of various investigative tools. In interpreting the data, it is essential that the analyst
use the proper technical terminology, which can be a key factor in determining
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 responsibility. As pointed out earlier, improper terminology can lead to a great deal
of confusion regarding the exact cause of failure. For example, it is reiterated that as
much as possible, the term fracture must be used without an adjective. It is very
important to distinguish between fracture and the mechanism of crack propagation.
Also, in interpreting the data, the analyst must be very careful in making statements
about the cause of failure. For example, the mode of failure in two separate cases
can be the same, e.g., fatigue; however, the cause of failure can be entirely different
as pointed out earlier. Statements about the cause of failure imply responsibility. If
the cause of failure is improper design, it is the responsibility of the designer;
however, if it related to processing, it is the responsibility of the manufacturer and
so on.
8.11 RECOMMENDATIONS
A complete failure analysis investigation must conclude with a set of
recommendations to prevent future failures. It is possible to cite recommendations
for short term solution as well as for a long-term solution. Any recommendation
cited by the analyst must be consistent with the results of the investigation. Since in
many cases, micro-structural characterization reveals some abnormal features, the
analyst may recommend replacing the material. However, this should never be
recommended unless the exact origin of the abnormality is identified. It may be due
to improper processing or service conditions inconsistent with the design
parameters. However, if it is determined that the material must be replaced, the
analyst may recommend various alternatives, citing their capabilities and limitations
as they relate to the application..
8.12 FAILURE ANALYSIS REPORTS
Documentation of a failure analysis study in a detailed report is not only useful in
providing a solution to a specific problem, information contained in the report can
also be used to settle legal claims. If such information is made available to
designers, it can be extremely helpful in selecting proper materials, minimizing or
preventing future incidents of failure. Furthermore, results of failure analysis studies
can be used in alloy developmental work. For these reasons, every effort must be
made to produce a high-quality failure analysis report. Although the exact procedure
for writing the report can differ from one case to another, as a guide, the report may
include the following sections:
1. Summary, describing in concise manner the background of the problem,
analysis procedure, the results of investigation and recommendations.
2. Background, which must include as much information as possible about the
process, application, and the material involved. Whenever applicable or
possible, both the maintenance and shutdown history must be included.
Also, the sequence of events preceding the failure can be included in this
section.
3. Experimental procedure, describing all the techniques used to analyze
samples as well as the methods used for sample preparation.

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4. Visual inspection, including photographs of the failed component
illustrating specific features such as cracks, corrosion deposit, perforations,
pits, thinning, etc. It is useful to illustrate the locations from which samples
were removed for analysis.
5. Material verification, presenting the results of analyzing the chemical
composition of the material in comparison with the nominal composition if
provided by the proponent. This clearly shows whether the material is the
same as that specified. It is useful to include in this section some material
properties relevant to the application.
6. Stress and fracture mechanics analysis, presenting the results of analyzing
the stresses in the failed component.
7. Micro-structural characterization, presenting comparative micro-structural
features of failed and un-failed sections, as well as those of material never
used in service. Particular attention should be given to such features as
grain size, structure and morphology of grain boundaries, precipitation of
secondary phases. Also if applicable this section may include results of
characterizing fracture surfaces, corrosion deposits, etc. Results of property
evaluation such as hardness measurement may also be included in this
section.
8. Mode of failure, based upon the results presented. The mode of failure is
clearly specified, e.g., fatigue, creep, carburization attack, etc.
9. Cause of failure, combining all above information. The most probable
cause of failure is discussed in this section.
10. Conclusions, summarizing the mode and cause of failure.
11 Recommendations, presenting views about various possible solutions to the
problem.
12. References, used for obtaining information during the investigation.

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