Engineering Failure Analysis 97 (2019) 506–517

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Engineering Failure Analysis

journal homepage: www.elsevier.com/locate/engfailanal

T
Failure analysis of AISI 410 stainless-steel piston rod in spillway
floodgate
D.C. Moreiraa, , H.C. Furtadob, J.S. Buarqueb, B.R. Cardosob, B. Merlinc,
⁎

D.D.C. Moreirac
a
Electrical Center of North Brazil, ELETRONORTE, Tucurui, Brazil
b
Electric Energy Research Center, CEPEL, Rio de Janeiro, Brazil
c
Federal University of Para, UFPA, Tucurui, Brazil

A R TICL E INFO A BSTR A CT

Keywords: We investigate the causes of failure of a piston rod of a hydraulic cylinder, which moves a spillway
Failure analysis floodgate of a hydroelectric power plant, after 30 years of service. The fractured piston rod is made of
Stress corrosion cracking the AISI 410 martensitic stainless steel (condition T). The analysis shows that intergranular cracking
Temper embrittlement originated on the outer surface and propagated along prior austenite grain boundaries, accompanied
Power plant
by corrosive attacks between martensite needles. The low performance of the piston rod can be
explained by the improper heat treatment during the manufacturing process, which led to a high δ-
ferrite content, temper embrittlement, low toughness, and susceptibility to stress corrosion cracking.

1. Introduction

Martensitic stainless steels are commonly used to fabricate engineering components owing to their excellent mechanical prop-
erties and moderate corrosion resistances. Their properties can be altered by a heat treatment, making them suitable for various
applications, such as steam generators, pressure vessels, mixer blades, cutting tools, and offshore platforms for oil extraction [1].
Generally, these alloys are corrosion resistant in not too aggressive environments. Their resistances depend on the following
factors: (i) chromium and carbon contents, (ii) volumetric fraction of carbides dissolved in the matrix after austenitization, and (iii)
control of carbide precipitation during tempering. Therefore, for a maximum strength, the carbon content and heat treatment
conditions of the steel should be considered [2].
There is no consensus in the literature on the effect of δ-ferrite on the toughnesses of ferritic-martensitic steels. Alkan et al. [3]
reported that δ-ferrite is beneficial for the impact toughness. An increase in volume fraction of δ-ferrite leads to a higher impact
toughness. On the other hand, Zheng et al. [4] and Wang et al. [5] concluded that the presence of δ-ferrite deteriorates the impact
toughness. Zhou et al. [6] concluded that the presence of a considerable amount of δ-ferrite promotes the initiation and propagation
of cracks, which degrade the tensile performance.
Intermediate tempering temperatures shall be avoided as they promote embrittlement and decrease in corrosion resistance.
Martensitic steels are particularly susceptible to temper embrittlement when the heat treatment occurs in the temperature range of
350 to 570 °C, or during a slow cooling in this range [7]. The fracture in temper embrittlement is intergranular and the propagation
occurs through prior austenite grain boundaries. Embrittlement occurs mainly in the presence of specific impurities such as P, Sn, Sb,
and As, which segregate in the prior austenite grain boundaries during the tempering [8]. Silva et al. [7] reported that for a

⁎
Corresponding author.
E-mail address: davi.moreira@eletronorte.gov.br (D.C. Moreira).

https://doi.org/10.1016/j.engfailanal.2019.01.035

Available online 07 January 2019

Received 4 July 2018; Received in revised form 12 December 2018; Accepted 3 January 2019

1350-6307/ © 2019 Elsevier Ltd. All rights reserved.

D.C. Moreira et al. Engineering Failure Analysis 97 (2019) 506–517

supermartensitic stainless steel of a titanium alloy, samples tempered in the range of 400 to 600 °C exhibited brittle fractures with
quasi-cleavage facets and microcracks.
Martensitic stainless steels are relatively resistant to stress corrosion cracking (SCC) in an acid sulfide solution. The International
Standard NACE MR0175/ISO 15156, which also addresses the SCC of the martensitic stainless steel, recommends a maximum
hardness of 22 HRC for the AISI 410 steel. Hare [9] studied a water pump shaft failure of the AISI 410 steel with a hardness of 27 HRC,
which exhibited SCC in a corrosive environment with the presence of chlorine and sulfur. Failure occurred due to fatigue; the crack
started at the surface exhibiting a pitting and intergranular corrosion.
Common causes of failures of mechanical components used in power, chemical, refinery, and nuclear industries, are SCC, welding
failure due to fatigue, pitting corrosion, residual stresses, improper heat treatment of components, etc. [10].
Recent investigations of failures in components made of the AISI 410 stainless steel used in energy industries showed that they
were caused by corrosion-fatigue due to pits/grooves [11], deficient brazing procedure [12], and cracks [13], and by fatigue due to
inappropriate operational conditions [14], machining marks [15], and improper heat treatment [10,16].
Kalyankar and Deshmukh [10] investigated a premature and sudden failure in a valve shutter of a power plant, also made of the
AISI 410 steel. The failure analysis revealed that the valve shutter underwent an improper tempering, which led to a higher hardness
(44 to 46 HRC) and regions weakened by the formation of acicular carbides along grain boundaries, which was classified as a fatigue
failure with intergranular cracks due to the improper heat treatment.
Failures in the axis and water pump axis coupling of nuclear power plants, made of the AISI 410 steel, have been reported by
Lancha et al. [16]. The authors concluded that the failures were caused by the low impact toughness due to temper embrittlement
originating from the improper heat treatment during the manufacturing.
Saxena et al. [17] investigated failures in steam turbine blades of a thermoelectric power plant, made of the AISI 410 steel. The
failure analysis of the blades revealed that the tempering of the fractured part (blade #18) may have been carried out in the range of
450 to 600 °C. This led to a higher hardness, low impact toughness, low corrosion resistance, chromium-free region in the matrix, and
chromium-free carbides at the grain outlines. The investigation concluded that the primary cause of the turbine failure of blade #18
was the improper heat treatment, specifically the tempering.
Chimbli [18] performed a failure analysis on AISI 410 steel square head bolts that did not satisfy the requirements of the wedge
tensile test. An investigation of a batch of these bolts revealed that the embrittlement was caused by the improper heat treatment.
Samples of the same batch, after tempering at 637 °C for 2 h straight by air cooling, did not exhibit embrittlement and satisfied the
requirements of the wedge tensile test.
The objective of this study was to investigate the cause of the failure of the hydraulic cylinder no. 37 piston rod of the no. 19
floodgate of the Tucurui dam spillway, through metallurgical and mechanical tests, stress measurements performed during operation,
and numerical analysis. The hydraulic cylinder piston rod is made of the ASTM A 276 martensitic stainless steel, type 410 (AISI 410)
(condition T).

2. Background of the failure

The dam of the hydroelectric power plant in northern Brazil has a spillway with 23 floodgates, each of which is activated by two
simple piston hydraulic cylinders with gravity closure (Fig. 1). A force of 3010 kN is applied to each piston rod in the longitudinal
direction to open and keep the floodgate open.
During the 32 years of spillway operation, three fractures occurred in different piston rods (in 1995, 2013, and 2015), besides the
eight cracks detected in 2000 through dye penetrant tests.
The cracks and failures occur in the piston rod section located inside the bottom fork clevis, where corrosion is observed due to the
accumulation of water. It is worth noting that a water analysis of the reservoir showed chlorine, sodium, and magnesium con-
centrations of 7 mL/L, 5 mL/L, and 3 mg/L, respectively, and pH < 6.3. The bottom fork clevis is shown in Fig. 1, where strain
gauges were installed in the nearest and more accessible point of the piston rod to the place where cracks and failures occur, to
measure mechanical stresses.
The fractures begin with cracks in the transition regions between sections with different diameters, as shown in Fig. 2. A piston
rod, in which the crack was ground out, is shown in Fig. 3.

Fig. 1. Floodgate movement mechanism and detail in the strain gauge installation on the piston rod.

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Fig. 2. Sketch of the threaded end of the piston rod and crack location.

3. Materials and methods

Two samples of the fractured part were employed for a chemical analysis of the base elements (C, Mn, P, S, Si, Cr, Ni, Cu, and Mo),
using several methods including: (i) direct infrared combustion, (ii) gravimetry and atomic absorption spectrophotometry, (iii)
volumetry, and (iv) atomic absorption spectrophotometry.
Tensile tests were performed at room temperature on longitudinal test specimens obtained from the fractured piston rod, pro-
duced according to ASTM E 8–04, using an Emic DL30000 machine with a capacity of 300 kN.
In this study, Charpy impact tests were performed at room temperature (25 °C) using V-notched test specimens obtained from the
fractured piston rod, produced in accordance to ASTM E 23-07a, using an impact pendulum with a capacity of 450 J (Zwick HA50
model). The hardness measurement (Rockwell C) was performed with a Pantec RBS equipment in accordance with ASTM E 18–15,
with a preload of 10 kgf and load of 150 kgf in various regions of the surface of the fractured part (from the center to the edge). Ten
specimens were prepared for the stress-compression fatigue test using an INSTRON 8862 model machine, according to ASTM E606/
E606M-04ϵ1. The strain amplitudes of the tests were in the range of 0.2 to 1.0%; two tests were carried out for each selected
amplitude. The applied load curve had a triangular shape. As the failure criterion, we used the reduction of 50% of the maximum load
in the 5th cycle of the test.
In order to characterize the microstructures, several samples were cut from the center to the edge of the fractured piston rod.
These samples were polished, etched with the Villela's reagent (5 mL of hydrochloric acid, 1 g of picric acid, and 100 mL of ethanol),
and observed using an Olimpus GX 71 optical microscope. Scanning electron microscopy (SEM) was employed using a Zeiss Evo 40
microscope. The samples were prepared from four zones (Fig. 4) of the fracture surface of the piston rod that failed in service, and
also from tensile, Charpy impact, and fatigue test specimens. A detailed mapping with a microanalysis system (energy-dispersive X-
ray (EDX) IXRF System) coupled to an SEM was also performed, to identify precipitates, segregation, and differentiated con-
centrations of the chemical elements.
The recommended practice API RP 571 was used to verify the susceptibility to temper embrittlement of the fractured piston rod
base metal through the Watanabe Jr. Factor (J-Factor) with its upper limit (100) and equivalent phosphorus factor (P-Factor) with its
upper limit (2.8–3.0). For this investigation, it was necessary to perform a chemical analysis of impurities (Sn, Sb, and As).
A numerical analysis was performed using the finite-element method (FEM) to verify the stresses where cracks and fractures could
initiate. The main constructive characteristics of the piston rod such as the screw thread, bevels, and notches were considered in a
three-dimensional (3D) model.
Metallographic replications were performed in field on two spare piston rods in the region where cracks and fractures occurred.
After grinding and polishing, the regions were etched with the Villela's reagent and an acetate tape was used to obtain the

Fig. 3. Piston in which the crack was ground out.

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Fig. 4. Fractured surface.

microstructures. Both spare piston rods, made in the 80's and 90's, have the same specification (ASTM A 276), but the manufacturer
did not report the type of the performed heat treatment. The metallographic replication was necessary to identify the microstructures
of the spare piston rods (without damaging them) and compare with the microstructure of the piston rod that failed in service.

4. Results and discussion

4.1. Material characterization

The results of the chemical analysis (Table 1) indicate that the piston rod material is an ASTM A 276 martensitic stainless steel,
type 410, thus in accordance with its design specification.
The results of the tensile tests showed that the fractured piston rod steel meets the mechanical requirements of ASTM A 276–06
for stainless steel, type 410, condition T, according to Table 2.

Table 1
Results of the chemical analysis of the fractured part (wt%).
Ca Mnd Pc Sa Sib Crd Nid Cud Mod

Sample 1 0.12 0.86 0.027 0.006 0.43 12.4 0.28 < 0.05 < 0.05
Sample 2 0.12 0.86 0.027 0.006 0.43 12.4 0.28 < 0.05 < 0.05
AISI 410 (ASTM A 276-06) 0.08–0.15 1max 0.04max 0.03max 1max 11.5–13.5 – – –

a
Infrared direct combustion.
b
Gravimetry and atomic absorption spectrophotometry.
c
Volumetry (sodium hydroxide - acidemetry).
d
Atomic absorption spectrophotometry.

Table 2
Results of tensile tests. Modulus of elasticity (E), yield stress (σY), resistance limit (σR), rupture limit (σrupture), and reduction in area (RA).
E (GPa) σY (MPa) σR (MPa) σrupture (MPa) RA(%)

CP1 201.5 602.8 751.8 472.5 58.6

CP2 198.2 649.2 713.9 456.5 57.8
CP3 216.4 517.4 669.4 385.2 59.0
CP4 209.2 684.9 820.2 542.2 60.0
CP5 221.9 685.1 837.3 559.9 58.4
CP6 230.2 688.6 823.2 529.0 59.6
CP7 214.2 704.5 846.3 583.7 55.9
Mean 213.1 647.5 780.3 504.1 58.5
Standard deviation 11.2 66.7 69.0 69.4 1.4
AISI 410 condition T (ASTM A 276-06) 205.5 > 550 > 690 > 45.0

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Fig. 5. Magnified view of zone 4.

4.2. Visual analysis

The visual analysis reveals a flat fracture with the transverse direction to the axis along the transition between two portions of the
piston rod, with diameters of 17 and 21.5 cm, without beach marks. The end of the fracture is identified in zone 4 (Fig. 5). The
transition region had rough manufacturing marks with a fillet radius in the range of 1.5 to 2.5 mm.

4.3. Metallographic analysis

On the surface of the fractured piston rod, intense intergranular corrosion (Fig. 6) and intergranular propagation of cracks with
secondary cracks and some extracted grains (Figs. 7 and 8) were observed.
Samples obtained from different regions (from the center to the outer edge of the piston rod), etched with the Vilella's reagent,
exhibited fully tempered martensitic microstructures with aligned δ-ferrite regions (Fig. 9). The micrographs of the samples obtained
from the center to the outer edge of the piston rod demonstrate the microstructural homogeneity along the cross section of the piston
rod, characteristic of a uniform cooling rate in the heat treatment process. The formation of δ-ferrite in the martensitic structure of the
piston rod deteriorated its mechanical properties, particularly the toughness.

Fig. 6. Intense intergranular corrosion near the surface of the fractured part.

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Fig. 7. Intergranular propagation of cracks and secondary cracks.

Fig. 8. (a) Two close cracks spreading from the surface; (b) intergranular propagation of cracks and extracted grains near the surface.

Fig. 9. Metallographic structure near the edge of the fractured part consisting of tempered martensite and δ-ferrite.

The grain boundaries observed upon the etching represent the prior austenite grain boundaries. The metallographic analysis
shows the preferential propagation of cracks along these prior austenite grain boundaries (Fig. 10). Fig. 11 shows a crack passing
through δ-ferrite grains. Figs. 12 and 13 show magnified views of the δ-ferrite and prior austenite grain boundaries observed with
SEM, respectively.

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Fig. 10. Cracks following the boundaries of both δ-ferrite and previous austenite of the fractured part.

Fig. 11. Cracks passing through δ-ferrite grains in the edge of the fractured part.

Fig. 12. Magnified view of δ-ferrite.

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Fig. 13. Magnified view of a prior austenite grain boundary.

4.4. Mechanical tests

According to the hardness test results, no hardness variations were observed, from the center to the piston rod edge, demon-
strating the microstructural homogeneity along the cross section of the piston rod. A value of 27 ± 2 HRC was obtained in the test,
close to those obtained by Hare [9].
In the American Society for Metals (ASM) Handbook Vol. 1, an impact energy of 30 J (25 °C) for an AISI 410 steel tempered at
595 °C and final hardness of 30 HRC are reported. Therefore, the Charpy impact test results indicated a low impact toughness of the
AISI 410 steel, as shown in Table 3. The results were equivalent for both test specimens obtained in the longitudinal and transversal
directions of the piston rod.

Table 3
Results of the Charpy impact test.
Transversal direction Longitudinal direction

CP1 CP2 CP3 CP4 CP5 CP1 CP2 CP3 CP4 CP5

a
Impact energy (J) 5.58 7.56 7.23 5.42 5.50 5.10 8.65 5.66 7.06 6.24
Mean (J) 6.26 ± 1.05 6.54 ± 1.38

a
Charpy impact test at room temperature (25 °C).

4.5. Chemical analysis of impurities

Considering the base metal elements (Table 1) and impurities (Table 4), the J-Factor and P-Factor had values of 348 and 6.04,
respectively, indicating that the material was susceptible to temper embrittlement.

4.6. Fractographic analysis

The fractographic analysis revealed an intergranular rupture mode with cleavage signals (Fig. 14) not only in cracking regions,
but also on the entire fracture surface (the four zones of Fig. 4). This fracture characteristic in the martensitic stainless steel is typical
of the temper embrittlement process, where the crack propagation occurs through prior austenite grain boundaries.

Table 4
Results of the chemical analysis of impurities of the fractured part (parts per million (ppm)).
As Sb Sn

Sample 1 0.26 < 0.02 < 0.38

Sample 2 0.26 < 0.02 < 0.38

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Fig. 14. Intergranular fracture with cleavage signals in the fractured piston rod: zones a) 1, b) 2, c) 3, and d) 4.

Fig. 15. Intergranular fracture with cleavage signals in the fatigue test specimen.

Fig. 15 shows details of the fractured surface ruptured by fatigue (light region), which is the region of interest in this analysis.
Similar to the structure observed in the fracture surface of the piston rod of the floodgate, the fracture surface of the fatigue test
specimen is intergranular with cleavage signals. The same structure is observed in the test specimen of the Charpy impact test
(Fig. 16).

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Fig. 16. Intergranular fracture with cleavage signals in the Charpy impact test specimen.

4.7. Mechanical stress measurement and numerical analysis

Strain measurements in the piston rods of the hydraulic cylinders were performed under real operating conditions. Rosette and
unidirectional strain gauges were installed in the section with a larger diameter of the piston rod (Fig. 1), near the place where the
cracks were detected.
In the stress calculation, the Young's modulus of the piston rod steel was set to 213.1 GPa (Table 2). In the section with a larger
diameter of the piston rod, stresses of 66.70 MPa at the floodgate opening and 60.1 MPa at the floodgate closure were observed, as
shown in Fig. 17. The difference between the stresses (~10 MPa) measured by the unidirectional and Rosette strain gauges is due to

Fig. 17. Stresses in the piston rod: experimental data.

Fig. 18. Stresses at the threaded end of the piston rod in the numerical simulation.

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Fig. 19. Metallographic replication of the “old piston rod” with the tempered martensitic structure and δ-ferrite.

the bending stress, detected only by the Rosette arrangement, as the unidirectional strain gauges were installed in the neutral axis of
the piston rod.
The stresses where the cracks occur were obtained by a simulation, adjusting the numerical model to the values obtained in the
field test, as shown in Fig. 18. A mesh of tetrahedral elements was generated; 78% of the elements were without deformation. A
convergence study of the numerical model was performed, which was satisfactory without singularities.
The maximum stress at the piston rod notch (location of cracks and fractures) corresponds to approximately 63.7% of the material
yield stress. Martensitic stainless steels may undergo stress corrosion, but this would require both corrosive environment and applied
stress approximately equal to the yield stress. However, in materials with abnormally low toughnesses, as in this case, SCC may occur
under less severe conditions.
Crack nucleation by SCC is very likely to occur, considering the stress concentration at the piston rod notch, low toughness,
accumulation of water and corrosion at the threaded end, and material susceptibility to SCC.

4.8. Metallographic replication study

The field metallographic replication in an “old piston rod” (manufactured in the mid 1980's), equivalent to the piston rod of this
study, is shown in Fig. 19. The analysis of the metallographic replication of the “old piston rod” revealed its fully tempered mar-
tensitic structure with δ-ferrite regions, similar to the metallographic structure of the piston rod of this study. Therefore, there is a
possibility that the same heat treatment was applied to all piston rods of the hydraulic cylinders, produced for the construction of the
spillway.
Fig. 20 shows the metallographic replication performed in the “new piston rod” (manufactured in the mid 1996's), where a fully
tempered martensitic structure without δ-ferrite regions was observed, showing the more adequate heat treatment, compared to that
of the “old piston rod”.

Fig. 20. Metallographic replication of the “new piston rod” with the tempered martensitic structure.

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5. Conclusion

The failure analysis of the piston rod of the hydraulic cylinder of the spillway floodgate that failed in service showed that:

1. The piston rod failed due to reductions in toughness and corrosion resistance of the steel, associated with the notch effect of the
critical transition zone of the piston rod section. These conditions, together with the corrosive effect of the water, led to crack
nucleation by SCC and propagation accelerated by the cyclical stress of the hydraulic cylinder until the total rupture.
2. The performance of the martensitic stainless steel used in the construction of the piston rod could be explained by the improper
heat treatment during its manufacturing process, which led to the high δ-ferrite content, temper embrittlement, reduction in
toughness, and susceptibility to SCC.
3. The authors of this study recommend: (i) Inspect all piston rods operating at the spillway by a liquid penetrating test and replace
the cracked piston rods; (ii) Protect critical region of the piston rod against moisture by adding grease or sealant; (iii) For a new
piston rod, a minimum impact resistance of 30 J must be specified. For the AISI 410 steel, this impact resistance shall be achieved
by tempering at approximately 650 °C.

Acknowledgement

The authors would like to thank the researchers of the Electric Energy Research Center Materials Laboratory for their technical
and scientific assistance. In addition, the authors are grateful to Electrical Center of North Brazil for the support provided in all the
activities performed in this work. This research did not receive any specific grant from funding agencies in the public, commercial, or
not-for-profit sectors.

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