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ME 328.3

S7: Failure Analysis

(Revised October, 2007)

INTRODUCTION

This laboratory is designed to give an understanding of the mechanics and

characteristics of the different types of failures that can occur in mechanical
equipment. The material in the following pages is drawn from two publications,
Basic Course in Failure Analysis (Penton/IPC Education Division, 1969-70)
written by Charles Lipson and How Components Fail (American Society for
Metals, 1966) written by Donald J. Wulpi. Both publications are available in the
Engineering Library.

Mechanical failures are caused by the nature of the humans that use them
and the materials from which men and women build their machines. Environ-
mental factors, material factors, and factors involving human error, such as
design or maintenance oversights, contribute to the multi-faceted world of
mechanical failures. In any failure an understanding of the probable mechanism
of failure is necessary before proper design safeguards can be applied.

A failure does not necessarily have to be catastrophic, but can result from a
not-so-obvious condition which gradually degrades performance. The usual
textbook failure theories, such as the maximum stress and shear theories, have
long been available for the prevention of catastrophic failure. However, these
theories do not account for the more subtle modes of failure. Thus, the
prevention of failure requires not only load and strength analyses, but also a
practical understanding of material characteristics and the effects of corrosion,
temperature, and wear.

The logical way to begin to understand failure is with a failed part. Facts
gathered from an analysis of the failed part are as valuable as those derived from
laboratory or field testing, and are usually cheaper to obtain. Such an
examination can answer one or more of the following questions:
- Was the failure caused by a cross-section that was too small, excessive
stress concentration or service abuse?
- Did the failure start at or below the surface?
- Did the failure start from a single point or did it originate at several
points?
- Was the failure due to an intermittent high load or a more frequent
moderate load?
- Was the part subjected to a two-way bending or a one-way torsion load?
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- Did the crack start recently or had it been growing for a long time?
- Was the failure caused by pitting, scoring, case crushing, or frettage
corrosion?
- If the part shows pitting at an early life, is it incipient pitting that would
not have affected performance or destructive pitting that would have led
to final failure?
- Are current failures likely to recur?
- What type and degree of improvement is necessary to prevent recurrence
of the failure?
- Finally, if a test program is undertaken to evaluate a remedy, what
should this program involve and what should be the test environment?

The value of this information is self-evident. Unless you know how the part
lived, and how it died, the prescribed remedy may be unsuitable.

Failure Analysis should yield results comparable to the information derived

from paper analysis, metallurgical examination, and laboratory and field testing.
Its uniqueness is the fact that the failure occurred under actual operating
conditions. Failure analysis answers the question: "What is happening in the
field?"

Laboratory and field testing permit the evaluation of the effects of design,
material, and production variables on performance of the part under controlled
conditions. Failure analysis, on the other hand, is concerned with parts returned
from the field and thus gives results of actual service conditions. By combining
the information from tests with the results of a failure analysis, a clear picture of
the causes of failure can be acquired. And this, in turn, when combined with the
theoretical analysis and a metallurgical examination, should provide an
assortment of data that will indicate the solution of a failure problem.

Failures can seldom be assigned to a single cause. Usually they result from
the combined effects of two or more factors that are detrimental to the life of the
part or structure. A detailed analysis of failures by steel companies, vehicle
manufacturers, and electrical equipment manufacturers, shows that nearly 50
percent of all failures can be attributed to faulty design, the rest being
distributed between production and service problems.
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CLASSIFICATION OF FAILURES

In the broadest sense, failure of a machine part results when it ceases

functioning satisfactorily. Failures can be classified as follows:
Elastic Buckling - This type of failure, or at least its initiation, takes place within
the elastic range of the material. For example, a long slender column, when
compressed lengthwise, will begin to buckle before the metal is stressed beyond
the elastic range. The critical load at which buckling begins depends on stiffness
rather than the strength of the metal. Elastic buckling must be differentiated
from the subsequent buckling that takes place in the plastic range of the
material.
Plastic Deformation - Structural damage results when a machine part retains a
permanent set after load is removed. For example, bolt and nut connections can
become loose when loaded beyond the elastic range of the metal.
Creep - Damage by creep, the continuing distortion of a material under a steady
load, is similar to damage by plastic deformation. The difference is that creep
continues while simple plastic deformation stops after a short period of loading.
For common structural metals, creep is important only at elevated temperatures.
Fracture - Unlike plastic deformation or creep, which involves moving
appreciable volumes of metal before noticeable structural damage is done,
fracture starts at a point of localized stress concentration. From a small point of
initiation, it can spread across a part to cause a total fracture. This process
occurs in brittle materials under a steady load and in ductile materials under
repeated stress. In the latter case, the crack is due to exhaustion of the ductility
of the metal and, once started, will spread even under relatively low stress.

In ductile failures, small cavities are initially formed by slip, then, as the
loading continues, they are joined together and eventually grow to form a crack.
This crack spreads with the aid of an intense shear distortion near the crack tip
and moves towards the surface, generally perpendicular to the tensile force.

Brittle fractures are also initiated by slip that forms small cavities and
cracks. These cracks are spread by the load initiating new cracks in adjacent
grains along the cleavage plane. The cracks then join by tearing the grain
boundaries. Each crystal tends to fracture on a single plane. However, this
plane varies slightly from one crystal to the next in the aggregrate. Surfaces of
brittle fractures will sometimes have distinctive appearances. From the origin of
fracture, a characteristic chevron or herringbone pattern is formed which points
toward the fracture origin.
Adhesive Wear - Galling, scuffing, scoring and seizing are all types of adhesive
wear. Although they differ in severity these forms of wear may be grouped under
a single heading. Adhesive wear is probably the most basic type of wear, and is
caused by the shearing action of microwelds formed between the two mating
 - S7-4 -

surfaces that carry the load. Failure of the film which normally separates the
two surfaces is the cause of this wear.
Abrasive Wear - Abrasion takes place whenever hard foreign particles, such as
metal grit, metallic oxides, as well as dust and grit from the environment are
present between rubbing surfaces. These particles first penetrate the metal and
then tear off metallic particles. Depending upon its severity, abrasion can
appear as either gouging or scratching. This form of wear is one of the most
common types encountered.
Pitting - Pitting, pitting corrosion and spalling are different forms of the same
phenomenon, with spalling being the most common. Pitting is generally
attributed to cyclical loading of two mating surfaces. High stress causes a crack
which separates a particle from the main body of the material. The cavity left
behind is a pit, from which more material spalls out.
Fretting - Frettage or frettage corrosion is caused by minute reciprocating
motions between the surface under a normal force, as in press-fitted assemblies.
Damage can vary from discoloration of the mating surfaces to the wearing away
of material. Moreover, the surface either can show the formation of a great deal
of corroded material or can have a heavily galled appearance with little oxide
present.
Galvanic Corrosion - Galvanic corrosion is a complex phenomenon, causing
surface damage by means of an electrical current flow in a liquid from one
metallic surface to another. In a broader sense, these galvanic cells may operate
either at the surface of the metal, between dissimilar metals in electrical contact,
or between areas of unequal electrolyte concentration in the same metal.
Stress Corrosion - Stress-corrosion cracking is directly linked to the combined
effects of stress and corrosion. Generally corrosion of a part forms pits or other
surface defects that can cause local stress concentrations. The combined action
of corrosion and stress results in the propagation of cracks.

Types of Loading

Fundamentally, as Table 1 illustrates, there are five types of loads:

- Axial loading is the application of a load coincident with the centerline of
the part.
- Bending loads are produced by coupled forces applied coincident with the
centerline of the part.
- Torsional loading involves the application of a force couple in a plane
normal to the center line of the part.
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- Direct shear loads are forces tending to strain parallel planes relative to
each other.
- Contact loads are compressive normal and sliding forces between two
surfaces.

The way in which the load is applied is also important. There are five main
types of applications with the last three being cyclic loading conditions:
Simple loading - load is applied in tension or compression, with the rate of
loading being small.
Impact loading - load is applied in tension or compression, but the rate of loading
is very high.
Reversed loading - applied load alternates from a negative value to a positive
value.
Unidirectional loading - applied load alternates from zero to a maximum.
Unidirectional loading with preload - applied load alternates from a minimum to
a maximum without reaching zero.
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Table 1. Types of Loading (from WULPI, 1966)

© 1966 by the American Society for Metals. This material has been copied under
licence from Cancopy. Resale or further copying of this material is strictly
prohibited.
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EFFECTS OF VARIABLES

Knowledge of the many variables that affect service failures will help
greatly when analyzing them to determine their causes.
Mechanical Properties - Because a metal's mechanical properties indicate its
elastic and inelastic behaviour when a force is applied, they indicate its
suitability for stress-bearing applications. Mechanical properties include the
Modulus of Elasticity, the Tensile and Yield strengths, elongation, reduction in
area, Hardness and fatigue limit.

In general, static and fatigue strength of steel increases proportionally as

hardness rises. Above Rockwell C 50, however, steel usually becomes more
prone to fracture due to an increased sensitivity to irregularities and
discontinuities. Imperfections, such as inclusions, seams and tool marks, are
more serious at higher hardness levels because the metal cannot flow plastically
and adjust to them. Figure 1 shows how tensile strength rises directly with
hardness. A similar relationship exists for the fatigue limit as depicted in Figure
2. Though they are not suitable as quantitative measures for ductility,
reasonable elongations and reductions in area usually indicate that enough
ductility is present to help prevent fracture. Ductility permits high stresses to be
spread out by plastic deformation, thereby decreasing stresses in local zones of
the component.

Figure 1. Relationship between hardness and tensile strength

(from WULPI (1966)) © 1966 by the American Society for Metals. This material
has been copied under licence from Cancopy. Resale or further copying of this
material is strictly prohibited.
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Figure 2. Relationship between tensile strength and fatigue limit

(from WULPI (1966)) © 1966 by the American Society for Metals. This material
has been copied under licence from Cancopy. Resale or further copying of this
material is strictly prohibited.

Though proper microstructure and uniform mechanical properties are

assumed throughout the part, mechanical properties at the origin of a potential
fracture are of much greater significance than those elsewhere in the part.
When the maximum applied stress occurs at the surface, as is usual, the
mechanical properties at that surface are related directly to performance.
Properties in subsurface metal are usually of importance only as they affect the
surface metal by influencing residual stresses and supporting the surface.
Stress Raisers - All parts and assemblies contain notches, fillets, holes and
similar geometrical irregularities. Machined components may have severe stress
raisers formed by tool tears, and even ordinary tool marks can cause severe
damage to the part if they fall in a region of high stress, such as a fillet.

Figure 3 shows how stresses vary across a notched cylinder in tension.

Longitudinal and tangential normal stresses and the maximum shear stress
peak at the root of the notch, while the radial stress peaks below the root of the
notch. More severe notches will tend to intensify these maximums. Thus, the
presence of any notch, whether intentional or accidental, must be carefully
considered because service stresses are usually highest at the surface. Just
below the base of the notch, the maximum shear stress drops to quite a low level.
Therefore, when plastic flow begins at the root surface of a notch, an even
greater degree of triaxiality occurs. This is because additional tangential and
radial restraint develops, causing an increased s/t ratio just below the notch
surface and promoting brittle behaviour.
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Figure 3. Distribution of stresses across a notched cylinder

Under a static load, highly stressed metal yields plastically at a notch root
or hole edge, passing the high stresses on to other sections until fracture occurs.
However, under fatigue, or repeated loads, most of the metal is stressed below its
elastic limit, yielding locally on a much smaller scale. Then highly localized
deformations may start cracks before the stress pattern changes to relieve
concentrated stresses. It is particularly important to examine stress raisers
closely to estimate their potential for causing fatigue fractures. When fatigue at
low stress is involved, stress raisers are generally more damaging because
yielding is more localized.
Strength Reducers - In addition to geometrical stress raisers, certain
metallurgical conditions act to lower the strength of metal. In steel, such
conditions include decarburization, grinding burn, accidental heat from welding
and spatters of weld metal.

Decarburization, the depletion of carbon content at the surface of steel

parts, occurs when steel is heated in air or a decarburizing atmosphere. It is
usually present anyway unless machined away. Even a small amount of
decarburization will usually lower the fatigue strength.

Hardened steel can also be severely damaged by improper grinding. Then,

excessive heat causes damaging residual stresses and strength reduction by
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tempering. More significantly, surface areas may transform to martensite, an

extremely hard, brittle structure susceptible to cracking.

In a similar manner, the heat of accidental welding or spatters of molten

steel from an adjacent weld can damage steel components metallurgically, as can
the heat from intentional welding, improperly performed.
Residual Stresses - Residual stresses are those that exist in a part independent of
external force or restraint. Nearly every manufacturing operation affects the
residual-stress pattern in varying degrees. Drawing, extruding, straightening,
bending - all produce residual stress by mechanical plastic deformation.
Thermal techniques which can cause residual stresses include welding, torch
cutting and heat treating.

It must be noted that residual stresses can be of great help if the stress
patterns are favourable. In general, residual stresses are beneficial when they
are opposite to the applied load, particularly near the fatigue limit. This effect is
much less prominent though at higher stress levels since stress redistribution
may occur.

Residual tensile stresses produced by welding may also be very serious.

They form when the weld metal contracts during cooling from the welding
temperature. Uneven shrinkage can create residual tensile stresses, particularly
in rigid, complex structures.
Temperature - In single-loading applications, heating above room temperature
tends to lower yield strength, tensile strength and hardness with a
corresponding increase in ductility. Failure resulting from elevated temperature
is usually related to creep. The effect of low temperature is more important
when considering single-load fractures of steel components. Generally,
decreasing the temperature raises the yield strength, tensile strength and
hardness while reducing ductility. Because of this, at low temperatures the part
becomes subject to brittle fracture characterized by low energy and little
deformation.

On this phenomenon we base the concept of a transition temperature. As

the temperature of a specimen of medium or low-carbon steel (or any other body-
centered-cubic material) is lowered, it reaches a point at which the basic mode of
fracture changes from high-energy shear to low-energy cleavage. At the
temperatures of normal operation, down to about -60 F, this transition will not
take place in steel components without the presence of a notch or discontinuity of
some sort.
Fracture Toughness - There has been a great deal of research directed at trying
to determine the influence of various factors on the crack toughness of metallic
alloys. Figure 4 shows the conventional tensile properties of a high strength
stainless steel as a function of tempering temperature.
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Also shown is the strength of the sharp-notched specimen based on breaking

load divided by its cross sectional area in the plane of the notch. If the sharp
notch did not weaken the material, the notch strength and yield strength would
be equal, but this is not the case. Note also that the conventional elongation
gives no clue to this brittle behaviour. Considerably improved crack toughness is
obtained if the alloy is tempered at temperatures above or below this brittle
range. For example, if the tempering is carried out at 400 degrees Fahrenheit
very little strength is sacrificed, but the toughness is improved considerably.
New alloys, such as maraging steels, having greatly improved fracture toughness
compared with older steels, have been developed using this approach.

Figure 4. Effect of tempering temperature on fracture toughness

One important use of fracture toughness is in the selection of alloys for low-
temperature service. Frequently, the combination of low temperature and cracks
produces a serious loss in toughness which may not be revealed by conventional
tests. Figure 5 shows the conventional tensile and Charpy-V impact properties
of a commonly used low alloy steel as a function of test temperature. There is
nothing remarkable about the conventional property trends shown; in fact, only
small changes are noted with varying temperature. On the other hand, Figure 6
shows results obtained with a notched specimen. It is obvious that a pronounced
embrittlement occurs below room temperature as revealed by the steeply falling
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curve for the crack strength.

Figure 5. Conventional evaluation of a low alloy steel

Figure 6. Test results of a low alloy steel using a notched specimen

Some important generalizations derived from these investigations are

summarized in Table 2.
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Table 2. Factors Influencing Fracture Toughness

Effect on Probable Effect on fracture

Factor Conventional Toughness
Strength

Heat treatment Increase Reduction

Thermomechanical working Increase Reduction (often directional)

Low temperature Increase Reduction

Alloy purity Little or none Increase with increase in purity

Thickness None Reduction with increase in

thickness

Characteristics of Fatigue Failures

Fatigue failures are the most common types of fracture in machines. For
this reason knowledge of their characteristics is of great value. Such fractures
may then be more readily examined to obtain the maximum amount of
information needed to determine their causes.

Since a fatigue fracture develops over a relatively long period of time, the
fracture surface usually has a distinctive appearance. Generally, failure
originates at the surface of the part where the shear stresses exceed the shear
strength. Fatigue may start at a single point or several points, depending on the
shape of the critical section and the type of loading. In either instance, the same
fracture characteristic occurs.
Growth of Cracks - A fatigue crack usually starts at the surface parallel to the
maximum shear stress, but soon turns and advances perpendicular to the
maximum tensile stress. Under the repeated action of the tensile stresses, the
crack grows, weakening the section. Variations in cyclic loads cause small ridges,
or "beach marks", to develop on the fracture surface, indicating the position of
the advancing crack root at a given time. As the section gradually weakens, the
crack grows faster, and the beach marks get farther apart, larger, and more
distinct. Thus the presence of the beach marks often helps to pinpoint the origin
of the fracture. Load spectrums and material properties greatly influence the
visibility of the beach marks.
Degree of Stress - If we compare parts with large and small fillets that undergo
low nominal stresses we note that the principal change is in the location of the
final rupture area as illustrated in Figure 7.
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Figure 7. The appearance of fracture surfaces with varying stress

concentrations and nominal stress levels

With a large fillet, final rupture occurs at the surface. However, the small fillet
increases the actual stress concentration so that final rupture is displaced
toward the center of the shaft.

Specimens under high stress display ratchet marks indicating multiple

fatigue origins. Large filleted specimens show several such origins with
prominent ratchet marks, whereas with small fillets, specimens have a large
number of fatigue origins because fracture starts in many crystals rather than a
few. Thus more ratchet marks are formed in fracture surfaces when loads and
stress concentrations are high.

The location of the final rupture zone can aid in determining how to improve
a fractured component. In Figure 7 we see three positions of the zone: at the
periphery (a), the center (b and d), and between them (c). Thus, the higher the
actual stress, in relation to the fatigue limit, the closer to the center is the final
rupture zone. If this zone is centrally located in a broken part, the stress is
much too high. Then the component's fatigue strength may need to be raised 30
to 100 percent to assure its durability in service. However if the rupture area is
near or at the surface, the actual stress causing fatigue is probably not much
above the fatigue strength, on the order of 10 percent at most. This means that
the shaft almost succeeded in doing its job, and needs only a small degree of
improvement to run satisfactorily.
Notch Sensitivity - The notch sensitivity of the material sometimes affects the
appearance of a fracture. A fatigue crack in a notch-sensitive material tends to
grow more rapidly at the highly stressed surface. Therefore, in rotating bending
loads, beach marks curve away from the origin because the rate of crack growth
is greater along the periphery than toward the interior. Conversely, a crack in a
less notch-sensitive material, progresses at a lower rate along the periphery,
producing a concave pattern around the origin. Figure 8 illustrates these effects.
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Figure 8. The degree of notch sensitivity

Figure 9. Fatigue failure in sharply filleted section

In rotating bending and torsional fatigue failures of sharply filleted shafts,

the fracture tends to be "dished" in toward the larger section as in Figure 9. As
fracture progresses, the crack moves perpendicular to the maximum tensile
stresses.
Keyways and Splines - Fatigue fractures that start in longitudinal stress raisers
are often a source of concern. As is illustrated in Figure 10, internal corners in
longitudinal grooves, such as keyways and splines, concentrate stresses.
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Figure 10. Stress concentrations at keyways and splines

Fatigue cracks that develop follow the paths of maximum stresses. In

spline shafts, multiple cracks form and grow together, making a "starry" fracture
appearance, particularly under torsional loading.

Occasionally keyways in a shaft produce the peculiar type of fracture shown

in Figure 11. In a loosely fitting member, nearly all the torque is transmitted
through the key. Failure starts at the bottom corner of the keyway and progresses
in shear parallel to the surface, resulting in a "peeling" fracture. Sometimes the
peeling action goes entirely around the shaft, forming a separated shell.

Figure 11. Fatigue cracks in keyways

Fatigue fractures often originate below the surface if the applied and
residual stresses exceed the subsurface fatigue strength of the metal. When
subsurface fatigue fracture occurs, a circular pattern of beach marks may form
around the origin, giving a "fisheye" appearance. Development of such subsurface
fatigue fractures is readily explained. In elastic bending, applied stress is
highest at the surface, decreasing linearly to the neutral axis in the absence of a
stress concentration as shown in Figure 12. Since strength is normally highest
at the surface, a gradual strength gradient will be well above the stress gradient
in the interior. If the applied stress reaches the strength at the surface, fracture
is imminent. However, if the strength curve drops steeply, as can occur when
the steel is improperly heat treated, subsurface cracking can initiate. In this
instance, the same applied stress gradient contacts the strength gradient, not at
the surface, but at the knee formed near the outer edge of the interior structure.
Subsurface failure then results.
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Figure 12. Subsurface failure without stress concentration

(from WULPI (1966)) © 1966 by the American Society for Metals. This material
has been copied under licence from Cancopy. Resale or further copying of this
material is strictly prohibited.

Figure 13. Failure with surface stress concentration

(from WULPI (1966)) © 1966 by the American Society for Metals. This material
has been copied under licence from Cancopy. Resale or further copying of this
material is strictly prohibited.
 - S7-18 -

When a surface stress concentration is present, failures that occur almost

invariably start at the surface. Then, as shown in Figure 13, the applied stress
gradient is no longer linear from the surface to the neutral axis. Instead, stress
drops sharply from the surface stress concentration, then more gradually toward
the neutral axis. Both the shallow and steep strength gradients are well above
the applied stress gradient in the interior; consequently, fracture can only
originate at the surface.

Bending and Tensile Fractures in Shafts

Fractures in Shafts - Shafts, and other cylindrical parts such as bars, rods and
wires, are particularly useful in failure analysis instruction for three principal
reasons:
- First, they are widely used in virtually every type of mechanism,
- Second, they can be subjected to a variety of types and combinations of
loads,
- Third, when fractures of shafts are well understood, the same principles
may be used, by analogy, to help study fractures of many noncylindrical
parts.

Usually shafts are subjected to bending or torsional loading or both. Tensile

or compressive loads are also significant in many mechanisms. In most
instances, combinations of loads are present; these sometimes are reflected in
the type of failure which occurs.

Shafts generally have other parts or assemblies attached to transmit the

necessary loads. Often, the locations at which these parts are attached is critical
and the location is subject to failure.

When the associated parts are connected by key-ways, splines, shrink or

press fits, fretting corrosion can develop and introduce minute surface cracks
into the shaft. These may then grow, frequently leading to fatigue fracture.
Analyzing Bending Fractures - In many instances, the pattern on the fracture
surface reveals the forces that caused bending fracture. When these conditions
are not obvious, we also need to know the function of the shaft in the machine
and the service encountered by the machine to determine the primary cause of
fracture.

Bending fractures have the same orientation to the stress whether caused
by a single overload or by fatigue loading. Fracture caused by bending stress is
usually not difficult to analyze if it is remembered that the crack is
perpendicular to the tensile stress which occurs on one side of the bend, and in
most cases the maximum applied stress will be located at the surface.
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Figure 14 shows how cracks are oriented in cylindrical and filleted shafts
overloaded in one-directional bending. Stress raisers such as sharp fillets or tool
marks act to restrict the location of the crack in bending. Because the stress is
highest in the stress raiser, the crack usually begins there.

Figure 14. Fatigue cracks in unidirectional loading

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Figure 15. Fatigue cracks in reversed bending

Reversed bending fatigue without rotation may cause cracks on opposite

sides of the shaft since each side undergoes alternate tensile and compressive
stresses (Figure 15).

Rotating bending fatigue tends to initiate cracks starting at any number of

locations around the periphery. The higher the stress, the larger the number of
potential starting places, as Figure 16 shows.
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Figure 16. Fatigue cracks in rotating bending

Tensile Fractures - Tensile overloads of shafts are relatively uncommon since

most loads involve bending or torsion. Although rare in automotive equipment,
tensile fatigue is a problem in certain equipment. For example, the large piston
rods that move the upper die blocks of forging hammers can fail from tensile
fatigue. This type of fatigue fracture is caused by elastic wave reflection, or
reverberation, of axial stresses with their shear stress components. This
reverberation occurs in the piston rod each time the upper die block crashes
down on the lower block. Since tensile stresses are distributed uniformly across
the section when stress concentrations are absent, a crack can start anywhere on
the rod.

TORSIONAL FAILURES IN SHAFTS

Shafts which can fail in torsion include crankshafts, torsion bars and axles.
Keyed or splined shafts with holes in cylindrical surfaces may also fail in torsion
if overloaded. The stress system in a shaft, or other cylinder, under pure
torsional load has five important characteristics. First, there are two directions
of planes on which maximum shear stresses can form. One is perpendicular, the
other parallel to the axis of the shaft. Second, there are two other directions of
the planes on which maximum normal stresses occur. Both lie at a 45 degree
angle to the axis and are perpendicular to each other. Third, at any given point
on the surface of a shaft, the magnitudes of all the maximum stresses - shear,
tensile and compressive - are equal to each other. Fourth, all principal stresses
 - S7-22 -

are maximum at the surface and zero at the axis. Finally, no normal stresses act
on maximum shear planes and conversely, no shear stresses act on the
maximum stress planes.

Torsional cracks may follow the transverse or longitudinal shear planes, the
diagonal planes of maximum tensile stresses, or combinations of these as shown
in Figure 17. For this reason, torsional fractures are somewhat more complex to
analyze than bending or tensile fractures.

Figure 17. Torsional cracks

Torsional Overload - Cracks resulting from single overloads grow in either shear or
tensile directions, depending on the properties of the material. In ductile
materials, fracture occurs along the principal transverse shear planes. Fractures
due to a single overload may also develop along the longitudinal shear planes of
ductile metal or in materials with pronounced directional properties, such as wood.
With single torsional overloading, brittle materials crack on the 45-degree spiral
angle perpendicular to the principal tensile stress, as illustrated in Figure 17.
Torsional Fatigue - Torsional fatigue cracks form in a somewhat similar manner
to those formed in torsional overloading except that they are initiated by a
microscopic shearing mechanism. The small crack which forms may grow
because of shear or tensile stresses or both.

Torsional fatigue failures start in shear, but extend due to tensile stresses.
Either transverse or longitudinal shear stresses may start a crack. However, the
longitudinal type is more common because longitudinal stress raisers such as
inclusions or seams are more prevalent than transverse stress raisers.
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Figure 18. Torsional fatigue cracks

Cracks sometimes start in transverse shear because tool marks or other

transverse notches act as stress raisers. Dotted lines in Figure 18 indicate
courses of additional cracks which develop when torsional stresses are reversed.

FRACTURE OF GEAR TEETH

Gears, widely used machine components, transmit power smoothly and

quietly when operating properly, however they are prone to many problems.
Bending loads on gear teeth usually cause the highest stresses to occur at root
fillets or, in certain instances, at junctions of active profiles and roots. To under-
stand this effect more easily, consider the tooth to be a tapered cantilever beam.
The loaded surface has tensile stresses in the corresponding root fillet, with com-
pressive stresses on the opposite side. If excessive, these stresses are likely to
cause the fracture of the gear teeth.

Gears are also used to transmit rotational loads between two other mating
gears. Then, because each tooth of the idler is loaded on both sides, on one side
by the driving gear, on the other by the driven gear, failure may occur on either
side. In addition to reverse idlers, certain other gears, such as planetary gears,
turn freely on or with their shafts. These are also subject to failure from both
sides of each tooth.

Gear teeth sometimes break at locations other than root fillets. This may
happen when damage so weakens certain areas of the tooth surface that stresses
are localized there. For example, the tip of the mating gear may interfere, dig-
ging into the base of contact, causing eventual failure. Fractures can result from
pitting, too. Pits act as stress raisers, causing fracture of the upper part of the
teeth.
 - S7-24 -

SURFACE DAMAGE
Adhesive Wear - The complexity of wear can be seen from the number of factors
that describe it. Wear is usually a combination of one or more of the elementary
forms and is influenced by the following factors:

-Hardness- Resistance to wear generally increases as the hardness

of the material increases, provided that other factors
remain constant.
-Load- Wear increases almost proportionally with load. This
relationship however, is obscured if frictional heat is
involved.
-Temperature- Wear rate increases with temperature due to a decrease
in hardness, plus an increase in the chances of welding,
plastic deformation, and corrosion by oxidation.
-Sliding Velocity- The decrease in wear with increased sliding velocity is
due to the increased temperature gradient; the effective
area of contact may be reduced so there is less time
available for yielding under the applied load.
-Surface Finish- Generally, the rougher the surface, the higher the wear
rate. However, very smooth surfaces manifest high
molecular interaction forces and lose the ability to store
contaminants due to the absence of the valleys found
between the relatively large asperities of a rough
surface.

Mating surfaces of two machine parts, on a microscopic scale, are not

smooth. Instead, they consist of hills and valleys (Figure 19). These asperities
cause surfaces to be closer together than is indicated by a consideration of the
mean surface roughness levels.

Figure 19. Surface asperities in contact

 - S7-25 -

In the case of boundary lubrication, the film often breaks down, allowing the
asperities to contact and, thus, to adhere to each other. Because the metal parts
have a relative motion, the adhesions that are formed will be broken. If the
junction formed is weaker than both of the metal parts, a fracture occurs at the
interface of the metals, with little transfer of metal from one part to the other.
However, a certain amount of plastic deformation occurs in the bonding
asperities. Because the asperities tend to come in contact repeatedly as the
operating cycle is repeated, small amounts of deformation continue to take place.
The result is the work hardening of the asperities, with a consequent decrease in
the ductility of the metals. After a time, depending on the amount of deformation
at each contact, the asperities become brittle and tend to break off. Loose pieces
of metal found between the parts cause subsequent abrasive wear. However, if
the pieces that separate adhere to either surface, metal transfer occurs and
causes an adhesive form of wear called scoring.
Frettage Corrosion - Fretting or Frettage Corrosion is caused by minute
reciprocating motions between mating surfaces. Fretting damage may vary from
discoloration of the surfaces to the wearing away of material. Moreover the
surface may show a great deal of corroded material or merely a heavily galled
appearance with little oxide present. A tentative theory for frettage is that the
oscillatory motion breaks down any natural protective surface film, and the
result is that the metal adheres and breaks away with each oscillation. Then, the
debris may be converted into an abrasive oxide that causes severe damage.
Pitting - Pitting, pitting corrosion and spalling are generally attributed to cyclic
contact stresses between two mating surfaces under load, such as a pair of gears
or a bearing ball and race. The high stress causes a crack and the separation of
particles from the main body of the material. The cavity thus formed is a pit.

Pitting can be either incipient or destructive. Initial or incipient pitting is

the type of surface fatigue that occurs at the beginning of an operation and
continues until the overstressed asperities of the surface have been worn off. At
this point there is sufficient area of contact to carry the load without further
impairment. In the case of gears, incipient pitting occurs most frequently in a
narrow band just below or at the pitch line. This pitting is not serious since it is
self-corrective and nonprogressive.

Incipient pitting starts as a superficial microcrack of irregular shape, less

than 0.005 inches deep. It will not progress beyond the initial stage if induced
surface compressive stresses exist. These compressive stresses increase slowly
with the development of plastic flow that may occur during rolling and sliding
contact. Eventually, the induced stresses become large enough to offset the
tensile stress acting in a direction parallel to the surface; pitting then stops.

Destructive pitting may originate from either subsurface or surface fatigue.

The phenomenon is progressive and occurs when the corrective action associated
 - S7-26 -

with incipient pitting is insufficient to halt the pit formation. Destructive pitting
can lead to disintegration of the surface.

Pits constitute stress raisers that can hasten fatigue failure. The size and
number of pits increase until the smoothness of the operation is impaired. Frac-
ture occurs either at the surface, in the transition region between compressive,
residual surface stresses and tensile core stresses, or between the case and core
of a case-hardened surface where the stress gradient is large enough to overcome
the strength of the core in the region near the case. Spalling is generally consi-
dered a special form of destructive pitting. One type of spalling occurs when
large pits are formed by the joining of smaller adjacent pits. Other forms are
characterized by a flaking of the metal surface layer. Flaking is usually
associated with a severe stress gradient near the surface.
Galvanic Corrosion - Galvanic Corrosion produces surface damage that is caused
by a flow of current through a liquid from one metallic surface to another.
Strictly speaking, the two metals must be different. In a broader sense, galvanic
cells may operate either at the surface of the metal, between dissimilar metals in
electrical contact, or between areas of unequal electrolyte concentration in the
same metal.

The most common form of pure galvanic corrosion is uniform corrosion or

chemical attack. Uniform corrosion is the result of material inhomogeneties on a
microscopic level. These microscopic areas of discontinuities result in anodes and
cathodes being formed in adjacent areas. The summation of these microscopic
galvanic cells results in a surface that appears uniformly corroded.
Stress-Corrosion Cracking - When a corroded metal structure is loaded, fracture
may occur even though the stress is less than that required to cause fracture in
the absence of corrosion. This phenomenon is known as stress-corrosion cracking.
It can be caused by corrosion that is not too severe; frequently, there will be no
noticeable corrosion on the surface. The failure associated with stress-corrosion
begins with a small crack and progresses across the section, perpendicular to the
tensile stress. The resulting fracture is brittle because stress-corrosion cracking
occurs at a stress below that required to cause plastic deformation. This fracture
differs from a fatigue fracture in that there are usually numerous cracks that
tend to wander through the material, giving a coarse appearance to the fracture
surface.

Of all the factors governing stress-corrosion cracking, the most important is

stress. Stress may be residual or operational, but in all cases they must be
tensile stresses. Generally, tensile stresses required for stress-corrosion cracking
are 50 to 75 percent of the yield strength of the material, however considerably
lower stresses can cause cracking in some cases.
 - S7-27 -

FAILURE OF ROLLING BEARINGS

Before discussing the failure of bearings it is important to mention that

bearings do not have an unlimited life. Even if a bearing is run under the
recommended conditions of load, speed and lubrication, and is protected against
adverse external influences failure will ultimately result from the process of
fatigue.

When a bearing is loaded, elastic deformation occurs at the zones of contact

between the rolling elements and the races and, although the resulting stresses
may appear to be compressive, they are associated with tensile and shear
stresses just below the surface, and repetitions due to rotation of the bearing
ultimately lead to the initiation of fatigue cracks.
Flaking - Fatigue in a rolling bearing leads to a type of failure to which the term
"flaking" is commonly applied. In general the pits which precede flaking appear
initially on either of the races rather than on the rolling element. In the early
stages, isolated pits are formed, but these rapidly join up in the planes of
rotation, leading to the formation of lines and to the progressive destruction of
the bearing.
Cracks and Fractures - Cracking of a major order in races and rolling elements
takes several forms and is due to a number of causes. Although it can result from
fatigue, the mechanism differs from the very localized fatigue cracking which
causes pitting and flaking.

Circumferential cracks which develop in the outer race of a bearing may be

indicative of a lack of uniform support from a housing which is not truly
cylindrical but is of a barrel or hour-glass shape. Under these conditions, flexing
can take place under load, leading to the development of fatigue cracks which, in
a ball bearing are usually found at the bottom of the ball groove. This form of
cracking ultimately leads to the race separating into two or more pieces.

Cracking of any or all of the components of a bearing can result from gross
overloading. In these instances, it may be associated with other effects such as
overheating, wear and flaking. Fatigue cracks of major order are sometimes
initiated at zones showing surface pitting and flaking; in other instances, they
may start from regions where there is evidence of fretting-corrosion.
Creep - This term, when applied to bearing trouble, is used to describe an effect
whereby relative motion takes place between a race and its shaft or housing. It is
seen principally on the inner race and may be due to it being initially slack on
the shaft as a result of fitting errors, or to elastic deformation from either
abnormal or severe out-of-balance in service. Under creep conditions, the
assembly behaves as a friction gear, with rotation resulting from the very slight
difference in the circumference of the shaft compared with that of the inner race.
 - S7-28 -

Cracking may arise from the thermal stresses induced by intermittent local
heating. In some instances, cracks can extend completely through the race.
Wear - Although bearings of the type under consideration are designed on the
principle of rolling, rather than sliding contact and the frictional effects are low,
they are, nevertheless, not negligible and lubrication is essential. The ingress of
particles of dust, abrasive matter or fluids will initiate wear, causing an increase
in the running clearances of the various parts of the bearing which may lead to
noisy operation.

In most cases wear in a bearing is shown initially by the cage. Friction

normally occurs at the zones of contact between the cage and the rolling
elements and, when lubrication breaks down, cage wear is found at these
locations and on the portions which ride on the retaining ring.
Softening - The maximum permitted temperature in a bearing is generally
quoted as being of the order of 250 degrees Farenheit. A rise in temperature, if
undetected, may ultimately lead to seizure of the bearing. Gross over-heating in
excess of the temperature at which the hardened rolling elements and races were
tempered will result in the rapid softening of these parts with subsequent plastic
deformation. On occasion, if the applied torque is sufficient to overcome the
inherent resistance of a seized bearing, or alternately causes the shaft to rotate
within the inner race, the heat generated may result in temperatures
approaching a dull red heat, leading to loss of strength of the shaft followed by
rapid failure from shear.
Indentation - It is necessary to consider indentations of several forms:
a- Shallow markings having a random distribution on the rolling tracks.
These markings arise from the rolling in of particles, either detached from the
track at the onset of flaking in the bearing itself, or of extraneous origin.
b- Well defined indentations spaced at a uniform pitch.
Such markings are generally due to the balls or rollers having been inadvertent-
ly forced into the races. They often arise from the use of careless or incorrect
procedures when withdrawing or installing a race, the force required being
applied indirectly through the balls or rollers instead of directly to the race itself.
c- Shallow indentations in the races which correspond to those regions in
contact with the rolling elements when the bearing is stationary.

These are indentations of the phenomenon known as "stationary indentation"

which is related to the form of damage as detailed in b but which arises from a
different cause. It does not occur during normal running, but is found in bearings
which are subjected to vibrations while at rest.
Fluting - This mode of failure, to which the descriptive term "washboard effect" is
sometimes applied, may be confused with that due to stationary indentation. The
 - S7-29 -

effect may be due to a periodic vibration, linked with the rotational speed of the
shaft and the number of rolling elements, but, more usually, it arises from the
passage of an electric current through the bearing. In these circumstances, it is
considered that arcing takes place on the trailing edges of the rolling elements,
resulting in local vaporization of metal and the production of craters and pits.
Corrosion - General corrosion of the hardened surfaces often takes the form of
minute pitting which leads to noisy running and provides surface discontinuities
from which fatigue cracks, leading to failure by flaking, can start.

INVESTIGATING A FAILURE

Four basic steps are followed in determining the cause of a failure.

a) Initial Observations - Make a detailed study by visual inspection of the
actual component that failed, preferably at the failure site as soon after the
failure as possible. Photographs are essential for recording data for later
review. Detailed interpretation must be made of deformation, contaminants,
final location of components and debris, and other factors.
b) Background Data - Gather all available data concerned with specifications
and drawings, component design, fabrication, repairs, maintenance, and
service use. Pay particular attention to environmental details, including
normal service loads, as well as accidental overloads and cyclic loading, and
resulting stress, temperature variations and gradients.
c) Laboratory Studies - Make tests to verify that the material in the
component actually possesses the specified composition, dimensions,
processing, and properties.
d) Synthesis of Failure - List not only all positive facts and evidence, but also
all the negative responses to the questions that may be asked about the
failure. To determine the true cause of the failure, the investigator must
give full consideration to the interplay of design, fabrication, materials
properties, environment, and service loads. Appropriate solutions may
involve redesign, change of alloy and/or processing, quality control,
protection against environment, changes in maintenance schedules, or
restrictions on service loads or life.

REFERENCES

Wulpi, D.J., How Components Fail (American Society of Metals 1966, Metals
Park, Ohio.

OBJECT: To develop the student's failure analysis skills by examining failed

 - S7-30 -

machine components.

PROBLEM: To examine failed machine components and identify the reason for
failure.

FAILED MACHINE COMPONENTS TO BE EXAMINED

1. Torsion Bar
2. Truck Axle
3. Idler Gear - Notice the wear on both sides of the gear tooth.
4. Crankshaft - This crankshaft was taken from Dr. William's 1962 Lotus Elite
Conventry FWE 1216 cc single overhead cam engine which delivered 95
horsepower at 6800 rpm. The car had run 45,000 miles when the crank
failed. The car was stopped for a red light at the time. The crank failed at the
end which was connected to the timing chain. Therefore very little torque
was applied to the crank at the point of failure.
5. Shaft
6. a. Fan Blade - This fan blade broke loose from its mounting, which was
identical to the fan blade bolt labeled 6.b.
b. Fan Blade Bolt - Notice the type of failure of this bolt is different than
that in 6.a.
c. Fan Blade
7. Splined Shaft
8. Keyed Shaft
9. Rifle Barrel
10. Hook
11. Clutch
12. Not used
13. Rebar
14. Drawbar Pin
15. Pipe
16. Hexagon Cap Screw
17. Rod
18. Test Specimen
 - S7-31 -

19. Dual Clamp Bolts - These bolts were clamp-on bolts used to mount the outer
hub for a dual wheel configuration on an International tractor. The outside
wheel fell off and rolled through a ditch into the farmer's field. The
International dealer blamed the farmer for the failure.
20. Gear
21. Disk - This disk was supposed to be quenched in oil and while being
quenched in water the crack developed.
22. Inner Race for Ball Bearing
23. Keyed Spindle
24. Tapered Roller Bearing
25. Journal Bearing
26. Crank Shaft
27. Differential Pinion
28. Rachet Head
29. Spring
30. Water Pipe - The steel pipe carried water across the Broadway Bridge. The
water was not turned off in the fall and the pipe burst after the water froze.
The line was suspended by hanger rods and was weather proofed and
insulated between the rods. The line failed at all the hanger rods in the
fashion indicated by the specimen. This was a $60,000 failure.
31. The specimen was taken from a Power-Take-Off Shaft which was
transmitting approximately 100 hp at 540 rpm to a hammer mill used for
crushing grain. The shaft had to be hammered off the inside square shaft.
32. Roller Bearing Races
33. Water Pump Pliers
34. Trailer Axle
35. Hydraulic Valve Cylinder
36. Fighter Plane Landing Gear Strut
 - S7-32 -

PROCEDURE

For 5 Instructor Assigned components:

1. Identify the specimen.
2. Sketch and classify the fracture.
3. Assess the type and magnitude of the loading on the unfailed specimen.
4. Identify the reason for failure.
5. If possible, suggest design changes to prevent the failure.

SPECIFIC QUESTION

1. Explain why it could, indeed, be the farmer's fault that the clamp on the
bolts failed.

LOG BOOK

Each log book should contain all the information requested above in point
form.

REPORT

Include 5 components from the log book in the formal report.