Chapter IV: Défaillance et la Dégradation
IV. 1. Introduction:
Failure of a part or structure is the loss of its ability to perform its intended function. It often results
from a gradual or sudden degradation of the material's properties under mechanical, thermal, or
environmental stresses.
A failure, which is a non-conformity in the field of quality, is an event from which one must learn to
prevent its recurrence. Generally, a broken part is considered a loss; however, it represents the result of an
unintentional "industrial experiment" on a full-scale basis.
The objective of failure analysis is to reveal the causes of a rupture, premature wear, or corrosion in
order to allow the implementation of corrective and preventive actions to avoid the reappearance of the
problem.
For a thorough understanding of the phenomenon, the analysis begins with a comprehensive study of
the issue and its context of occurrence. Increasingly precise examinations are then carried out to highlight the
origin(s) of the failure. The causes, combined with the context, will make it possible to recommend corrective
and preventive solutions.
2. Classification of Failures
The characteristics of a failure must be correctly identified in order to plan and organize the necessary
intervention for the entity's return to its initial state. Failures can be classified according to several parameters.
The chart below summarizes the main concepts for classifying failures.
Classification Parameter Characteristics
According to the speed of
Progressive or Sudden
manifestation
Classification Parameter Characteristics
According to the moment of
During operation, at rest, upon solicitation (demand)
occurrence
According to the degree of • Partial: Does not lead to a complete loss of the
importance required function
• Complete: Leads to a complete loss of the required
function
• Intermittent: Failure for a limited period of time, after
which the device recovers its capability without having been
subjected to an external corrective action.
Classification Parameter Characteristics
According to the speed of
manifestation and the degree of By degradation or cataleptic (sudden)
importance
Weakness, inappropriate use, incorrect operation, aging
According to the causes
(obsolescence), etc.
Classification Parameter Characteristics
According to its origin Internal (intrinsic) or external (extrinsic) to the entity
• Critical: Prevents the mission from being
According to its
accomplished and poses a risk of serious injury to people or
consequences
very significant damage to equipment.
• Major: Risks reducing the ability of a more complex
device to perform the required function.
• Minor: Does not reduce the ability of a more complex
device to perform the required function.
According to their nature Reproducible, non-reproducible, systematic
Intrinsic Failures: Failures due to poor design of the asset, non-conforming manufacturing of the
asset, or poor installation of the asset. Failures due to wear and aging are intrinsic failures.
Extrinsic Failures: Failures due to inappropriate use, incorrect operation, those caused by
maintenance, or those that are consequences of another failure.
Figure 1 : Origines d’une défaillance
3. The Phenomenon of Degradation
Equipment that undergoes degradation sees its performance diminish progressively, more or less
rapidly but inexorably. If there is no intervention, this irreversible process can continue until complete
destruction.
Degradation processes are caused by physical and/or chemical phenomena and primarily concern
the mechanical parts of systems. Generally, degradation occurs from the interaction of the after-effects of four
main factors:
• The material used for the components
• The manufacturing processes used to obtain the components
• The system design
• The conditions of use (operating conditions)
Figure 2 : naissance de la dégradation d'un bien.
3.1. The Material
Since all materials are essentially alloys, the distribution of the different constituents can never be identical at
every point. The material is therefore heterogeneous; this leads to differences in physico-chemical and
mechanical characteristics within the same part.
Materials also undergo natural aging, the manifestation speed of which is directly linked to environmental
conditions. This aging can lead to cracks, loss of strength, etc., which in turn accelerates wear.
Corrosion and oxidation significantly affect the health of the material, especially metals.
Similarly, fluids such as oils also undergo such deterioration, mainly due to external aggressions:
contamination, microbial or bacteriological pollution.
3.2. The Manufacturing Process
These processes are essentially "traumatic" for the material: involving deformation, the use of high
temperatures, and cutting methods (casting, extrusion, stamping, forging, deep drawing, welding, and
machining).
• Deformation and High Temperatures: These two effects contribute to the formation of internal
stresses within the material. These internal tensions tend to naturally dissipate over time, thereby
modifying the behavior of the resulting parts. In the case of ferrous materials, these processes tend to
promote oxidation. Joining parts by welding creates localized structural imbalances linked to intense
heating in reduced areas.
• Machining: These operations are always performed on parts that have already undergone the shock
of the initial elaboration process. Metallic materials are composed of fibers formed during the Voici
la traduction en anglais du reste des sections 3.2, 3.3, 3.4 et de la section 4 sur les mécanismes de
défaillance :
• ...operations. Machining operations sever these fibers and thus alter the architectural structure of the
material. This disturbance leads to embrittlement over time and can cause cracks leading to rupture.
• 3.3. Design
• An imperfect design can accelerate degradation and, in some cases, even be the root cause.
• Insufficient consideration of operating conditions (ambient environment, temperature, pressure,
etc.) can promote the degradation of unsuitable materials.
• Inadequate heat treatments make the part's shape incompatible with the stresses it must withstand.
• Lack of protection can expose certain components to internal or external system aggressions (shocks,
leaks, temperature, etc.).
• Vibrations or imbalances insufficiently evaluated during design can lead to an amplification of
component degradation phenomena.
• The examples are numerous and highlight the importance of the quality of design in the lifespan of a
system.
• Some cases of degradation originate during imperfectly conducted assembly operations (insufficient
or excessive tightening, incomplete bonding, misalignment, damage to anti-corrosion protection, etc.).
The majority of bearing degradations are caused by faulty mounting.
• 3.4. Utilization (Usage)
• Maintenance is an inherent activity in any operating system. It is therefore subordinate to the concept
of utilization.
• During these phases, the reason for degradation is essentially non-compliance with instructions and
recommendations:
• Exceeding capacity limits leading to deformation or rupture.
• Inappropriate use.
• Unsuitable transport and/or storage conditions.
• Failure to observe lubrication schedules or replacement recommendations before wear or clogging
(e.g., filters or pipes), which can generate a secondary failure.
• etc.
• Nevertheless, a system is composed of parts moving relative to one another. This inevitably results in
friction, which generally translates into wear. This degradation can be considered natural, and it is the
lack of monitoring of its evolution that leads to failure.
• 4. Failure Mechanisms
• In-service failures of mechanical parts belong to a few families or "failure modes" each having its
own degradation process.
• 4.1. Mechanical Failures due to Material Integrity (Health)
• These are pre-existing defects in parts in service, which initiate failures if they are not detected during
quality control. Defects appear during the material processing (forging, casting, etc.), during the part
shaping (machining, welding, heat treatment, etc.), and during assembly (e.g., impact on a bearing).
Figure 3 : Exemples de défauts préexistants dans la pièce.
4.2. Mechanical Failures Under Load
• Impact (Shock): This is most often a result of operational "accidents" or incorrect handling.
• Overload (Surcharge): Exceeding the nominal load, leading to permanent deformation or rupture
(tension, bending, etc.). It generally results from the fatigue of the teeth caused by continuously
repeated stresses after a more or less long operating time. The rupture can also be caused by a fragment
accidentally introduced into the meshing zone. It may also result from faulty quenching (heat
treatment), poor load distribution, etc.
• Fatigue: This occurs when a part reaches its endurance limit. It involves alternating and repeated
stresses (vibrations) leading to rupture, even below the material's elastic limit.
• Thermal Fatigue: This is fatigue caused by thermal stresses. It leads to expansion, plastic
deformation, burns, or melting.
• Plastic Deformation under Mechanical Stress: Due to exceeding the material's elastic limit.
Inspection of the parts checking for the appearance of a necking zone can prevent the risk of an
imminent rupture.
• Plastic Deformation under Thermal Stress and Over Time: This is creep, which is a deformation
that becomes permanent over time, appearing under mechanical stress associated with service
temperatures below a certain percentage (The original text is incomplete, typically this is $40\%$ or
$0.4$) of the part's melting temperature.
Figure 4 : Exemples de défaillances mécaniques en charge.
4.3. Mechanical Failures due to Surface Deterioration
• Wear: The progressive removal of material from the surface of parts in a kinematic pair undergoing
relative sliding.
• Pitting/Flaking (Écaillage): The removal of large flakes (or scales) of material. It appears on case-
hardened or hardened gears, within the metal, between the treated and non-treated sections. The
possible causes are an insufficient thickness of the treated layer or an overly abrupt hardness transition
between the treated and untreated layers.
• Seizure (Grippage): Welding of large areas of the contact surface, with massive material pull-out. It
results from the breakdown of the lubricant film in the meshing zone. It occurs when loads and sliding
speeds are high or when the lubrication is poorly chosen.
• Abrasion: A surface is scratched by a body (surface or free particle) of greater hardness, such as
impurities or debris (dust, sand, etc.).
• Erosion: A surface is corroded (or worn away) under the effect of the impact of fluids or solid particles
in suspension at high velocities (Kinetic Energy Ec=1/2mV2), or by electrical phenomena (arcs).
Figure 5 : Exemples de défaillances par détérioration de surface.
2.3. Failure Analysis Methodology Failure Analysis and Fractography
1- The failure analysis of a fracture always begins with an investigation into the
conditions of the failure (in service, in testing, during manufacturing, during inspection,
etc.) and its frequency of occurrence (isolated case or epidemic). Collecting all possible
information about the failed element (drawings, material certificate, manufacturing,
treatment, assembly, and inspection ranges) will be useful. The more precise the data, the
more relevant the hypotheses and conclusions.
2- The failure is then visually examined. The goal of the morphological analysis is to
observe, with the naked eye and a magnifying glass, the surface degradations and/or the
fracture surface or facies (shape and relief of a break). The observation makes it possible
to classify the failure, define the mode of loading (stress), and trace back to the initiation
point. The conclusions of this study guide the complementary examinations to be
performed.
3- Supplementary investigations provide details on the causes of initiation, the modes of
decohesion (ductile, brittle, intergranular, fatigue), and the quality of the materials.
Micrographic examinations of the metallurgical structure, observation with a scanning
electron microscope (SEM), hardness, tensile, and impact tests, chemical analyses, etc.,
are among the commonly used means.
4- Highlighting the mode of fracture makes it possible to determine the type of the
principal loading and the actual operating conditions, which are not always foreseen in
the specifications.
5- The appearance of the fractures also provides information about the material's
characteristics: ductile or brittle. The presence of deformation suggests the material is
ductile, while the absence of plastic deformation rather indicates a brittle fracture.
2.4. Fractography Studies:
Fracture surfaces are true diagrams of the stresses that caused the break. Understanding
them allows for better design, manufacturing, and use of parts. Fracture surfaces are divided
into several categories: ductile fracture (plasticity), brittle fracture, fatigue fracture,
and environmental fracture. For each surface, distinct characteristics can be observed at
the macroscopic and microscopic levels. Therefore, fractography is essential for a
reliable diagnosis. It allows for the determination of the mode of fracture as well as the
type of loading.
2.4.1. Macroscopic Fracture Mode:
Generally, two main types of fracture are observed according to the mechanisms involved:
a brittle fracture controlled by a normal stress, and a ductile fracture, preceded by
plastic deformation and controlled by shear stresses.
a. Plastic-Brittle Fracture: Characterized by the presence of plasticity but with a low
deformation at fracture. Examples: metals at low temperatures, deformation under
shock.
b. Ductile Fracture
On a macroscopic level, ductile fractures are always characterized by the
presence of a plastically deformed zone. They exhibit a matte surface, often with
relief, and include a necking zone if the loading is in tension. A precise initiation zone
or a clear propagation direction are generally not distinguishable.
The examination of the fracture surface often makes it possible to detect, after the
fracture, the rupture mechanism and the type of cracking produced.
2.4.2. Microscopic Fracture Mechanisms:
The fracture surfaces (faciès de rupture) of test specimens can be classified
according to two distinct criteria related, on the one hand, to their kinetics and, on the
other hand, to their observation.
During static or quasi-static loading, fractures are instantaneous and reflect the
ductile or brittle nature of the material. They are either transgranular—which is the
case for all ductile fractures and brittle fractures by cleavage—or intergranular—
which is the case for brittle fractures by decohesion—depending on whether the crack
that generates the fracture passes through the grains or bypasses them precisely
following the grain boundaries.
The analysis of progressive fractures, which are particularly characteristic of
degradation from fatigue, creep, or corrosion, will be presented later.
Figure 2. 1: Classement des ruptures selon leur cinétique.
Figure 2. 2: Classement des ruptures selon l'observation.
a) Brittle Fracture
When dealing with brittle fracture, there is a rapid propagation of cracks
without plastic deformation, and the pieces can be reassembled perfectly. The fracture
is transgranular (intragranular), where one observes shiny fractures with facets.
Transgranular or Cleavage Brittle Fracture:
Cleavage is the deformation mechanism that involves the breaking of atomic
bonds in the dense plane where the deformation must occur. Therefore, the propagation
happens through decohesion along well-defined crystalline planes. Brittle fractures by
cleavage, which are transgranular, are exempt from plastic deformation. Their surface
is flat and shiny. Neither a precise initiation zone nor a propagation direction is
distinguishable. At the microscopic scale, the presence of cleavage planes and river
patterns is noted.
Figure 2. 3: Faciès de ruptures par clivage à basse température des aciers à forte
teneur en carbone
Brittle Intergranular Fracture:
Brittle fractures by intergranular decohesion (separation along the grain
boundaries) are exempt from plastic deformation. They present a generally flat
appearance and do not reveal a discernible initiation zone or propagation direction.
• Macroscopic Appearance: Generally flat surface, no macroscopic deformation.
• Microscopic Appearance: At the microscopic scale, because they are intergranular,
they show juxtaposed polyhedra corresponding to the surface of the grains, which
defines the fracture surface. Embrittling phases may appear on the fracture surface.
Often, the brittle fracture of steels exhibits a coexistence of the two modes: decohesion
(intergranular) and cleavage (transgranular). Sometimes, even small zones of ductile
fracture are found.
Figure 2. 4 : Rupture fragile intergranulaire par décohésion.
Quite often, secondary cracks are observable, primarily in the presence of chemical
segregation (corrosion), creep, or lowering of the surface energy.
Figure 2. 5 : Rupture fragile intergranulaire par corrosion
Figure 2. 6 : Ruptures fragiles intergranulaire par fluage.
b) Semi-Brittle Fracture
For semi-brittle fracture, the plastic deformations are very weak, and the fracture
surface is decorated with tear reliefs (or "dimples"). The orientation and size of these tear
reliefs evolve during the crack propagation.
Figure 2. 7 : Faciès de rupture semi-fragile.
c) Ductile Fracture:
Ductile fracture is preceded by significant plastic deformation. At the microscopic level,
the appearance of the fracture surface often allows for the observation of numerous cupules
(dimples), possibly linked to decohesion around inclusions. This fracture is generally
related to the growth of a defect through plastic deformation. These fractures are
transgranular.
Figure 2. 8 : Fractograhies de rupture ductile (cupule)
d) Fatigue Fracture
The fatigue fracture zone often shows arrest lines (or beach marks), corresponding to a
momentary stop in the crack progression and visible to the naked eye. When examined with
a scanning electron microscope (SEM), the fracture surface presents characteristic micro-
reliefs called striations (stries). When a fracture surface exhibits striations, it is certain that
one is dealing with fatigue cracking.
Figure 2.9:
Fatigue fracture of a Nickel-based superalloy N18.
The macroscopic fracture surface is generally smooth. Microscopic observation can reveal
fatigue striations (Fig 8). Each striation corresponds to the advance of the crack during
one cycle. Observing the striations therefore makes it possible to determine the
macroscopic crack propagation rate.
2.4.3. Case Study of Crack Propagation:
Indeed, the fracture surface of a failed part often presents several zones. Consequently,
each zone exhibits a morphology different from the others.
Common Example: Fatigue Fracture in Metals:
A fatigue fracture surface can present multiple aspects, and only a specialist is capable of
correctly interpreting a fracture surface. The figure presents a fatigue fracture surface of a
mild steel.
Figure 2.10: Fracture Surface of a Mild Steel Rod.
On this fracture surface, four zones are distinguished:
• Zone A (Initiation Zone): This zone is elliptical and contains a defect located a few
hundred microns beneath the surface. This area corresponds to the initiation and then
microscopic-scale propagation that leads to the start of a macroscopic crack.
• Zone B (Propagation Zone): Once the crack has reached the surface, this zone is
characterized by tear reliefs (or "dimples"). This zone is generally the largest on the
fracture surface. The tear reliefs are organized along ellipses around the initiation zone,
marking the crack's propagation along an elliptical front. The orientation and size of
these tear reliefs evolve during crack propagation. When crack propagation begins, the
reliefs are small, and their triangular shape points one of its vertices toward the initiation
point. As propagation continues, the reliefs increase in size and progressively orient
themselves in the direction of loading.
• Zone C (Striation Zone): This zone features characteristic micro-reliefs called
striations. No tear reliefs are present in the areas where striations form. These are the
arrest lines (beach marks), corresponding to a momentary stop in the crack's
progression.
• Zone D (Final Ligament): This zone corresponds to the final ligament, where the
rupture is brutal (sudden, instantaneous).
This description corresponds to cases of moderate loading (of relatively low amplitude).
When the loading level increases, the morphology and size of Zones B and C change.