Chapter Two

Equipment Functional Failures

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 Introduction
Equipment Failure?

• Equipment failure is defined as the condition in which an

equipment does not operate as intended.
• This can manifest as either complete failure or partial failure
• Complete failure (Fictional Failure) results in a total loss of
functionality, such as a broken engine or a ruptured pipe.
• In contrast, partial failure may allow equipment to function but at a
reduced capacity, such as a conveyor belt operating at a slower
speed due to a malfunction
 Introduction

• Equipment failure can lead to significant operational disruptions and

related effects such as,
• increased repair costs,
• increased production downtime,
• increased financial losses and
• Increased safety hazards.
• The International Society of Automation notes that factories can lose
between 5% to 20% of their productivity due to various such failures, which
can translate into substantial financial losses
• Understanding this concept is crucial for implementing effective
maintenance strategies that enhance reliability and performance in various
industries.
 2.1 Failure mode

• Failure modes can be defined as the specific ways in which

equipment can fail.
• It encompasses the various ways in which a component or system
can malfunction, leading to a loss of functionality or performance.
• Understanding failure modes is crucial for identifying potential
risks and implementing effective maintenance strategies
 2.1 Failure mode

• Mechanical Failure Modes

• Mechanical failures often occur due to wear and tear. Common examples
include bearing wear, gear failure, and broken components, all of which can
lead to operational issues.
• Electrical Failure Modes
• Electrical failures can result from short circuits, insulation breakdown, or
overloads. These failures often lead to equipment shutdown or malfunction,
requiring immediate attention.
• Operational Failure Modes
• Operational failures stem from human errors, such as improper use or
maintenance. These failures highlight the importance of training and adherence
to procedures to ensure equipment reliability.
 2.2. Classification of Equipment Failures
• Equipment failures can be classified based on various criteria, including
their cause, suddenness, degree, result, and definition.
1. By Cause
• Production-related Failures: Failures that occur due to issues in the production
process, such as equipment malfunction during manufacturing. For example, a
conveyor belt failure that halts production lines.
• Stress-related Failures: Failures caused by excessive stress on equipment, often due
to overload or improper use. An example is a structural failure in a crane due to
lifting loads beyond its capacity.
• Misuse Failure: Failures resulting from improper operation or handling of
equipment. For instance, an operator using a machine without following the correct
procedures, leading to breakdowns.
 2.2. Classification of Equipment Failures
• Interest Weakness Failure: Failures that occur when operators lack interest or
engagement, leading to negligence in monitoring equipment. An example could be
a lack of attention to warning signals, resulting in equipment damage.
• Wear Out Failure: Failures that occur due to the natural degradation of
equipment over time. For example, a motor that fails after years of use due to
worn-out bearings.
• Maintenance-induced Failure: Failures that arise from improper maintenance
practices, such as using incorrect lubricants or failing to replace worn parts. An
example is a pump failure due to neglecting routine maintenance checks.
 2.2. Classification of Equipment Failures

2. By Suddenness
• Immediate Failure: Failures that occur suddenly and without
warning, such as a catastrophic engine failure that stops a vehicle
instantly.
• Gradual Degradation Failure: Failures that develop over time, often
unnoticed until they reach a critical point. An example is a slow leak
in a hydraulic system that eventually leads to complete failure.
 2.2. Classification of Equipment Failures
3. By Degree
• Catastrophic Failure: A severe failure that results in significant damage or
safety hazards. For instance, a boiler explosion that causes extensive damage and
poses risks to personnel.
• Intermediate Failure: A failure that causes noticeable issues but does not halt
operations entirely. An example is a malfunctioning sensor that affects
performance but allows the system to continue operating.
• Partial Failure: A failure where equipment continues to function but at reduced
capacity. For example, a cooling system that operates but cannot maintain the
desired temperature.
 2.2. Classification of Equipment Failures

4. By Result
• Critical Failure: A failure that has serious consequences, such as safety risks or
major production losses. An example is a failure in a safety system that could lead
to accidents.
• Major Failure: A significant failure that impacts operations but may not pose
immediate safety risks. For instance, a breakdown in a key production machine
that requires extensive repairs.
• Minor Failure: A failure that causes minimal disruption and can often be resolved
quickly. An example is a minor electrical issue that does not affect overall
operations.
 2.2. Classification of Equipment Failures

5. By Definition
• Applicable to the Specification: Failures that occur within the defined
specifications of the equipment. For example, a failure that happens
during normal operating conditions as specified by the manufacturer.
• Not Applicable: Failures that occur outside the defined specifications,
often due to misuse or extreme conditions. An example is equipment
failure due to environmental factors that exceed the manufacturer's
guidelines.
 2.3. Behaviors of Equipment Failures

• The behaviors of equipment failures describe the patterns and trends that
emerge throughout the operational and lifecycle of equipment.

• Understanding these behaviors is essential for

• developing effective maintenance strategies,
• enhancing reliability, and
• minimizing operational disruptions.

• Two key models that illustrate these behaviors are the Bathtub Curve and
the P-F Diagram.
 2.3. Behaviors of Equipment Failures
A. The Whole-life Equipment Failure Profile: The Bathtub Curve
✓The Bathtub Curve is a widely recognized model that depicts the failure rates
of equipment over its lifecycle.
✓The failure rate curve, commonly known as the bathtub curve, is the sum of
three separate over-lapping failure rate distributions known as
✓Infant Mortality phase/burn-in /early failure,
✓Normal Life Phase / constant failure rate /random failure, and
✓Wear-Out Phase /wear-out failure

✓The curve is shaped like a bathtub, representing three distinct

phases of equipment behavior:
2.3. Behaviors of Equipment Failures

Figure: The Bathtub Curve 14

 2.3. Behaviors of Equipment Failures
1.Infant Mortality Phase:
✓ Description: This initial phase occurs shortly after equipment installation.
✓ Characteristics: The failure rate is high at the beginning but decreases rapidly as weak
components fail and are replaced. Quality control during manufacturing and installation is
critical to mitigating these failures.
✓Reason for failure:
✓ manufacturing defects or inadequate manufacturing methods,
✓ design flaws
✓ early-life stresses
✓ inadequate quality control
✓ substandard materials & workmanship
✓ wrong startup & installation or installation errors
✓ inadequate processes and human error
✓ inadequate handling methods
✓ Example: A new industrial pump may experience several failures within the first few
months due to faulty seals or improper assembly. These issues are often resolved quickly
through warranty claims or corrections.
 2.3. Behaviors of Equipment Failures
2. Normal Life Phase:
• Description: Following the initial phase, the equipment enters a period of stable operation
where the failure rate is low and constant. This phase represents the expected operational
lifespan of the equipment.
• Characteristics: Failures during this phase are typically random and can occur due to
normal wear and tear. Regular maintenance practices, such as inspections and timely
replacements, can further reduce the risk of failures.
✓Reason for failure:
• unexplainable causes
• human error, abuse, natural failures
• undetectable failures
• low safety factors
• higher random stress than expected.
• Example: A conveyor system may operate efficiently for years with minimal downtime,
provided that routine maintenance is performed to monitor performance and replace worn
components.
 2.3. Behaviors of Equipment Failures
3. Wear-Out Phase:
• Description: In this final phase, the failure rate increases as the equipment
approaches the end of its useful life. The cumulative wear and tear lead to more
frequent failures.
• Characteristics: Organizations may experience a sharp increase in maintenance costs
and downtime during this period. It becomes crucial to implement replacement or
upgrade plans to avoid operational disruptions.
• Reason for failure
➢ inadequate maintenance
➢ wear due to friction
➢ wear due to aging
➢ wrong overhaul practices
➢ corrosion failure
• Example: An aging manufacturing machine may start failing frequently due to the
degradation of its internal components, necessitating significant repairs or
eventual replacement.
 2.3. Behaviors of Equipment Failures

burn-in useful life wearout

failure
rate overall failure curve
(bathtub curve)

wearout failure

effect of PM in elongating
useful equipment time
random failure

early failure
t1 t2 time

Figure: Effect of PM on equipment failure rate 18

 2.3. Behaviors of Equipment Failures
2. P-F Diagram (Potential-Failure Diagram)
The P-F Diagram is another valuable tool for understanding equipment failure
behaviors. It illustrates the relationship between potential failures and functional
failures over time. The diagram consists of two key concepts:
✓ Potential failure is defined as an identifiable physical condition which indicates that a functional
failure is either about to occur or it is in the process of occurring.
✓ A functional failure is defined as the inability of an equipment in meeting a specified
performance standard.
✓ Techniques of detecting potential failures are known as on-condition maintenance tasks. This is
so because equipment is left in service on the condition that they meet specified performance
standards
 2.3. Behaviors of Equipment Failures

Figure: The P-F Diagram

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 2.3. Behaviors of Equipment Failures

✓ The P-F interval is the interval between the occurrence of a

potential failure and its deterioration into functional failure

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 2.3. Behaviors of Equipment Failures
• Key Components of the P-F Diagram:
1. P-F Interval: The period between the detection of a potential failure and
the occurrence of a functional failure. This interval represents the
opportunity for maintenance actions to be taken to prevent complete
failure.
2. Monitoring and Maintenance: Regular monitoring and inspection can
help identify potential failures early in the P-F interval, allowing for
proactive maintenance that prevents functional failure.
3. Criticality and Risk Management: The P-F Diagram is useful for
assessing the criticality of equipment and prioritizing maintenance efforts
based on the likelihood and impact of potential failures.
 2.3. Behaviors of Equipment Failures

❖The P-F curve is employed to show what happens in the final stages of failures.

❖The P-F curve shows:

✓ where failure in the equipment starts to occurs;

✓ where equipment condition deteriorates to the point at which the failure can
be detected; and finally,
✓ where the equipment has failed indicating functional failure.

❖P point at which it is possible to detect whether failure is or is about to occur is

known as potential failure. F point where failure has taken place – functional
failure
 2.3. Behaviors of Equipment Failures

Any equipment must fulfill all the functions as set by the user and must also satisfy the
performance standards. The function can be split into two categories: primary and
secondary functions.

Primary functions: This category includes the functions such as speed, output, product
quality, etc. which are the functions why the equipment was procured.

The primary functions are the main reason for the existence of the equipment.
 2.3. Behaviors of Equipment Failures

❑Secondary functions: These are the functions which the equipment is expected
to fulfill in addition to the primary functions.

➢This category includes such functions like safety, control, operational efficiency,
compliance to environmental regulations, etc.

➢The failed state of an equipment is known as functional failure, and this occurs
when the equipment is unable to fulfill a function to a standard of operation
which is set by the user.
 2.4. Failure Effects
• Failure effects describe the consequences that occur when a failure mode
manifests in equipment or systems.
• Understanding these effects is crucial for effective maintenance and risk
management.
• Below are key aspects to consider when analyzing failure effects:
A. Evidence of Failure

1.Visibility to Operating Crew:

1. Is the failure evident to the operating crew?

• For example, a sudden drop in pressure in a hydraulic system may be
immediately noticeable to operators through gauges or alarms.
 2.4. Failure Effects

1. Physical Effects:
o Is the failure accompanied by obvious physical effects? A leaking
pipe may show visible signs of water damage or corrosion,
indicating a failure.
2. Functionality Impact:
o Does the equipment/machine stop functioning as a result of the
failure? For instance, a motor that burns out will cease to operate,
halting any connected processes.
 2.4. Failure Effects

B. Safety and Environmental Hazards

1. Potential for Injury:
o Is it possible that someone could get hurt? A failure in a safety interlock
system could lead to unsafe operating conditions, posing risks to
personnel.
2. Regulatory Breaches:
o Are environmental regulations and standards breached? A chemical spill
due to equipment failure may violate environmental laws, leading to
legal repercussions and cleanup costs.
 2.4. Failure Effects

C. Production Effects
1. Process Stoppage:
o Is process stoppage caused? A failure in a conveyor system can halt production lines, leading
to significant downtime.
2. Impact on Production:
o How is production affected? If a critical machine fails, it may lead to a backlog of orders and
missed deadlines.
3. Downtime Duration:
o How long is the downtime associated with the failure? For example, if a machine requires two
days for repairs, this downtime can significantly impact overall productivity.
 2.4. Failure Effects

D. Secondary Effects
1. Product Quality:
• How is product quality affected? A failure in a quality control system may result in
defective products reaching customers, damaging the brand's reputation.
2. Customer Service and Satisfaction:
• Is customer service and satisfaction affected? Delays in production due to equipment
failure can lead to late deliveries, frustrating customers.
3. Operating Costs:
• What is the increase in operating cost? Additional costs may arise from overtime pay
for workers needed to catch up on production after a failure.
4. Secondary Damages:
• What secondary damages are caused? For instance, a failure that leads to a fire can
cause extensive damage to surrounding equipment and facilities.
 2.4. Failure Effects

E. Corrective Action
1. Repair Requirements:
• What must be done to repair the failure? This may involve replacing parts,
recalibrating systems, or conducting thorough inspections.

2. Resource Requirements:
• What resources are required for the repair? This includes labor, replacement parts,
and any specialized tools or equipment needed for the repair process.
 2.4. Failure Effects

• To make a comprehensive failure mode and effects analysis one needs to have
information about the modes and effects which are obtained from various sources
including:
✓the manufacturer/supplier of the equipment,

✓other users of the equipment,

✓the people who operate on and maintain the equipment.

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Thank you!
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