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Product: WHEEL LOADER
Model: 920 WHEEL LOADER 75J
Configuration: 920 WHEEL LOADER 75J03573-UP (MACHINE) POWERED BY 3304 ENGINE
Applied Failure Analysis

Guideline for Examining Failed Parts{1000, 7000}
Media Number -SEBF9066-03 Publication Date -13/02/2014 Date Updated -13/02/2014
i05694116
Guideline for Examining Failed Parts{1000, 7000}

SMCS - 1000; 7000
Caterpillar Products: All
Introduction
The Applied Failure Analysis (AFA) Team at the Caterpillar Product Support Center in Peoria, IL
provides the following information to assist with initial assessment of failed parts and collecting
information relevant to investigation of part failures.
Failure analysis should not be attempted without proper training. Failure analysis training and
reference material is available through Caterpillar, Cat Dealers, and the Caterpillar Media system.
Assistance with failure analysis is available from trained personnel at Caterpillar Dealers, Caterpillar's
Technical Service Reps and the Applied Failure Analysis Team.
Failure Analysis Consulting

Assistance with performing failure analysis is available through the Applied Failure Analysis Team at
the Caterpillar Product Support Center. Caterpillar personnel can contact the AFA Team directly for
help. Cat dealers should work through their Technical Service Representatives for assistance.
Table 1
Consultant Phone Number (US) Email
Jim Rickey
Rickey_Jim_E@cat.com
309-494-5966
The following topics will be covered in this discussion.
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• The Failure Analysis Process
• Disassembly for Failure Analysis
• Visual Inspection Methods
• Analyzing Fractured Parts
• Stress Raisers
• Analyzing Worn Parts
• Additional Information
The Failure Analysis Process

Failure analysis is the "thoughtful review of product and environmental facts which leads to the
identification of the root cause for product problems." The purpose for performing failure analysis is
simply to discover the root cause for a failure so the proper steps can be taken to prevent the failure
from happening again.
Two key words are highlighted in the definition. The first word is facts. Good failure analysis is
based solidly on facts. Facts may be found in many places: the failed parts, application, operation,
maintenance records, ECM data, and so on.
The second highlighted words are root cause. Working with facts and a defined process allows an
investigator to arrive at the most probable root cause for a failure and answer three questions: "What
happened?", "How did the failure happen?", and "Who was responsible?". With the answers to these
questions, a problem can be fixed so the problem does not happen again.
Failure analysis is one of many tools used for problem solving. The appropriate time to use failure
analysis is when:
• Parts are broken
• Parts are worn out early or in an unusual way
• Parts are deformed so that the parts can no longer perform the intended function
Adverse indicators such as running hot, unusual noises or odors or other performance problems
usually do not call for failure analysis but rather troubleshooting, testing, or adjusting. Use failure
analysis at the appropriate time.
The AFA Team teaches an Eight Step process for performing failure analysis. The process starts some
time before the failure when the part or system was still operating properly and continues through the
failure using facts, events, and a time line. The process concludes when the results of the failure
analysis have been communicated to the responsible party, the machine has been fixed and a follow-
up call or visit is accomplished to reinforce the customer's trust in us.
Persons using this information will probably be heavily involved in the fact-finding phase of failure
analysis. Facts can be gathered not only from the failed parts, but also from application, operation and
maintenance information. Actually, anything that has influenced the part from the manufacture until
the time the part failed may provide useful facts for the failure analyst. Usually, the more facts that
can be collected, the better the results of the failure analysis.
Disassembly for Failure Analysis

There are two key ideas to remember when disassembling parts for failure analysis:
• Parts should be marked
• Do not further damage parts during disassembly
Marking Parts
The best time to mark parts is before and during disassembly. Parts may be marked to show timing,
location, orientation, and family grouping.
Illustration 1 g01200676
Part marked prior to disassembly
Parts may be marked in order to document orientation prior to disassembly.
Part marked during disassembly
Parts may be marked in order to document location and family grouping. This marking is especially
useful when there are multiple, identical parts in an assembly.
There are various acceptable methods for marking parts including: acid pens, vibrating pens, scribes,
paint pens, and permanent markers. Remember the following when marking parts:
• Surfaces to be marked may need to be cleaned prior to marking.
• Make sure that marks will not be removed by cleaning processes, or plan to remark after
cleaning.
• Apply marks in areas where the marks will not be worn away by handling.
Do Not Damage Parts During Disassembly
Careless disassembly techniques can damage the failed parts and parts that may be reused.
Subsequent damage on fracture surfaces or worn areas will make failure analysis that much more
difficult. The most common types of subsequent damage on failed parts are physical damage due to
careless disassembly, handling, and shipping practices and corrosion from the atmosphere or
handling.
Hammers and impact tools can damage parts during disassembly. For instance, anti-friction bearings
are subject to this type of damage. Since bearing races and rolling elements are heat treated to high
hardness levels, they are easily chipped and damaged by shock loads. Also, when a failed bearing is
removed, care must be taken not to damage the housing or else a subsequent bearing failure may
occur.
Dent in the bearing race
Denting a bearing race during removal adds another fact that was not present as a result of the failure.
Housing damage
Housing damage resulting from the removal of a failed bearing can cause the failure of the next
bearing.
Various heating methods are used during the disassembly process. If not carefully controlled, heating
can further damage failed parts making failure analysis more difficult. Uncontrolled heating can also
damage parts that might be reused during repair after failure leading to repeat failures. Remember,
any time a part has been hot enough to discolor the surface, metallurgical changes have occurred and
the part is no longer as the part was after the failure. Avoid heating during disassembly that discolors
parts in the fracture or wear areas that need inspection.
Bearing races and mounting surfaces provide a good example of how parts can be damaged during
disassembly. Here are some things to keep in mind during disassembly:
• Do not cut completely through a race to avoid damaging (nicking) or overheating the part under
the race.
• Aim the cutting torch tip across the part rather than straight down on the parts to control the
depth of heat penetration
• The best practice is to nick the surface of the race with the torch and then carefully finish the
break with a chisel and hammer.
Damage caused by excessive heat
Using excessive heat or cutting through a bearing race during disassembly can damage the surface
behind the race.
Nick in the underlying surface
Cutting through a bearing race can nick the underlying surface creating a stress raiser. Overheating
changes the properties of the material which can also produce stress raising effects.
Corrosion damage on fracture surfaces or wear areas is common. Fracturing parts produces very clean
surfaces that are highly reactive. Some types of wear also have a cleaning action that can aggravate
corrosion damage. Corrosion can also result from body oils transferred to the surface of parts as the
parts are handled. When working with failed parts, always keep in mind the need to protect surfaces
from corrosion during storage and handling. Except in the case of abrasive or erosion wear, the best
way to handle failed parts is as follows.
• Upon disassembly, make sure that failed parts are immediately protected from corrosion. Coat
surfaces with oil, grease, or some other corrosion inhibitor that can be easily removed later.
Caterpillar has plastic storage bags that incorporate a corrosion inhibitor to protect the surface
of parts. Sometimes small parts can be stored in airtight containers containing a desiccant
material to reduce humidity.
• Clean surfaces to be inspected just before inspection and do not allow the parts to be exposed
unprotected any longer than necessary.
• Following inspection, immediately reapply corrosion protection or return the part to the
protective storage area. Do not expose the parts to corrosive environments until after failure
analysis is completed.
• Make sure that part surfaces are properly protected during transportation and shipment.
Accidental exposure to corrosive environments is always possible during transportation and
shipment.
Corrosion damage
Protect fracture surfaces and worn areas from corrosion damage after failure.
Notice the corrosion on the fracture surface in illustration 7. Fortunately, the area of interest was at
the center of the section, not in the corroded area. Still a little corrosion will often obscure the surface
and make identification of the facts from the fracture surface difficult. Also, if corrosion was part of
the failure process, later corrosion could cover up that fact.
Visual Inspection Methods

Visual inspection is a continuous process during failure analysis. Visual inspection should start prior
to disassembly and continue until all facts pertaining to the failure have been discovered and recorded.
Visual inspection prior to disassembly should include the overall condition of the engine or machine
and conditions in the area where the failure occurred. Note what seems to be damaged and the extent
of the damage. If possible, inspect the work location where the failure occurred and interview the
operator and anyone else in the area at the time of the failure. Also, note whether the working
conditions were "normal" at the time of the failure. Was there something unusual happening at the
time of failure?
Markings
Competitor part
Sometimes non-Caterpillar parts are used. Competitors may use Caterpillar part numbers, but are not
allowed to use the Caterpillar trademark.
Genuine Caterpillar bearing
Illustration 9 shows a genuine Caterpillar bearing. Markings include not only the part number, but
also the Caterpillar trademark and certain required manufacturing information.
As the components in the area of the failure are disassembled, record as much of the following
information as possible (Write down all markings on each component that is removed):
1. Part numbers, engineering change numbers, and manufacturer trademarks
◦ Make sure that the parts are correct, up to date and genuine Caterpillar parts
2. Manufacturing or remanufacturing date codes
◦ Date codes are forged or stamped on many new parts. Date codes are also stamped,
engraved, or acid etched on remanufactured parts to indicate the date of remanufacturing.
Date codes are typically specified with the Caterpillar NUMERALKOD system.
3. Identifying marks such as supplier codes, forging die codes, steel heat codes, and so on.
◦ The information provided by these markings, when the markings are on the part, may be
important if the part fails early in its life or if there is a product watch.
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(1) Die code
(2) Supplier code
(3) Steel heat code
Some parts contain several pieces of information in the markings on the part. Record all information
because some of the information may be useful later in the investigation.
Number of rebuilds and hours accumulated on each part.
Some parts contain information indicating remanufacturing or reuse. Be sure to consider this
information when determining the number of service hours on the part.
When collecting this information, take the opportunity to look at all areas of each part. Pay particular
attention to high stress areas and normal stress raisers in order to determine whether closer inspection
is needed.
The initial inspection period is the time to determine which parts will require a closer look. Besides
parts that are broken, cracked or worn here are some other indicators of parts that should be saved for
inspection.
• Abnormal wear or wear patterns
• Abnormal stress raisers such as pits, dents, scratches, cracks, and so on.
• Discoloration not associated with normal operation
• Temper colors not a result of heat treatment
• Plastic deformation or distortion of parts
• Deposits on the surface of parts
• Any evidence of abusive operation or damage
• Any other abnormal or unusual feature
Any parts that are identified as requiring closer inspection should immediately be labeled and set
aside for special handling and cleaning. These parts must maintain their identification through
cleaning and inspection and should be protected until failure analysis has been completed.
Examining Failed Parts
Good visual examination techniques will reveal much about failed parts. Often it is possible to obtain
information about:
• Types of wear and fracture
• Normal and abnormal stress raisers
• Operating environment and temperature
• Loading during operation and failure
• Abusive operation
• Damage during handling or operation
• Evidence of previous repairs
Cleaning
The first step of visual examination is to prepare the surface of the part for inspection. Even thin
layers of oil, grease, or other materials may hide important facts. If the surface is painted, removing
the paint to inspect the surface underneath may be necessary. Some cleaning methods work much
better than others for failure analysis. Generally, aggressive cleaning methods employing harsh
chemicals, glass beads, soda blasting, or hand scrubbing should be avoided as these methods can
remove facts that aid in determining the type and location of additional testing that may be needed.
Even soft cloth and gentle rubbing may be too harsh for some surfaces such as the soft bearing surface
on engine bearings.
Soft brushes and mild solvents usually work best for cleaning parts for failure analysis.
These cleaning methods should be avoided on parts that are involved in failure analysis. Surface damage during cleaning
is likely.
To summarize cleaning requirements for parts involved in failure analysis, remember that the
objective is to not further damage fracture or wear areas before the areas can be inspected for facts.
Keep in mind these things when cleaning parts:
• Use a fast drying, mild solvent to soak and/or rinse parts clean
• Do not wipe, scrub, or scratch to clean parts, especially soft parts like engine bearings
• After cleaning, air dry, blow with dry compressed air or blot dry with a paper towel.
• Do not wipe parts with a shop towel to dry.
Lighting for Visual Examination
Sufficient lighting is necessary for proper inspection of failed parts. Without sufficient lighting,
overlooking critical facts on failed parts becomes easier.
Bright lighting
Bright, directed lighting is essential to visual inspection of parts. Bright lighting aids in locating and
identifying wear types, foreign material deposits, cracks, and other facts that might go unnoticed in
dimmer lighting.
Angled lighting
Besides directed lighting, angled lighting is often useful during failure analysis inspection. Angled
lighting produces shadows and contrast on the surface of the part which tends to highlight some
features that otherwise might remain hidden like wear scratches, cracks, and machining marks.
However, angled lighting usually makes the surface look much worse than the surface actually is.
Examine All Areas
Once parts are properly cleaned and there is sufficient light available, begin inspecting parts for facts.
During visual examination of failed parts, examine ALL the surfaces of ALL of the parts involved in
the failure. This process may require some disassembly. Once apart, hidden mating surfaces may, for
example, reveal fretting wear indicating that there was movement in a joint. This may provide a
valuable fact about load on the joint or whether a recent repair was performed properly.
Completely disassemble all components.
Completely disassemble all components to be able to look at all of the surfaces of all of the parts for
signs of wear, material build-up, or other types of damage. For example, remove the engine bearings
to inspect the back side of the bearing and the bore surface, even if the wear surface of the bearing
looks good.
If circumstances prevent removal and inspection of some parts, then inspect the surfaces of the parts
that are available to determine the next steps. For instance, the crankshaft probably will not be
removed during an in-frame procedure so how could a failure analyst get information about the
condition of the bearing bore on the block side of the crankshaft?
Fretting on bearing back
Closely inspecting the back or mounting side of the parts that are removed. For example, this engine
bearing will indicate the condition of the parts or areas that are not visible. Note the fretting damage
on the back of the bearing.
Fretting on bearing bore
Fretting damage on the back of the bearing in the previous photo means that the bearing bore in the
block is also fretted and the crankshaft must be removed to clean and/or repair the bore surface in the
block.
As parts are carefully examined, determine which facts found on the parts are a result of the failure
and therefore important to the failure analysis. Some of the facts on the parts will be a result of the
manufacturing processes used to produce the part. Other facts found on the parts may result from
normal operation. One good way to determine which facts are significant is to compare the failed part
with new parts, good used parts, or information found in Caterpillar Reusability Guidelines.
Obviously, fractures are not normal. Scratches, machining marks, and discolored areas may appear on
the surface of parts depending on what manufacturing processes were used during production.
Used valve guides
Illustration 19 shows two used valve guides. The valve guide on the left appears to be severely worn
compared to the one on the right. Comparing used parts is one way to determine which facts are
important in a failure analysis.
Magnification
Some of the facts found on failed parts are small and difficult to see without magnification. Many
times, all that is needed is a small hand-held magnifier with 10 – 20X capability such as the
Caterpillar eye loupe (similar to what jewelers use to examine precious stones). In other instances,
more magnification is required such as when looking for inclusions at fracture initiation sites or small
abrasive wear particles. In these situations, a stereomicroscope or a scanning microscope is required.
When examining parts, the best practice is to examine the parts at 1X – look at the parts under good
lighting. If there is an area that requires closer inspection, then use magnification. Do not use more
magnification than is necessary to find and identify the unknown object or material. As magnification
increases, the area that is visible decreases and inspection takes longer.
Another way to magnify an area of a part is to take a digital photograph and electronically enlarge the
photograph. The quality and resolution of digital photographs with cameras today makes a viable
method for close inspection.
8S-2257 Eye Loupe As
A simple eye loupe magnifier, such as the 8S-2257 Eye Loupe As , is useful for identifying wear
types, foreign debris particles and studying abnormal stress raisers. A magnification power of 10-20X
will be sufficient for most situations.
Stereomicroscope
Stereomicroscopes give greater magnification and a three-dimensional view. More light is required as
the level of magnification increases. The disadvantage of these microscopes is that the part usually
has to be brought to the microscope and the size of the part is limited by handling limitations.
Recently, portable microscopes that can be used with laptop computers have been marketed. The
laptop computers can be taken into the field and the images screen-captured and emailed. Compared
to stereomicroscopes, the cost is reasonable.
Facts
The purpose of visual examination is to find and record facts that will help determine the root cause of
a failure. Facts are things found with senses – sight, hearing, touch, and smell. Real facts are not
disputable. If there is disagreement about a fact, the fact probably is not a fact. When inspecting parts,
make sure to record facts, not interpretation of facts. For instance, abrasive wear and brittle fracture
are not facts, but interpretations of facts found on parts. Scratches are a fact that can be seen that
indicates that abrasive wear has occurred. A rough surface, chevrons, and no plastic deformation are
facts that indicate a brittle fracture has occurred.
Protecting Parts After Examination
The final step in visual examination is to protect the parts from further damage until failure analysis is
complete. Any worn or fractured pieces must not be allowed to corrode or suffer mechanical damage.
Parts that have been cleaned for visual examination can corrode quickly and seem to attract dirt and
dust particles. After visual examination is complete, follow these steps:
1. Coat worn and fractured surfaces with oil or some other moisture barrier coating that can easily
be removed if further examination is required.
2. Cover parts to protect from dirt and dust.
3. Smaller parts may be stored in bags or containers to avoid contamination and damage.
4. Store parts in a dry, low humidity area.
Protect fractured surfaces
When failed parts are not being examined, fracture and wear surfaces should be protected from
corrosion and mechanical damage. Make sure that the material applied for corrosion protection can be
easily removed in case further examination is required.
Analyzing Fractured Parts

Analyzing broken parts should be done in an organized way with two objectives in mind:
1. Obtain all of the facts from the broken parts.
2. Prevent any additional damage to the parts during removal, inspection and afterwards.
The following steps can be followed to make sure that the objectives are met.
1. Do not put mating pieces of a fracture back together unless the surfaces are protected and
extreme caution is used.
◦ Fracture surfaces are fragile and easily damaged on a microscopic level. Fracture
examination can become difficult by carelessly reassembling broken pieces, inadequate
protection during shipping and lack of proper protection from corrosion of the fracture
surface including protecting from skin oils when handling the pieces.
2. Obtain the failed parts and protect from damage
◦ Appropriate methods for obtaining failed parts are covered in the section "Disassembly
for Failure Analysis." Failed parts must be removed and handled carefully to avoid
further damaging the parts. Once parts have been removed, the parts are susceptible to
casual impact damage and corrosion on the fracture surfaces. Wrapping fracture surfaces
with cloth or towels and coating with rust inhibitors such as engine oil or grease are good
ways to prevent additional damage. Be careful if parts have to be shipped to another
location for analysis. Prepare the parts for shipping to prevent impact damage or
corrosion on fracture surfaces. If parts must be sectioned prior to moving or shipment, be
careful not to do anything that will change the characteristics of the material in the area of
the fracture. For instance, cutting with a torch too close to a fracture can overheat the
metal and change the properties making failure analysis more difficult.
3. Clean the parts carefully
◦ Damaging a fracture surface is easy if overly aggressive cleaning methods are used.
When fracture surfaces have been cleaned with a solvent, be careful not to damage the
surface when drying. For further information, see the section on "Cleaning" under Visual
Inspection Methods.
4. Determine the type of fracture present
◦ Once the fracture surface has been cleaned of oil, grease and loose dirt and debris
particles the surface can be inspected to determine the type of fracture. Refer to the
sections on Brittle, Ductile, and Fatigue fracture for help with identifying the type of
fracture.
5. Identify the fracture initiation site
◦ Once the type of fracture has been identified, determine exactly where the fracture
initiated. Many of the road signs used to identify the type of fracture can also be used to
find the fracture initiation site. Here are some additional principles that may help to
locate the fracture initiation site.
a. Smooth to rough
◾ Fracture surfaces are smoother near the fracture initiation site because the crack is
traveling more slowly in that area. As cracks move away from the fracture
initiation site, the cracks move faster and create rougher fracture surfaces. This
concept of "smooth to rough" applies regardless of whether the fracture is brittle,
ductile, or fatigue. The change from smoother to rougher may not be dramatic, but
the change is detectable with careful inspection.
b. Where would an overloaded part fail
◾ Most parts have normal stress raisers incorporated in the design. Examples of
normal stress raisers include: holes, fillets, thread roots, and so on. If a part is
overloaded in service, these normal stress raisers provide convenient fracture
initiation sites. Therefore, when fracture initiates from a normal stress raiser,
investigate for unusually high loads in service as a root cause of fracture.
c. Look opposite any final fracture areas
◾ Many types of loads on parts produce fractures that move across the part from one
side to the other. So, if the last area to fracture can be identified, a good place to
look for the fracture initiation site is directly across from the final fracture area.
6. Examine the fracture initiation site for normal or abnormal stress raisers
◦ Identifying normal or abnormal stress raisers at the fracture initiation site will help to
determine whether the fracture resulted from a material or manufacturing flaw,
overloading in service, damage during service, and so on. Refer to the section "Stress
Raisers" for additional information.
7. Verify that the type of load on the part corresponds to the type of fracture identified
◦ The final step in analyzing fractured parts is to make sure that the type of load that the
fractured part sees in service is consistent with the type of fracture identified. As a
reminder, here is some information on types of load and fractures.
a. Shock or impact loads
◾ These are large loads applied fast and are responsible for brittle fracture of parts.
b. Overloads
◾ These are large loads applied fast, but not as fast as shock or impact loads. Because
the load is applied more slowly, parts have time to plastically deform by twisting,
stretching, bending, or necking before fracture. Overloads often produce ductile
fracture of parts. However, an overload can also crack the surface of a part without
causing the part to fail. This overload provides an abnormal stress raiser from
which a fatigue crack can grow. Overloads can also produce brittle fracture if the
material of the part is brittle such as cast aluminum or gray cast iron.
c. Cyclic loads
◾ These are repeated loads on a part during service and are much lower than shock
loads or overloads. The repetitive nature of cyclic loads gradually damages the
material in a part until a fatigue fracture initiates and grows to part failure. Cyclic
loads considered normal for the application can also initiate a fatigue fracture from
an abnormal stress raiser. If the cyclic loading is large or if the frequency of
loading is high, fatigue cracks can initiate and grow to part failure in a relatively
short period.
Brittle Fractures
Brittle fractures typically result from a single, large shock or impact load on a part that exceeds the
maximum design strength of the part. Brittle fracture occurs quickly.
(1) Rough, dark, or dull fracture surface
(2) No plastic deformation
(3) Chevrons
Brittle fractures can be identified by the following characteristics:
1. Rough, dark, or dull looking fracture surface with a grainy or crystalline appearance. In harder
metals, the fracture surface may be bright and sparkly due to split, or cleaved, metal grains.
2. No plastic deformation - parts that fail by brittle fracture look like the part simply broke into
pieces. The broken sections could be put back together so that the part looks like it did before
the part broke. This process is a bad practice since the fracture surface can be damaged by
reassembly. Brittle fractures may have small shear lips at the edges, but shear lips are more
common with ductile fractures.
3. Chevrons - lines on the fracture surface. Chevrons may look like lines radiating away from the
fracture initiation site. In sections that resemble a flat plate, chevrons may be V-shaped and
point toward the fracture initiation site. Cast metal parts may or may not show chevrons
depending on the type of metal.
Brittle Fracture Characteristics
There are several features to look for to determine whether a part has broken due to brittle cleavage
fracture, which is the most common type of brittle fracture in Caterpillar parts.
Brittle cleavage fracture
Brittle cleavage fracture of harder metals can produce a sparkly appearance on the fracture surface.
This appearance is due to the light reflecting off cleaved grain surfaces.
Cleaved grain surface viewed in an electron microscope
This scanning electron micrograph shows cleaved grain surfaces - the large dark areas. Bright areas
look dark due to imaging with electrons rather than light rays.
Chevrons on brittle cleavage fracture surface
Sometimes chevrons on brittle cleavage fracture surfaces look like lines radiating away from the
fracture initiation site.
V-shaped chevrons on brittle cleavage fracture
When brittle cleavage fracture goes through a plate-like section, the chevrons often are V-shaped and
point toward the fracture initiation site.
Dark surface with pronounced chevrons
Brittle fracture in metals that are not hard often produces a rough, dark surface with pronounced
chevrons as in this section.
Intergranular Brittle Fracture Characteristics
There is another brittle fracture that sometimes occurs in Caterpillar parts. It is called intergranular
brittle fracture (IGF) because the cracks go between the grains rather than through them. Intergranular
fracture usually results from material or processing problems or an adverse reaction with the operating
environment. If IGF is suspected, contact the product group for metallurgical inspection of the failed
part. IGF also produces a grainy surface appearance, but with fewer sparkles. One good road sign of
IGF is brittle fracture in a part that does not experience shock or impact loading in service.
Part that has experienced IGF
This part has experienced IGF. Note the rough grainy looking surface. There are some sparkles, but
not nearly as many as when a part fails by brittle cleavage fracture.
IGF fracture surface viewed in a scanning electron microscope.
This scanning electron micrograph shows the results of IGF. Note the smooth, rounded appearance of
the exposed grain boundaries. Cracks at the grain boundaries are also visible.
Significance of Brittle Fractures
When brittle fractures are found in parts, look for the following things:
• Did the part fracture out of a normal or abnormal stress raiser?
• Has the part been loaded beyond maximum design strength so that the part cracked and failed in
the area of a normal stress raiser? Normal stress raisers include corners, holes, fillets, threads,
spline or gear tooth roots, or any other change in section.
• Does the part contain an abnormal stress raiser such as damage from wear, abusive operation,
or a manufacturing flaw that concentrates normal loads excessively?
• Does the part contain a material flaw that concentrates the normal loads excessively?
• Is the part heat-treated and was the heat treatment performed correctly or is the part too hard?
Hardness testing and metallurgical analysis can answer this question.
• Was the part operating in a cold environment, much below the normal operating temperature
range for the equipment? Low temperatures promote brittle fracture in some materials.
• Is this part the correct part? Is this part a genuine Caterpillar part or an aftermarket part that
lacks sufficient properties for the application?
• Evaluate the fracture against the section "Stress Raisers".
• Find the source of the shock or impact on the part.
• If the failure might be an intergranular fracture, note the operating environment of the part and
contact the product group for metallurgical analysis of the failed part to verify IGF. A review of
material characteristics, processing parameters and operating environment will be necessary.
Ductile Fractures
Ductile fractures typically result from a single, large overload on a part that exceeds the maximum
design strength of the part.
(1) Rough fracture surface
(2) Plastic deformation
(3) Shear lip
Ductile fractures can be identified by the following characteristics:
1. Rough fracture surface with a darker appearance.
◦ Rough surfaces do not reflect light as well as smoother ones and so appear darker.
2. Plastic Deformation
◦ A permanent change in the shape of a part. Plastic deformation can take the form of
bending, stretching, twisting, or necking (reduction of cross section area at the point of
fracture). Plastic deformation indicates the part was not capable of carrying the load
imposed on the part so that part deformed prior to fracture. Notice in Illustration 31 that
as the bolt failed, the bolt bent the side of the hole.
3. Shear lips
◦ A raised or protruding area along the edge of a fracture. Shear lips are the last area to
fracture. Shear lips are formed when a crack traveling under the surface of a part comes
to the surface.
4. Woody or fibrous appearance
◦ Sometimes when a ductile fracture follows the grain flow in a part, the fracture surface
will have a characteristic fibrous looking appearance somewhat like a piece of wood that
fractures with the grain.
Types of Ductile Fractures
There are several different ways that parts can be overloaded in service. This leads to different types
of ductile fracture.
Tensile overload
Tensile Overload - Over torquing bolts can produce ductile fracture. Note the necked down area near
the fracture and the large shear lip.
Torsional shear
Torsional Shear - Results from continuing to twist a bolt or shaft after it has stopped turning. The
fracture surface is smooth due to smearing during failure.
Impact shear
Impact Shear - Results from an impact load on a part that cannot move. The result is a "scissoring"
action that produces a smooth surface often with some temper colors.
Woody ductile fracture
Woody Ductile Fracture - Fracture of softer metals with the grain flow produces a pronounced
fibrous appearance that results from the crack following inclusions.
Fibrous tearing
Fibrous Tearing - Intermittent ridges that look similar to beach marks sometimes show up at the
center of bolt ductile fractures when the bolt is both stretched and bent. These tear ridges form due to
the combination of grain flow and plastic deformation. Do not confuse tear ridges and beach marks.
Tear ridges are a road sign of ductile fracture. Beach marks are a road sign of fatigue fracture.
Significance of Ductile Fractures
When ductile fractures are found in parts, look for the following things:
• Did the part fracture out of a normal or abnormal stress raiser?
• Has the part been loaded beyond maximum design strength so that the part cracked and failed in
the area of a normal stress raiser? Normal stress raisers include corners, holes, fillets, threads,
spline or gear tooth roots, or any other change in section.
or a manufacturing flaw that concentrates normal loads excessively?
• Does the part contain a material flaw that concentrates the normal loads excessively?
• Is the part heat-treated and was the heat treatment performed correctly so that the part has the
necessary strength for the application? Hardness testing and metallurgical analysis can answer
this question.
• Are there any discolored areas that indicate overheating which can reduce material strength and
result in fracture under normal operating loads?
• Evaluate the fracture against the section "Stress Raisers".
• Find the source of the overload on the part.
Fatigue Fractures
Fatigue fractures typically result from cyclic, or repeated, loads under one of these conditions:
1. A part is loaded beyond maximum design load so that the surface cracks and then continued
loading causes the cracks to grow larger until the part fails.
2. A part contains a flaw such as damage from wear, abusive operation, or a manufacturing or
material flaw that concentrates normal loads causing the part to grow a crack until the part fails
Fatigue fractures can be identified by the following characteristics:
(1) Final fracture area
(2) Beach marks
(3) Ratchet marks
(4) Fatigue fracture area
1. Final fracture area
◦ The rougher area on the fracture surface where the part quickly broke apart.
2. Beach marks
◦ Continuous lines on the fracture surface that normally curve around the point where the
fatigue fracture initiated.
3. Ratchet marks
◦ Lines on the fracture surface at the point where several fatigue fractures initiated. Ratchet
marks are perpendicular to beach marks.
4. Fatigue fracture area
◦ The fatigue fracture area has a relatively smooth fracture surface. The area of the fatigue
fracture will generally be much smoother than a ductile or brittle fracture. This area is
where the fatigue crack grew slowly.
Types of Fatigue Fractures
Fatigue fractures grow in parts as a result of different types of cyclic loads. Fatigue fractures are
named after the type of load that produced the fracture.
Tensile or axial fatigue fracture
Tensile or Axial Fatigue Fracture - Due to tension or stretching type loads. Fracture started at
several places on the surface and traveled into the part.
Bending fatigue fracture
Bending Fatigue Fracture - Due to bending loads. Fracture started at the upper left and the final
fracture is at the lower right.
Torsional fatigue fracture
Torsional Fatigue Fracture - Due to torsional or twisting loads. Fracture started at a bolt hole and
traveled at a 45 degree angle through the part.
Reversed bending fatigue fracture
Reversed Bending Fatigue Fracture - Due to reversed bending loads. Fractures started at about 4
o'clock and 10 o'clock with final fracture at the center of the section.
Rotating bending fatigue fracture
Rotating Bending Fatigue Fracture - Due to a bending load on a part that is rotating, or a "rotating"
load on a stationary part. Bending causes one or more cracks at the surface which grow inward and
across the section. Final fracture can be anywhere between the center and the surface of the part.
Fatigue fractures can also be classified as "high cycle" or "low cycle". High cycle fatigue fracture
produces a smooth fatigue fracture surface, small area of final fracture and takes a long time. High
cycle fatigue usually indicates low to normal loads on the part as the part failed. Low cycle fatigue
produces a relatively rough fatigue fracture surface, large area of final fracture and progresses
quickly. Low cycle fatigue usually indicates higher than normal loads on the part as the part failed.
Note: A large final fracture area can result any time a cracked part receives a load large enough to
break the part regardless of how fast the fatigue crack is moving.
High cycle fatigue
High Cycle Fatigue - Implies low to normal loads during the time the part was failing.
Low cycle fatigue
Low Cycle Fatigue - Implies higher than normal loads during the time the part was failing.
Significance of Fatigue Fractures
When fatigue fractures are found in parts, look for the following things:
• Has the part been loaded beyond maximum design load so that the surface cracked in the area
of a normal stress raiser? Normal stress raisers include corners, holes, fillets, threads, spline or
gear tooth roots, or any other change in section. Machined or as-manufactured surfaces on parts
are normal stress raisers when surface roughness meets print requirements.
or a manufacturing flaw that concentrates normal loads excessively? See the section on "Stress
Raisers."
• Does the part contain a material flaw that concentrates the normal loads excessively? See the
section on "Stress Raisers."
• Is the part heat-treated and was the heat treatment performed correctly so that the part has the
necessary strength for the application? Hardness testing and metallurgical analysis can answer
this question.
• Are there any discolored areas that might indicate overheating which can reduce material
strength and result in fracture under normal operating loads?
Stress Raisers
For failure analysis, a stress raiser is any physical irregularity in a part that increases the stress in the
part. There are two general classifications of stress raisers: normal and abnormal. This section will
discuss and illustrate examples of each type of stress raiser.
Normal stress raisers
Normal stress raisers are features of a part that, by the shape or location, tend to increase the stress in
a part when the part is loaded. Some examples of normal stress raisers are changes in cross section,
holes, sharp edges, fillets, gear tooth and spline roots, keyways, and so on. Normal stress raisers are
there by design and as long as operating stresses do not exceed the maximum design stress, the part
should perform satisfactorily.
Abnormal stress raisers
Abnormal stress raisers are features found on or in a part that are not intended to be there and result in
increased stress in a part. Abnormal stress raisers may result from a number of things such as material
flaws, manufacturing problems, careless handling, and abusive operations. A normal stress raiser that
was not manufactured properly, such as a fillet with too small a radius, would also be an abnormal
stress raiser.
Stress Raisers by Design
It is frequently necessary to incorporate stress raisers in the design of a part for the part to function
properly. These stress raisers can be considered "normal" and should be accommodated by the design
and manufacturing operations used to produce the part. As long as operating loads are within the
expected range, everything is acceptable. If operating loads exceed design limits, failure can initiate
out of a normal stress raiser.
Fillets and Corners
Fillets and corners are a common location for fracture initiation if a part is overloaded in service.
When examining parts that have failed or been overloaded in service, pay close attention to fillets and
corners.
Fracture initiated at the bottom side of the fillet in this spindle.
Fracture initiated in the fillet of this shaft.
Fracture can initiate at the fillet between the stem and head of an engine valve.
Fracture can initiate at the bolt head seat and nut seat on a connecting rod and cap.
The underhead fillet is a common location for fractures to initiate in bolts.
Fracture initiated at all four fillets on this universal joint cross.
Thread Roots
Fasteners that are overloaded in service often fail in the thread roots. The exact location of the fracture
and the type of fracture depend on the loading conditions prior to, and at the time of, failure.
The first exposed thread and the first thread after the shank are common failure locations.
Overloading this bolt by over torquing resulted in ductile fracture through the threads.
Single direction cyclic loading resulted in fatigue fracture through the threads of this bolt.
Reversed cyclic loading resulted in reversed bending fatigue fracture through the threads of the bolt.
Over twisting a seized bolt produced a torsional shear fracture that initiated all around the threads in this bolt.
Grooves
Like fillets and corners, grooves are another common location for fracture initiation if a part is
overloaded in service. So, when examining parts that have failed or been overloaded in service, pay
close attention to any grooves in the part.
The keeper grooves on valve stems may fret and fail if a valve is overloaded in service.
The fracture in a gear pump flange followed the seal ring groove.
This hydraulic vane pump shaft failed through a snap ring groove.
This hydraulic vane pump shaft failed through a snap ring groove.
This shaft failed through a groove at the base of the splines.
Spline Tooth Roots
Spline tooth roots can be a location for fracture initiation if the splines are overloaded in service. In
shafts, the fracture may initiate in the longitudinal direction parallel to the splines or at 45 degrees to
the longitudinal direction.
Spline tooth roots that are sharp corners can initiate fracture in overloaded shafts.
This shaft fracture initiated in the longitudinal direction at the root of a spline tooth.
Corners
Corners of parts concentrate the stress in a part and provide locations from which cracks can start.
A sudden shock load resulted in multiple fractures initiating at various corners in this plate.
This corner has been reinforced in order to reduce stresses at a normal stress raiser.
Holes
Holes in a part concentrate the stress in the part and provide locations from which cracks can start.
The vane pump cam ring failed through a hole in the high-pressure area.
This shaft failed when the point at the bottom of a drilled hole was overloaded in service.
Keyways
Keyways in a part concentrate the stress in the part and provide locations from which cracks can start.
Keyways not designed to carry loads can initiate fractures if overloaded in service.
This pump shaft failed out of a keyway when overloaded in service.
Gear Tooth Roots
Like spline tooth roots, gear tooth roots can concentrate the stress in a gear and provide a location
from which cracks can start.
Gear tooth roots can initiate fractures if overloaded in service.
Surface Finish
No surfaces on a part are perfectly smooth. The roughness on a surface of a part can be the stress
raiser that initiates fracture if overloading in service is severe.
If loading is severe, fractures can initiate from the machining marks on the surface of a part.
Structural Stiffness
If a structure becomes too stiff, stress from operating loads will be too high and cause fractures to
initiate. Structures that have been repaired with reinforcing plates can fail this way.
The mounting plate over-stiffened the frame and contributed to fracture.
A heavy plate that was added to modify a structure may have been one of the factors leading to sudden fracture.
Markings
When part markings are placed in high stress areas on the surface of parts, the marking can provide
the initiation site for fractures.
Raised markings were the initiation site on a highly loaded surface on a connecting rod
Depressed markings were the initiation site on a highly loaded surface on a ripper tip.
Material Stress Raisers
Some stress raisers are material flaws or defects. Material stress raisers are not a common cause of
failure. There are a few other material stress raisers not illustrated here that can cause failure, but it
takes the expertise and equipment of a metallurgical laboratory to detect them.
Inclusions
Inclusions in metals are bits and pieces of non-metallic materials left over from the production and
processing of the metal. All of the metals that Caterpillar uses contain inclusions, so the metals
normally are not a problem. However, when inclusions are too large or in a high stress area, the
inclusions can provide the initiation site for fracture.
An inclusion just below the fillet surface of a crankshaft that initiated a fatigue fracture. The light-colored area is
commonly called a "Bulls Eye" and often indicates a subsurface crack initiation from a material flaw.
An inclusion at the inside corner of a single piece piston pin bore initiated a fatigue fracture.
An elongated inclusion (called a stringer) initiated a fatigue fracture in a piston pin.
A subsurface inclusion in a gear tooth initiated a fatigue fracture due to cyclic loading of the tooth. Note the presence of
the circular bulls eye.
Grain Flow
Parts that are formed by rolling, forging, drawing, or extruding have grain flow. Proper forming
methods orient grain flow so the flow is parallel to the surface of the part providing extra strength
because the part is more difficult to fracture across grain flow than in the direction of grain flow. If
the loading direction is in the direction of grain flow, the grain flow can be a "weak link" initiating
fracture of the part.
Grain flow direction in the pin bore of a connecting rod provides an area of potential fracture initiation.
The loading on this shaft produced a fracture in the direction of the grain flow in the part.
Forging Burns
"Burned forgings" have been heated so hot in the forging process that the metal melts at the grain
boundaries and then resolidifies leaving micro cracks at the grain boundaries.
This forging fracture surface shows grainy-looking areas of burning where remelting during forging occurred.
Pipe
Pipe defects, found in ingot cast steel, result from improper processing at the steel mill. These defects
are not common in Caterpillar parts.
The fracture of this part initiated at a pipe defect.
Hydrogen Flakes
Steel that is not processed properly after pouring can contain internal cracks known as hydrogen
flakes that appear as silvery looking spots on a fracture surface. Hydrogen flakes are rare in
Caterpillar parts.
Fractured part showing hydrogen flakes on the fracture surface.
Failed crankshaft showing fracture initiation at a hydrogen flake inside the part.
Casting Shrinkage
Castings with insufficient hot metal available to compensate for shrinkage during solidification can
develop internal voids known as shrinkage. Shrinkage areas may look like internal holes or may have
a spongy appearance.
Fracture of a cast steel wheel loader lift arm initiated at an area of shrinkage inside the part.
Fracture of a cast steel swivel initiated at an area of shrinkage within the part.
Microstructure
Sometimes normal or abnormal features in the microstructure of the part material can act as stress
raisers and initiate fractures. For instance, the graphite flakes (natural "cracks") in the normal gray
cast iron microstructure often initiate fracture if the part is overloaded in service.
Graphite flakes in the microstructure of gray cast iron will initiate fracture if the part is overloaded.
Stress Raisers from Manufacturing Processes

Manufacturing processes can produce stress raisers in parts. Some of the stress raisers are normal and
were covered under "Stress Raisers by Design." When manufacturing processes go out of control,
abnormal stress raisers that can lead to failure may result.
Heat Treatment
Many parts require heat treatment to develop the strength and wear characteristics necessary for the
application. When done improperly, thermal stresses from heat treatment can crack parts. Heat
treatment can warp parts. Insufficient or excessive heat treatment can also cause problems.
This connecting rod fractured from a quench crack that was produced by thermal shock during heat treatment.
A small quench crack at the corner of a journal oil hole initiated the fracture of this crankshaft.
The dark areas in the fillet are quench cracks from improper heat treatment of the part.
The rough area is a straightening crack from trying to straighten a part that warped during heat treatment.
This bearing race missed heat treatment leaving the part soft so the part failed rapidly under normal service loads.
Excessive hardened depth caused this shaft to fracture internally from residual tensile stress.
Forming Cracks
When steel does not flow properly during forging and rolling, flaws called forging laps or seams can
result. Laps and seams can act like cracks on the surface of a part and initiate fracture when loading is
sufficient. Forming can also produce internal rupture or other types of cracking in parts
Part of the connecting rod broke away due to a forging lap at the corner of the connecting rod.
A forging lap at the surface of a connecting rod initiated a fatigue fracture in the part.
A seam in the wire from which the bolt was formed produced a burst in the head of the bolt.
This bolt ruptured internally during an extrusion operation. The bolt failed completely during installation.
Thermal shock from an improper machining practice cracked the roots of the threads leading to failure.
Forming metal parts can produce residual stresses that adversely affect part performance.
Precracks
If a part is cracked before the part enters service, the part is said to be precracked. When a crack has
existed for a while, there may be things like rust, paint, discoloration, or oxides on the area of the
precrack surface that was there before the part finally broke.
Part of the fracture surface is rusted indicating a precrack was present before the part broke.
Improper hardness testing (too close to an edge) precracked this part and initiated failure.
Improper Machining
The surface finish left from machining can initiate fracture when a part is severely overloaded. As
surface roughness increases, the load to initiate fracture decreases. Grooves or fillets machined with
too small a radius can also initiate fracture.
The surface roughness produced by improper machining setups can initiate fractures if the loading is severe enough.
Improperly machined grooves with too small a radius can initiate fracture in parts.
Welding Flaws
Welding can produce several types of flaws that may initiate fracture in welded components and
structures. Many of the flaws are notch or crack-like and thus are severe stress raisers.
Weld start/stops should not be in high stress areas or at locations where there is a change in stiffness.
Weld toes often form notches that can concentrate stress and initiate fractures.
Undercut weld toes produce notches that can initiate fractures.
Rough welds produce notches that can initiate fractures.
Welds that are not properly tied together produce notches that can initiate fractures.
Overlap at weld toes produces notches that can initiate fractures.
Insufficient crater fill produces a stress raiser that can initiate fractures.
Improper weld processes can produce porosity - an internal stress raiser in the weld
Improper fit-up between parts may produce notches and undersized welds that can result in fractures.
Debonding
If bonded parts debond prior to service, failure results. Debonding can produce a crack-like stress
raiser that initiates fracture.
The ring carrier insert debonded from the piston after which the piston cracked and failed.
Stress Raisers from Operation

Normal or abnormal operation can produce stress raisers on parts. This section illustrates some stress
raisers that can result during atypical engine or machine operation.
Contact Stress Fatigue
Overloading the surface of parts that roll on or slide against one another can lead to contact stress
fatigue damage. The pits that are produced act as stress raisers and can initiate fractures.
Bearing rollers have spalled due to rolling contact stress fatigue. Pits are stress raisers.
Bearing race with rolling contact stress fatigue. Pits are stress raisers.
Gear tooth with sliding contact stress fatigue pits. This stress raiser may lead to tooth fracture.
Sliding contact stress fatigue on an engine bearing produces transverse cracking and pitting.
Cavitation Erosion
Cavitation erosion results from a combination of bubbles in a fluid and a pressure change. Cavitation
erosion pits a surface creating stress raisers that may initiate fractures.
Bright, shiny pits from cavitation erosion are a stress raiser that can initiate fracture.
Cavitation erosion can create pits that go completely through the wall of a part.
Corrosion
Corrosion during service removes material from the surface of parts. Sometimes the material is
removed uniformly, but more often corrosion is localized producing pits on the surface. The pits are
stress raisers and can be the initiation site for fractures if the pits are in highly loaded areas of the part.
Discoloration and pitting resulting from corrosion. Corrosion pits are stress raisers.
Magnified view of corrosion pit at the initiation site of a fracture.
Fretting (Fretting Corrosion)
Fretting or fretting corrosion from movement in tight joints produces pits on the moving surfaces. The
pits are stress raisers that can initiate fractures.
Fretting corrosion and pitting on a bolt shank can lead to early failure.
Pits from fretting on the ball stud surface initiated a reverse bending fatigue fracture.
Excessive Operating Temperature
Operating parts at excessively high temperatures can have two bad effects. First, high temperature can
reduce the strength of parts so that a normal load can become an overload leading to failure. Second,
high temperature oxidation can pit surfaces producing stress raisers.
High temperature operation weakened the connecting rod allowing the rod to deform and fail.
High temperature operation pitted the surface of this part producing stress raisers.
Abrasive Wear
Abrasive wear can weaken a part by removing enough material that the part is no longer capable of
carrying the loads the part was designed to carry. Abrasive wear can also produce notches and
grooves, stress raisers that can initiate fractures.
Wear on the face of the valve can lead to fractured edges during operation.
Plastic Deformation
Parts that are plastically deformed can concentrate applied loads (such as trying to straighten a bent
shaft) and may thus fail early.
This bent link failed when the link was overloaded by operating stresses attempting to straighten the link.
Debonding
Abusive operation that produces excessive loads can cause bonds in parts to separate and lead to
failure of the part.
When the piston ring insert bond failed in the piston, a "corner" was created that concentrated applied loads so that the
piston failed.
Electrical Damage
Stray currents passing through parts can cause surface damage. The damage can result in pits and
rough surfaces that can damage other mating parts during operation. Pits are stress raisers from which
fractures can initiate.
Sources for damaging electric currents include: faulty grounds, improper welding on machinery,
lightning strikes and inadvertent contact with power lines or other power sources.
High Current Damage
When high current arcs between parts the current acts like a miniature lightning bolt. Electric arcs
result in high surface temperature that melts the surface and forms pits. When magnified, the pits
show evidence of melting and flow of the material. (Photo courtesy of Timken Company)
This bearing surface was pitted by high current arcs while the bearing was not rotating.
Low Current Damage
Low current arcs can damage the surface of parts. The pits formed by a low current arc are small but,
collectively over time, serious surface damage is possible. The following photo shows the surface of a
ball bearing from an electrical generator.
This bearing surface was pitted by low current arcs while the bearing was rotating. This type of damage is called
"fluting"
Stress Raisers from Handling, Assembly, Disassembly, and

Repair
Careless handling, assembly, and disassembly or repair can produce stress raisers on parts. Some parts
are made from materials like cast iron or cast aluminum that are more sensitive to shock loads.
Handling
Careless handling can crack or dent parts producing stress raisers that may reduce the service life of a
part.
Cast iron parts can crack if shock loaded. Even a small drop can produce a crack that may grow under service loads.
This bolt was dented by careless handling which later resulted in an expensive engine failure.
Improper Weld Repair
Welding can produce adverse residual tensile stresses, a bad surface profile, and a weakened heat
affected zone near the weld. These defects can result in early failure if welding is not done properly.
Improper weld repair on a crankshaft produced stress raisers that drastically shortened the life of the crankshaft.
Assembly and Disassembly
Methods used to assemble and disassemble parts can result in stress raisers that may shorten part life.
Chipped bearing races during installation can affect bearing life.
Housing damage during bearing removal may shorten bearing life or cause the new bearing to fail.
Torch marks from bearing race removal are stress raisers. Here the surface damage resulted in shaft failure.
Analyzing Worn Parts

Analyzing worn parts should be done in an organized way with two objectives in mind:
1. Obtain all of the facts from the worn parts.
2. Prevent any additional damage to the parts during removal, inspection and afterwards.
The following steps can be followed to make sure that the objectives are met.
1. Obtain the failed parts and protect from damage
Appropriate methods for obtaining failed parts are covered in the section "Disassembly for
Failure Analysis." Failed parts must be removed and handled carefully to avoid further damage.
Once parts have been removed, the parts are susceptible to casual impact damage and corrosion
on the worn surfaces. Wrapping worn surfaces with cloth or towels and coating with rust
inhibitors such as engine oil or grease are good ways to prevent additional damage. Be careful
if parts have to be shipped to another location for analysis. Prepare the parts for shipping to
prevent impact damage or corrosion on worn surfaces. If parts must be sectioned prior to
moving or shipment, be careful not to do anything that will change the characteristics of the
material in the worn area. For instance, cutting with a torch too close to a worn area can
overheat the metal and change the properties making failure analysis more difficult.
2. Clean the parts carefully
Damaging a worn surface is easy if overly aggressive cleaning methods are used. The best
methods for cleaning fracture surfaces involve mild solvents, soft bristle brushes, and forced air
-drying as illustrated below. Cleaning processes using glass beads, grit blasting, wire brushing,
Scotchbrite pads, or aggressive solvents are not suitable for cleaning failed parts prior to
inspection.
If the damage on a part may have been due to abrasive or erosive wear, cleaning becomes a
critical step. Both abrasive and erosive wear damage result from the actions of particles on the
part surface. Analysis of the root cause for abrasive or erosive wear involves finding examples
of the particles to determine what the particles are and where the particles came from. Improper
cleaning methods can remove the particles that did the damage and make the failure analysis
job much more difficult. If rough cleaning damages the surface of the part, the wear tracks left
by the particles may be obscured covering up road signs critical to identifying the wear
particles.
So, if abrasive or erosive wear is suspected, rinse the part first and then collect and filter the
rinse solution to collect any loose particles on the surfaces or in holes in the part.
3. Determine the type of wear present
Once the worn surface has been cleaned of oil, grease and loose dirt and debris particles,
inspect the surface to determine the type of wear. Refer to the sections on Abrasive, Adhesive,
Corrosion, Erosion, Cavitation Erosion, Contact Stress Fatigue, and Fretting Corrosion for help
with identifying the type of wear.
It is not unusual for more than one type of wear to be present on a failed part. For instance,
adhesive wear can easily lead to abrasive wear and vice versa. Several of the wear processes
produce particles that can lead to secondary abrasive wear. When multiple types of wear are
present, determine the order of wear. For instance, did abrasive wear lead to adhesive wear or
was the adhesive wear present before the abrasive wear began? Finding the order of wear
damage requires close inspection of the worn surfaces usually with magnification to clearly see
small details. Be sure to take enough time to find all of the facts on the worn surfaces.
4. Identify the environment that caused the wear damage
Just as each type of fracture is associated with a particular type of load, each type of wear is
associated with a particular type of environment. Collect information about the operating
environment at the time that the wear damage occurred. In fact, when parts are both worn and
broken, wear facts may assist in fracture analysis by indicating the operating environment at the
time of failure. Here is the environment for each type of wear.
Table 2
Wear Type Environment
2-body: one rough surface rubbing against another
Abrasion
3-body: particles between moving surfaces
Adhesion Metal to metal contact
Corrosion General & galvanic: anode, cathode, and electrolyte
Erosion Moving particles impacting a surface
Cavitation erosion Bubbles and an area of high pressure
Contact stress fatigue Overload on sliding or rolling surfaces
Fretting corrosion Movement in a tight joint
The first step in determining the operating environment is to understand how the customer is
using the equipment. What is the application of the equipment? Is the application typical or
atypical? How is the equipment operated and are the operators experienced? What is known
about equipment maintenance? Who performs maintenance, how often is maintenance done and
what parts and materials are used?
System facts such as the materials involved and operating temperatures may be significant
when analyzing some types of wear. If corrosion is involved, fluid samples may be necessary to
identify electrolytes. Lubrication facts may also be key when analyzing wear failures. Collect
facts that document the quality and quantity of lubricant in the system and whether the lubricant
was being delivered properly to the parts. Determine whether there is a history of lubricant
analysis results and sample the lubricant at the time of failure.
5. Putting the facts together
Facts gathered while analyzing worn parts provide evidence about the type of wear, location of
the wear and loads that might have been involved. For instance, off center wear may indicate
misalignment or bent parts. Wear that occurred later in the failure may be on top of earlier wear
that caused the failure. Fretting damage indicates that surfaces in a tight joint have been
moving.
Loading on parts affects the type of wear that is produced, so abnormal wear patterns are often
an indication of hostile loading conditions.
When analyzing worn parts, make sure to identify all of the wear types present, the
environmental conditions that produced the wear and any abnormal loading that might have
been involved.
Finally, although not too common, abnormal wear may result from parts that do not conform to
print requirements. If the facts indicate a possible parts problem (such as abnormally rapid wear
under normal operating conditions) then make sure to check the parts for conformance to print
material and processing requirements.
Abrasive Wear
Caterpillar parts can exhibit two types of abrasive wear: 2-body and 3-body. Two-body abrasive wear
occurs when a hard rough surface moves across a softer surface and cuts material away. An example
of 2-body abrasive wear would be removing metal with a grinding wheel. Three-body abrasive wear
can occur when hard particles that are larger than the lubricant film thickness get between two moving
surfaces. Soft surfaces are cut leaving deep scratches and producing debris. Harder surfaces do not cut
as easily but some frictional heat is generated as the hard particles rub against the hard surface. If the
supply of lubricant is adequate, the frictional heat will be carried away.
The key thing when analyzing 3-body abrasive wear is to identify the particles doing the damage. If
the particles can be identified and the source of the particles determined, then the abrasive wear
problem can be fixed so the problem will not happen again. For instance, if dirt particles are entering
an engine due to a damaged air filter housing, just replacing the filter will not cure the wear.
Repairing or replacing the damaged housing is necessary to prevent further abrasive wear damage.
A common side effect of abrasive wear is that as abraded surfaces are roughened, the surfaces begin
to make contact through the lubricant film and generate more heat than the lubricant can carry away.
This leads to secondary adhesive wear and further surface damage. When analyzing worn surfaces,
watch for this situation and be careful to separate secondary adhesive wear from the original abrasive
wear.
Abrasive wear damage can be identified by the following characteristics:
1. The surface of the parts is scratched, cut, gouged, or grooved.
2. There is little discoloration in the damaged areas indicating cool temperatures.
3. Self-generated, secondary debris particles from the scratched surfaces are present.
Piston skirt cut by abrasive wear particles
Soft surfaces, such as this piston skirt, are easily cut by abrasive wear particles. There may be many
scratches in the damaged area as on this piston skirt. Soft surfaces can easily embed some of the
particles. So, the wear surface is one good area to look for examples of the particles doing the
damage.
Scratches on a gear tooth
Hard surfaces, such as this gear tooth, are not so easily cut by abrasive wear particles. The scratches,
if present, will be much smaller and more difficult to see. Look elsewhere in the system, for instance
in the lubricant filters, for examples of wear particles.
Scratches on a vane pump flex plate
If abrasive particles are small enough, the particles will polish a surface. Larger particles, such as dirt,
leave more distinctive scratches like those scratches on this vane pump flex plate.
Vane pump flex plate with large gouges
Large particles or pieces of other broken parts will leave large gouges in the surfaces of softer parts as
on this vane pump flex plate.
Machining chips
Abrasive wear particles come in many shapes and sizes. These machining chips would produce
irregular shaped scratches and dents in a surface. Dirt particles are also irregular and produce sharp
scratches and irregular shaped dents.
Steel shot and glass beads
Man-made particles such as steel shot and glass beads are nearly spherical and so leave round dents
and round-bottomed grooves for scratches. Abrasive wear due to round particles usually indicates
contamination with some cleaning media. Note that glass particles can shatter into irregular shapes
that will then produce sharper scratches.
Significance of Abrasive Wear
Abrasive wear found on parts indicates that either one rough, hard surface has rubbed over another
softer surface (2-body wear) or particles larger than lubricant film thickness have contaminated a
system (3-body wear). Look for the following things:
1. What are the primary wear particles?
a. What is the shape of the particles?
b. What is the size of the particles?
c. Is the size of the particles uniform?
d. What is the color of the particles?
e. Are the particles opaque or transparent?
f. What is the size and shape of the scratches the particles produced?
g. How hard is the surface that the particles scratched?
h. Are the particles magnetic?
i. Are any fluid analysis results available?
j. Are there any marks on the wear particles?
k. Have soft surfaces been examined for embedded particles?
l. Have the filters been checked for particles?
m. Have any low flow areas in the lubricant system (tank, sump) been examined?
n. Is there any evidence to indicate whether the particles are natural or man-made?
2. What is the source of the wear particles?
a. Are all filters and housings intact and operating properly?
b. Are all seals intact and operating properly?
c. Are all lubricants properly filtered before use?
d. Are good housekeeping procedures followed during maintenance?
e. Is there any evidence of leaks that would allow particles to enter?
f. Has there been any recent maintenance or repairs?
g. What is the operating environment of the equipment?
h. Are there samples of particles the equipment routinely encounters during operation?
Here are some possible sources for particles:
Built in: Burrs, core sand, weld spatter, paint chips, rust particles, machining chips,
pieces of sealant, lint, or fabric threads and scale.
Ingested: Any particles in the environment that an engine or machine is operated in can
enter through breather caps, access plates, faulty cylinder seals and poor maintenance
procedures.
Self-generated contaminants: Operating mechanical systems constantly generate particles

including wear particles, corrosion products, cavitation particles, fluid breakdown
products (from decomposition or oxidation), pieces of seals and gaskets, additive reaction
products and rust particles.
3. Why is the worn part exposed to a rough surface (2-body wear)? What produced the rough
surface?
Adhesive Wear
Adhesive wear results when two moving surfaces make contact without adequate lubrication and/or
cooling. When the moving surfaces contact and rub, heat is produced through friction. The heat first
softens, and then melts the surfaces so the surfaces melt and adhere (weld) together.
Unless the contacting surfaces can be separated, adhesive wear will often proceed rapidly and result in
destruction of the parts. When the surfaces of parts begin to heat due to friction from contact, the part
begins to grow larger reducing clearances and any lubricant present will begin to thin (reduce
viscosity). The net result is increased contact, more frictional heating, and the cycle continues until
destruction.
There are two general reasons that moving surfaces make contact during operation. First, the
lubricating film between the parts was lost. Second, the parts were forced together through the
lubricating film. There is any number of reasons for either of these conditions. The first step in
analyzing adhesive wear problems is to identify which general reason was responsible for the damage.
Adhesive wear damage can be identified by the following characteristics:
1. The surface of the part is smeared.
2. The surface of the part is discolored due to frictional heating.
3. The surfaces appear to have melted and stuck together.
4. There is evidence that material from the weaker surface has welded to the stronger surface.
5. There is secondary wear on the weaker surface resulting from the material transfer.
(1) Polishing or smearing is the first road sign of adhesive wear
The first road sign of adhesive wear is polishing or smearing of the weaker surface. Smearing
indicates the surface temperature has reached the melting point. Damage will be limited to the surface
because heat conduction rapidly lowers the temperature below the surface of the part in this stage of
adhesive wear.
When several parts show signs of adhesive wear, look for more facts in common systems. Here,
several engine bearings have smeared, so check the lubrication system.
(2) Discolored surface due to frictional heating.
(3) Surface appears to be melted
As adhesive wear continues and temperature increases, surfaces begin to discolor, melt, and adhere
together. This results in rough, dark-colored surfaces. Surfaces with adhesive wear often show signs
of 2-body abrasive wear due to material transfer from one surface to the other.
Shaft showing temper colors from induction hardening
When examining worn parts, be careful not to confuse temper colors from heat treatment with heating
due to adhesive wear. The spline end of this shaft was induction hardened which left temper colors on
the surface of the part. If unsure about the origin of discoloration on the surface of a part, check the
processing of the part.
Piston operated to destruction without coolant.
Ultimately, if operation with adhesive wear continues, the temperature of the part approaches the
melting temperature, the part loses strength, and breaks apart into pieces. If the pieces are carefully
cleaned and organized, examination will often reveal what has happened. This piston operated to
destruction without coolant.
Significance of Adhesive Wear
Adhesive wear found on parts indicates that moving surfaces have contacted without adequate
lubrication or cooling.
1. Was the load sufficient during operation to force the surfaces together?
a. Was there abusive operation during service?
b. Were the parts assembled correctly?
c. Were any of the parts misaligned?
d. Did any other parts fail that would allow contact during operation?
e. Is there any evidence of excessive operating temperatures?
2. Was the lubrication adequate during operation?
a. What type and viscosity of lubricant was used in the system?
b. Did the lubricant meet Caterpillar specifications?
c. Was the quantity of lubrication adequate?
d. Are any of the lubricant passages blocked?
e. Was maintenance performed at the specified intervals?
f. Is there any damage that would interfere with lubrication?
g. Is there any evidence that the adhesive wear was preceded by abrasive wear?
3. What was the operating temperature of the affected components?
a. High temperature operation lowers oil viscosity producing thinner oil films and reducing
load carrying capability.
b. Low temperature operation increases oil viscosity resulting in thicker oil that may not
flow through small clearances properly.
c. Parts experience thermal growth in dimensions as temperature increases leading to

reduction in lubricating clearances between parts.
4. Was there any other type of wear present prior to the adhesive wear that would have affected
the ability to maintain a lubricating film between components?
Corrosion Wear
Corrosion wear typically occurs as a result of chemical change, deterioration, and removal of material
from the surface of a part. Corrosion is an electrochemical process meaning that it includes both
chemical reactions and the flow of electrons (electricity). For corrosion to occur, there must be a
cathode (less active metal area) and an anode (more active metal area) in contact through an
electrolyte (a nonmetallic electric conductor in which current is carried by the movement of ions).
Remove any one of these three elements, and corrosion stops. During the corrosion process, the more
active metal anode area is attacked and material is removed, often producing pits.
Two types of corrosion are common: general corrosion and galvanic corrosion. General corrosion
requires an anode, cathode, and electrolyte. The corrosive attack may be over an entire surface or a
localized pitting type of attack. The exact nature of the corrosive attack depends on the material being
corroded and the nature of the environment surrounding the part. With general corrosion, different
areas of a part or even different grains of metal in the part can act as the anode and cathode.
Galvanic corrosion involves two different metals and an electrolyte. One of the metals acts as the
anode and the other metal acts as a cathode. When the two metals are connected through an
electrolyte, corrosion occurs. The electrolyte in the system and other environmental conditions will
determine which metal acts as the anode in any particular case. Metals are rated in "galvanic series"
depending on specific electrolytes and environmental conditions. Tables of galvanic series are
available in corrosion reference books.
There are many variables that determine whether corrosion will occur and the type of corrosion that
occurs. For this reason, involve a corrosion specialist to identify the cause and potential remedy for a
particular case of corrosion damage.
General and galvanic corrosion wear damage can be identified by the following characteristics:
1. The surface of the parts is rusting, discolored, scaling, or has crystalline looking deposits.
2. The surface of the part in contact with the electrolyte is rough or pitted.
3. The surface of the part in contact with the electrolyte has irregularly shaped holes.
Bearing failure due to corrosion
Rusting is one of the most common types of corrosion. Metal grains are the anodes and cathodes
which are connected by water - a good electrolyte. Protect metal surfaces that are very clean from
corrosion during storage or handling.
Black corrosion deposits - "Black Acid Etching"
Corrosion does not always produce red or orange discoloration. Here, another form of corrosion
known as "black acid etching" has produced black corrosion deposits on the surface of a bearing race
indicating an electrolyte has contaminated the oil.
Valve stem showing pitting from corrosion
General corrosion may remove material evenly from a metal surface or may produce pitting on the
surface as seen in illustration 149.
Oil cooler tube showing galvanic corrosion at the arrow and general corrosion on the left
Galvanic corrosion requires two different metals and an electrolyte. The oil cooler tube in illustration
150 has experienced two types of corrosion. General corrosion has occurred on the left side. There is
also galvanic corrosion at the arrow where the copper tube and steel baffle reacted.
High Temperature Oxidation
The broad definition of corrosion (chemical change, deterioration, and removal of material from the
surface of a part) allows high temperature oxidation damage to be included under the heading of
corrosion. High temperature oxidation occurs when a heated metal surface is exposed to an
atmosphere containing oxygen. At high temperatures, oxygen combines more readily with many
metals forming an oxide layer than can be lost during operation thus removing material from the
surface of a part through a chemical reaction.
Surface of a turbocharger heat shield that is scaled and missing material due to high temperature oxidation
High temperature oxidation wear damage can be identified by the following characteristics:
1. The surface of the parts is scaling or missing material.
2. The surface of the part may be discolored.
3. The surface of the part has been exposed to high temperatures and an atmosphere containing
oxygen.
Significance of Corrosion Wear
Corrosion wear found on the surface of parts indicates that either the part has been exposed to an
electrolyte or high temperatures during operation.
Look for the following things:
1. Has the corrosion occurred over the whole surface of the part or is the corrosion more localized
pitting?
2. Is the corrosion limited to one part?
3. Is there a possibility of galvanic corrosion – two dissimilar metals?
4. What is the electrolyte causing the corrosion? Obtain a sample if possible.
5. What are the general environmental conditions surrounding the corroded part?
◦ What liquids are in the environment?
◦ What is the temperature of the environment?
◦ Is the environment moving or stagnant?
◦ Is the environment aerated?
◦ Are there any unusual odors present?
◦ What is the pH of the environment?
6. Has the part been exposed to elevated temperatures for an extended time?
Erosion Wear
Erosion wear occurs when particles impacting a surface remove tiny bits of material from the surface.
The particles doing the damage can be large or small. The energy moving the particles can simply be
momentum as in a large part being "thrown" against the surface of another part. Or, if the particles are
small, the energy moving the particles often comes from a moving gas (for example, sand blasting) or
fluid (for example, particles in a cooling system) stream. The eroded surface will often have a sand
blasted or matte finish appearance.
Note: Erosive wear and abrasive wear are similar in that both involve damage due to particles. The
difference between abrasive and erosive wear is the "angle of attack" of the particles. In abrasive
wear, the particles move parallel to the surface and "machine" bits of material from the surface. With
erosive wear, the particles impact at a steeper angle and chip bits of material from the surface.
The following road signs may be observed when surfaces are damaged by erosive wear:
1. Material has been removed from the surface of the part.
2. Surfaces are dented or pitted from impacting particles.
3. Self-generated, secondary debris particles.
4. Surface has a sand blasted or matte finish appearance.
(1) Material has been removed from the surface of the part
A piston pin retainer broke and the loose pieces have severely eroded the piston pin bore. Note the
missing material at the top and bottom of the bore.
(1) Material has been removed from the surface of the part
(4) Surface has a sand blasted or matte finish appearance.
Pieces of a broken piston ring have eroded the area around the ring groove. Note the missing material
and the blasted, or matte, appearance in the area of the erosion damage.
Significance of Erosion Wear
Erosion wear found on parts indicates that impacting particles have damaged the surface of the part.
So, as with abrasive wear, identify the particles doing the damage and the source of the particles.
1. What are the particles doing the erosion wear damage?
2. What is the source of the particles doing the erosion wear damage?
3. What is energizing the particles to do the damage?
The answer to the first two questions usually involves finding an example of the particles doing the
damage.
1. Look for particles adhering to the worn surface.
2. Check filters for particles
3. In fluid systems look for "dead areas" where particles may drop out.
4. Look for particles embedded in the worn surface.
5. Look for broken parts in the vicinity of the erosion damage area.
Cavitation Erosion Wear
Cavitation erosion wear is pitting damage that results when bubbles collapse and the fluid stream that
had been supported by the bubble impacts the part surface. Two things are required for cavitation
erosion wear to take place: bubbles and an area of increasing pressure capable of collapsing
(imploding) the bubbles. Bubbles can form in a fluid as a result of an air leak or as a result of a low-
pressure area that releases dissolved gasses or vaporizes (boils) the fluid. High-pressure areas
generally result from the design or operation of a system.
If the material being damaged by cavitation erosion is susceptible to corrosion by the fluid, then the
processes of cavitation erosion and corrosion may work together to accelerate damage. Cavitation
erosion produces a clean surface that is more likely to corrode. So, in operation the surface corrodes,
cavitation cleans off the corroded material, the surface corrodes again, and the process repeats itself.
When cavitation erosion occurs, the following road signs may be observed:
1. Irregular shaped surface pits and holes in the damaged area, possible narrowing toward one end.
2. Pitted surfaces with a rough and crystalline appearance (brittle fractures from fluid impact.)
3. Self-generated, secondary debris particles – may also produce abrasive wear damage.
4. In some systems, such as pumps, there may be a noticeable change in sound during operation.
Bubbles in the cooling system of an engine have collapsed in a high-pressure area in the fluid near the surface of a
cylinder liner. The result is cavitation erosion and a rough, pitted surface.
Pressure changes in the oil film between an engine bearing and the crankshaft journal can collapse bubbles in the oil and
produce cavitation erosion damage. Here the lead tin overlay has been removed exposing the aluminum below.
Bubbles in the engine coolant can collapse in the high-pressure areas of the water pump producing cavitation erosion
damage.
This illustration is a higher magnification view of the cavitation erosion damage shown on the water pump cover in
illustration 156. Note the bright, crystalline appearance of the pitted area.
Significance of Cavitation Erosion Wear
Cavitation erosion wear found on the surface of parts indicates that bubbles have been collapsing in a
high-pressure area near that surface. Look for the following things:
1. What was the source of the bubbles in the fluid?
a. Is there an air leak in the system?
b. Are all seals and gaskets working properly?
c. Was there any recent repairs or maintenance that might have resulted in air in the system.
d. Is the fluid contaminated with anything that could cause bubbles?
e. Is the viscosity of the fluid correct for the operating temperature?
f. What was the ambient temperature during startup and operation?
g. Are the coolers in the system clean and working properly?
h. If the damage is in a cooling system, does the coolant contain the specified amount of
conditioner?
2. What was the source of the high-pressure area in the fluid?
a. Was there severe loading during operation?
b. Was there a severe pressure change during operation?
c. Does the design of the system result in high-pressure areas?
3. Are there any restrictions to fluid flow in the system?
920 WHEEL LOADER 75J03573-UP (MACHINE) POWERED BY 3304 ENGINE... Page 100 of 108
a. Are all filters and screens capable of passing the required volume of fluid?
b. Are all of the lines clean and unrestricted?
c. Are any of the lines bent or kinked?
d. Are there any restrictions in the tank?
e. Does the fluid being used meet Caterpillar specifications?
Contact Stress Fatigue (CSF) Wear

Contact stress fatigue (CSF) wear occurs when surfaces that roll or slide against each other are
overloaded. Overloading may occur also because of misalignment or because that lubricant film has
weakened due to lower viscosity or higher temperature. CSF also may occur because parts have been
used beyond their expected service life. Engine bearings and rolling-element (anti-friction) bearings
have a finite life and should be changed before they show evidence of CSF wear.
Because CSF damage occurs by two different processes, there are two types of CSF. CSF damage on
sliding surfaces is called sliding contact stress fatigue. CSF damage on rolling surfaces is called
rolling contact stress fatigue.
When the surface of one part repeatedly slides against the surface of another part it produces a cyclic
stretching action at the surfaces. If the surface stress that develops as a result of the stretching action
exceeds the fatigue strength of the metal, tiny surface cracks will initiate and grow into the part.
Surface pits form when the cracks join. Once pitting starts, more pits form until the surface is no
longer usable. This action is sliding contact stress fatigue wear.
When the surface on one part rolls against the surface of another part, it produces a repeated (cyclic)
stretching action below the surfaces of the parts. If the subsurface stress that develops as a result of
the subsurface stretching action exceeds the fatigue strength of the metal, tiny subsurface cracks
initiate and grow until chunks of the surface spall and break away. Once spalling starts, surfaces
continue to deteriorate until the part is no longer usable. This action is rolling contact stress fatigue
wear.
CSF wear can also result in secondary damage. As each type of CSF develops and progresses, small,
hard particles are produced that can cause abrasive damage elsewhere in the system.
Contact stress fatigue wear produces the following road signs on parts:
1. Surface pitting (sliding CSF)
2. Subsurface fatigue and spalling (rolling CSF)
3. Self-generated, secondary particles
Sliding Contact Stress Fatigue Wear
Sliding CSF has produced pitting on the nose of this camshaft lobe due to excessive sliding loads.
Transverse cracks on the surface of this engine bearing are the result of sliding CSF. As the cracks grow, pits form and
material is lost from the surface.
Rolling Contact Stress Fatigue Wear
When two surfaces roll against each other, excessive load can result in rolling CSF which initiates cracks below the
surface and causes pieces to spall out of the surface.
Rolling CSF damage can start in a small area and then spread out over a larger area as damage progresses. Here, the
entire surface area of a bearing race is damaged.
Gear Teeth
Gear tooth showing pitting and spalling
Gear teeth are a special case for contact stress fatigue wear. The sliding and rolling action of one gear
tooth against another can produce both sliding and rolling CSF damage. As a result, gear teeth can
show both pitting and spalling damage depending on the location of the damage on the gear tooth.
Significance of Contact Stress Fatigue Wear
Contact stress fatigue wear found on parts indicates that surfaces have been overloaded by excessive
sliding or rolling loads. It may also indicate that the part has been in service too long because sliding
or rolling contact stress fatigue is a normal wear out condition for many sliding or rolling bearings.
1. How long has the part been in service?
2. Have the parts received adequate lubrication in service?
a. Was the specified lubricant used?
b. Was there an adequate amount of lube available during operation?
c. Does the lube used meet Cat specifications?
d. Were operating temperatures excessive?
e. Was the lube correct for the ambient operating temperature?
f. Did the parts receive proper lubrication at all times?
g. Is the surface finish on the parts acceptable?
h. Is maintenance performed at the specified intervals?
3. Has the part been subjected to excessive sliding or rolling loads?
a. Were loads from operation excessive?
b. Are there any alignment problems?
c. Do the parts conform to print requirements?
d. Are any other parts damaged that would cause excessive sliding or rolling loads?
e. Was alignment and preload set properly?
f. Have there been any recent repairs or service?
Fretting (Corrosion) Wear

Fretting (corrosion) wear typically results from movement between two surfaces that are pressed
tightly together. The type of movement that causes fretting is high frequency, low amplitude, that is,
movement resulting from vibration of the parts.
Note: Moving surfaces not pressed tightly together tend to polish and become smoother rather than
fretting and becoming rougher.
Fretting damage occurs when frictional heating causes high points (called asperities) on two surfaces
to weld together and then movement rips the surfaces apart. This action roughens the surfaces, pits the
surfaces, and produces fine debris particles. When the debris particles produced by the fretting action
corrode and are smeared back on the moving surfaces, the damage is referred to as fretting corrosion.
Tight contact between two surfaces can result from several things:
1. Bolted joints
2. Press fit parts
3. The weight of one part pressing against another
Fretting wear damage can be identified by the following characteristics:
1. The wear damage is at a tight contact area between two parts.
2. The contact surface area between two parts is rough and pitted.
3. The contact surface area is discolored in or around the rough, pitted area.
(1) The wear damage is at a tight contact area between two parts.
When the load on a part exceeds the clamping force between two surfaces (such as this connecting
rod and cap joint), movement can produce fretting damage.
(2) The contact surface area between two parts is rough and pitted.
(3) The contact surface area is discolored in or around the rough, pitted area.
Fretted surfaces are rough because tiny areas have welded and pulled pieces of metal out of the
surface. Fretting debris sometimes corrodes and discolors fretted surfaces.
Sometimes fretted surfaces appear roughened by microwelding and metal pull out as on this bolt head surface.
With iron-based materials, fretting often produces a red to reddish brown surface discoloration in the damaged area as on
this bolt shank.
Black colored deposits produced by fretting
Fretting can produce black colored deposits, too. The color of the deposits, if present, depends on the
metal that is fretting and the conditions under which the fretting damage occurred. The left side of this
figure shows fretting damage with a black deposit on a connecting rod bore. The right side of the
figure shows bearing damage resulting from running a bearing over area built up from fretting.
Significance of Fretting (Corrosion) Wear
Fretting (corrosion) wear found on parts indicates that two surfaces that were held tightly together
have been forced to move, vibrate or oscillate slightly against each other at high frequency. Look for
the following things:
1. What was the load that caused the surfaces to move?
2. If fretting has occurred at a bolted joint:
a. Were the joint surfaces clean prior to tightening?
b. Was the correct hardware used?
c. Were any of the clamped surfaces excessively rough?
d. Were the fasteners properly tightened?
e. Were instructions regarding lubrication followed?
f. What might have overloaded the joint in service?
g. Is there any evidence of overheating at the joint?
h. In multi-fastener joints, were the other fasteners tightened properly?
Failure Analysis Training and Consulting Services

The information in this tool has dealt primarily with collecting wear and fracture facts that can be
used in analyzing failures. Additional training and experience are required to use wear and fracture
facts to perform failure analysis. There are several sources for failure analysis training within the
Caterpillar enterprise.
Sources for Applied Failure Analysis Training
Caterpillar Product Support Center
The Peoria Applied Failure Analysis Team offers two different failure analysis training courses at the
Customer Service Support Center in Building LC in Peoria, IL. Details and availability of failure
analysis training classes can be found at the Dealer Performance Center (formerly DLMS) on line or
by contacting the class Registrar at 309-578-6377.
Caterpillar Marketing Profit Center Training Centers
Failure analysis training is available at the following MPC training centers:
• Asia Pacific Learning Center, Melbourne, Australia (Certified for AFA 1, 2, 3)
• Asia Pacific Learning Center, Singapore
• Malaga Demonstration and Learning Center, Malaga, Spain (Certified for AFA 1 & 2)
• Miami Skills Acquisition Center, Miami Lakes, FL, USA (Certified for AFA 1 & 2)
Caterpillar Regional Training Centers
Several Cat dealers provide failure analysis training at Regional Training Centers:
• Empire Machinery (Certified for AFA 1 & 2/3)
• Finning Ca. (Certified for AFA 1 & 2/3)
• Holt TX.
• Carolina Tractor & Eq.
Cat Dealers
Several Cat dealers provide failure analysis training for their staff. Contact the training department at
your dealership to see what is available.
Copyright 1993 - 2018 Caterpillar Inc. Tue Mar 6 01:17:27 PST 2018
All Rights Reserved.
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920 WHEEL LOADER 75J03573-UP (MACHINE) POWERED BY 3304 ENGINE(XM...

Applied Failure Analysis

Guideline for Examining Failed Parts{1000, 7000}

Caterpillar Products: All

Failure Analysis Consulting

The following topics will be covered in this discussion.

• The Failure Analysis Process

• Disassembly for Failure Analysis

• Visual Inspection Methods

• Analyzing Fractured Parts

• Analyzing Worn Parts

The Failure Analysis Process

• Parts are broken

• Parts are worn out early or in an unusual way

Disassembly for Failure Analysis

• Parts should be marked

• Do not further damage parts during disassembly

Part marked prior to disassembly

Parts may be marked in order to document orientation prior to disassembly.

Part marked during disassembly

• Surfaces to be marked may need to be cleaned prior to marking.

Do Not Damage Parts During Disassembly

Dent in the bearing race

Damage caused by excessive heat

Nick in the underlying surface

Visual Inspection Methods

Genuine Caterpillar bearing

1. Part numbers, engineering change numbers, and manufacturer trademarks

2. Manufacturing or remanufacturing date codes

(1) Die code

(2) Supplier code

(3) Steel heat code

Number of rebuilds and hours accumulated on each part.

• Abnormal wear or wear patterns

• Discoloration not associated with normal operation

• Temper colors not a result of heat treatment

• Plastic deformation or distortion of parts

• Deposits on the surface of parts

• Any evidence of abusive operation or damage

• Any other abnormal or unusual feature

Examining Failed Parts

• Types of wear and fracture

• Normal and abnormal stress raisers

• Operating environment and temperature

• Loading during operation and failure

• Damage during handling or operation

• Evidence of previous repairs

• Do not wipe parts with a shop towel to dry.

Lighting for Visual Examination

Examine All Areas

Completely disassemble all components.

Fretting on bearing back

Fretting on bearing bore

Used valve guides

8S-2257 Eye Loupe As

Protecting Parts After Examination

2. Cover parts to protect from dirt and dust.

4. Store parts in a dry, low humidity area.

Protect fractured surfaces

Analyzing Fractured Parts