FAILURE MODE EFFECT ANALYSIS

Instructional objectives
By the end of this lecture, the students are expected to learn
1. the principle, basic structure, procedure followed and the importance of Failure Mode and
Effect Analysis (FMEA), and
2. how to effectively apply and sustain FMEA to any process, product or system.
What is FMEA?
A failure modes and effects analysis (FMEA) is a process by which the identification and the
evaluation of potential failure modes for a system, product, component or a process is done for
classification by the severity and likelihood of the failures. A successful FMEA activity helps to
identify potential failure mode, its causes, identifying the impact of these potential failures and
then prioritizing actions to reduce or eliminate these failures out of the system with the minimum
of effort and resource expenditure, thereby reducing development time and costs. Failure
modes are faults or defects in a design, component, or system, especially those that affect the
intended function of the product and or process, and can be potential or actual. Effects
analysis refers to studying the consequences of those failures. The underlying principle of FMEA
is to resolve potential problems before they occur, enhancing safety, and increasing customer
satisfaction
FMEA History
FMEA was first described in US Armed Forces Military Procedures in 1949. Later, various groups
and departments of NASA used FMEA principles under variety of names in mid 1950s and 1960s.
Ford Motor Company published instruction manuals for FMEA in the 1980s and the automotive
industry collectively developed standards in the 1990s. Engineers in a variety of industries have
adopted and adapted the tool over the years.
VARIOUS
FAILURE
MODES
Failure is usually perceived to be fracture or complete separation of a member or an assembly. Failures
can also occur due to excessive elastic or plastic deformation, or a variety of other reasons. Various
failure modes of the mechanical components can be classified in the following four groups.
1. Excessive elastic deformation that is temporary and reversible resulting in stretching of metallic
bonds.
2. Excessive plastic deformation which is permanent and irreversible, and can lead to thinning of
cross-sectional area with increased stress concentration.
3. Fracture which refers to breaking or rupture of a component into two or more pieces as a result
of stress.
4. Loss of required part geometry through corrosion or wear that may lead to loss or material
directly affecting the geometry of the component.

In general, the failure of mechanical parts can occur due to a variety of reasons. Some of the most
common failure modes for a mechanical component are mentioned below.
[a] Force and/or Temperature-Induced elastic as well as plastic Deformation
[b] Ductile and Brittle failure
[c] Fatigue that includes high-cycle and low-cycle fatigue, thermal fatigue, surface fatigue,
impact fatigue, corrosion fatigue and fretting fatigue.
[d]
Corrosion due to direct chemical attack, galvanic corrosion, crevice and pitting corrosion,
intergranular corrosion, selective leaching, biological corrosion, stress corrosion, corrosion
due to erosion, hydrogen induced corrosion, etc.
[e] Wear [adhesive wear, abrasive wear, corrosive wear, wear due to deformation, impact, fretting
and surface fatigue]
[f] Impact [deformation, wear and fracture due to impact, impact fretting and fatigue]
[g] Fretting [fatigue, wear and corrosion due to fatigue]
[h] Galling and seizure
[i] Creep related failure, combined creep and fatigue.
[j] Thermal shock and thermal relaxation.
[k] Buckling due to static or dynamic load or due to creep.
[l] Localized oxidation
[m] Radiation damage
[n] Bonding failure and / or delamination
[o] Erosion
FAILURE ANALYSIS TECHNIQUES
Various techniques are used to identify the mode of failure of a part or component. Following are
some of the major techniques.
Field inspection
The most useful and primary approach is to inspect the failure on site as soon as the failure has
occurred. This visit should be documented in detail with photographs and should also contain
insights from the various personnel involved in operation and maintenance of the component. If
possible the failed component should be brought back to laboratory for more detailed study,
Macroscopic examination
This type of examination is done at a magnified scale of 1x to 100x range. The main purpose of
this is to observe the gross features of the fracture and presence or absence of cracks, defects,
corrosion or oxidation. Working at such magnification it should be possible to make an initial
assessment of the origin of fracture and other defects and thus narrow down the region of the
fracture for further study at higher magnification.
Microscopic Examination

This type of examination is made at a magnification greater than 100x for microstructure analysis.
To achieve such magnification we need instruments like Scanning Electron Microscope (SEM),
Transmission Electron Microscope (TEM), X-ray microprobe analyzer and so on. Microstructure
analysis is essential because it helps to identify important features like grain size, inclusion size,
crack growth, arrangement of phases and so on and give a better understanding of the
microstructure and the cause of failure.
Timing of an FMEA program
One of the most important elements for the successful implementation of an FMEA technique is its
timeliness. It is meant to be a before-the-event action and not an after-the-fact exercise.
Actions resulting from an FMEA can reduce or eliminate the chance of implementing a change
thatSteps
would
an aeven
larger concern. Ideally, FMEAs are conducted in the product design or
TEN
to create
conduct
FMEA
process development stages, although conducting an FMEA on existing products or processes may
yield benefits.
[1] alsoReview
the design or process
do FMEAs?
TheWhy
reviewing
of the design or process is to identify all of the components of the system at given
level of the design or process hierarchy and determine the function or functions of each of those
FMEA hasMany
been components
an indispensable
forthan
industries
such as aerospace, automobile industries and
components.
havetool
more
one function.
Government agencies (Army, Navy, Air Force, etc) because of the following reason
[2]

Brainstorm potential failure modes

Improves design by discovering unanticipated failures
Identify failure modes for each component/system. Typically there will be several ways in which
Highlights
impactFailure
of the failures
a component
can fail. the
Potential
Mode comes from things that have gone wrong in the past,
concerns of designers, and brainstorming. A potential failure mode represents any manner in
which the
or process
step could fail
to perform
component
Provides a method
to characterize
product
safetyits intended function or functions.
Brainstorm the potential failure modes for each function for each of the components identified.
It records and documents the logic of the engineers and related design and process
[3] List considerations
potential failure effects
Determine
(both locally
and globally)
withfuture
each failure
on the decisions.
system.
Itthe
is effects
an indispensable
resource
for new associated
engineers and
design mode
and process
The effect is related directly to the ability of that specific component to perform its intended
function. An effect is the impact a failure could make if it occurred.
[4]

Assign Severity ratings

Assign a severity ranking to each effect that has been identified. The severity ranking is an
estimate of how serious an effect would be should it occur. To determine the severity, consider the
impact the effect would have on the customer, on downstream operations, or on the employees
operating the process. The severity ranking is based on a relative scale ranging from 1 to 10. Table
5.1.1 depicts relative severity and corresponding rankings.
Table 5.1.1 Severity and corresponding ranks of failures
Rank
Effect
Rank
Effect
1
None
6
Severe
2
Very Slight
7
High Severity
3
Slight
8
Very High Severity
4
Minor
9
Extreme Severity
5
Moderate
10
Maximum Severity

[5]

Assign Occurrence ratings

Determine the failures probability of occurrence. Assign an occurrence ranking to each of those
causes or failure mechanisms. The occurrence ranking is based on the likelihood or frequency, that
the cause (or mechanism of failure) will occur. The occurrence ranking scale, like the severity
ranking, is on a relative scale from 1 to 10 as shown in Table 5.1.2.
Table 5.1.2 Likely occurrences of failures and corresponding ranking
Rank

Occurrence

Rank

Occurrence

Extremely Unlikely

Medium Likelihood

Remote Likelihood

Moderately High Likelihood

Very Low Likelihood

Very High Severity

Low Likelihood

Extreme Severity

Moderately Low Likelihood

10

Maximum Severity

[6] Assign detection rating

To assign detection rankings, identify the process or products related controls in place for each
failure mode and then assign a detection ranking to each control. Detection rankings evaluate the
current process controls in place. The Detection ranking scale, like the Severity and Occurrence
scales, is on a relative scale from 1 to 10 as shown in Table 5.1.3.
Table 5.1.3 Likely detection of failures and corresponding ranking
Rank

Occurrence

Rank

Occurrence

Extremely Likely

Moderately Low Likelihood

Very High Likelihood

Low Likelihood

[7]

High Likelihood

Very Low Likelihood

Moderately High Likelihood

Remote Likelihood

Medium Likelihood

10

Extremely Unlikely

Calculate RPN

The RPN is the Risk Priority Number. The RPN gives us a relative risk ranking. The RPN is calculated
by multiplying the three rankings together. Multiply the Severity ranking times the Occurrence ranking
times the Detection ranking. For example,
Risk Priority Number (RPN) = (Severity) X (Occurrence) X (Detection)
Calculate the RPN for each failure mode and the corresponding effect. RPN will always be between 1
and 1000. The higher the RPN, the higher will be the relative risk. The RPN gives us an excellent way
to prioritize focused improvement efforts.
[8]

Develop an action plan to address high RPNs

Develop an action plan by which reduction in the RPN. The RPN can be reduced by lowering any of
the three rankings (severity, occurrence, or detection) individually or in combination with one another.
[9]

Take action

The action plan outlines what steps are needed to implement the solution, who will do them, and when
they will be completed. Responsibilities and target completion dates for specific actions to be taken are
identified. All recommended actions must have a person assigned responsibility for completion of the
action. There must be a completion date accompanying each recommended action. Unless the failure
mode has been eliminated, severity should not change. Occurrence may or may not be lowered based
upon the results of actions. Detection may or may not be lowered based upon the results of actions. If
severity, occurrence or detection ratings are not improved, additional recommended actions must to be
defined
[10] Reevaluate the RPN after the actions are completed
This step is to confirm the action plan had the desired results by calculating the resulting RPN. To
recalculate the RPN, reassess the severity, occurrence, and detection rankings for the failure modes
after the action plan has been completed.
Tables 5.1.4 and 5.1.5 respectively show a typical worksheet and an example of failure mode and effect
analysis for typical failures of engineering components.

Table 5.1.4 Schematic worksheet for Failure mode and effect analysis (FMEA)

Table 5.1.5 An example of Failure mode and effect analysis (FMEA)

Applications and Benefits for FMEA

The Failure Modes and Effects Analysis (FMEA) procedure is a tool that has been adapted
in many different ways for many different purposes.

It can contribute to improved designs for products and processes, resulting in higher
reliability, better quality, increased safety, enhanced customer satisfaction and reduced
costs.

The tool can also be used to establish and optimize maintenance plans for repairable
systems and/or contribute to control plans and other quality assurance procedures.

It provides a knowledge base of failure mode and corrective action information that can be

used as a resource in future troubleshooting efforts and as a training tool for new engineers.

Cost effective tool for maximizing and documenting the collective knowledge, experience,
and insights of the engineering and manufacturing community for the particular product or
system

Further advancements
1. SFMEA
When FMEA is applied to interaction of parts it is called System Failure Mode and Effects
Analysis (SFMEA)
2.

DFMEA

When applied to a product it is called a Design Failure Mode and Effects Analysis (DFMEA)
3.

PFMEA

When applied to a process it is called a Process Failure Mode and Effects Analysis (PFMEA).
Exercises

Make a FMEA table for a bicycle pedal.

References

G Dieter, Engineering Design - a materials and processing approach, McGraw Hill, NY,
2000.

http://www.qualitytrainingportal.com/resources/fmea/fmea_10step_pfmea.htm
DESIGN FOR QULAITY

Instructional objectives

By the end of this lecture, the students are expected to learn how to define quality, the importance
of design for quality, and various methods that are followed to achieve the same.

Defining Quality

According to Joseph Juran, the term quality of a part (or product or component)should refer to theproduct
features that meet customers needs and satisfaction, and to avoidance from deficiencies that would minimize
the chance of failure of the part. David Garvin in 1987 also defined quality in eight basic dimensions
for a manufactured part which is outlined in Table 5.2.1 [2].
Table 5.2.1 Severity and corresponding ranks of failures

Dimensions

Description

Performance

Does the product perform to its standards? Does the product provide the
intended service?

Features

What additional benefits may be added to the product? Will there be any tangible
or non-tangible benefit?

Reliability

Is the product consistent? Will it perform well over its lifetime and perform
consistently?

Durability

How durable is the product? Will it last with daily use?

Conformance

Does your product meet with any agreed internal and national specifications?

Serviceability

Is the product easy to service?

Aesthetics

Is the product appealing to the eye?

Perceived Quality

What sort of quality perception does the marketing team want to convey in the
marketing message? Will price charged reflect the quality of the product?

Importance of Design for Quality

Design is more responsible for the quality than anything else. The designers determine the number of
component in a specific part/product, decide which are to be procured externally, design the rest of
the components and specify indirectly how they can be manufactured, determine how the parts must
be assembled, and specify the overall function of the components in the final assembled part. In other
words, the designers largely influence the entire procurement, manufacturing and assembly cycles of
any small part or large component. Although manufacturing processes are often linked to the final
quality of a part, both design and manufacturing are responsible for the final quality inherited by a
part or component. If the quality is envisaged appropriately in the design procedure, the quality in
manufacturing can also be ensured at lesser expenses and the cost of inspection reduces significantly.
This leads to the concept of Design for Quality.

Benefits of Design for Quality (DFQ)

1. The DFQ process allows the engineer to identify, plan for and manage factors that impact the
robustness and reliability of the products in the design process.
2. DFQ reduces or eliminates the cost of quality that can be envisaged as the cost incurred in the
inspection and rework, in the procurement of replacement materials. Appropriate DFQ
procedure can also avoid defects and errors, scrap, degradation of factory/machine capacity,
re-qualifications/re-certifications expenses, and overhead demands
3. Improved and consistent quality of parts provide better appeal to the customers that obviously
lead to greater stability of the manufacturing shops and can create greater amount of
opportunities.
Figure 5.2.1 schematically outlines the Demings Chain Reaction depicting salient features of design for
quality. In particular, the various factors that affects and in turn, gets influenced by design for quality are
clearly indicated in Figure 5.2.1.

Strategy

to

implement Design

for

Quality

Following are a few frequently used techniques that are used to ensure design for quality.

Understand past quality issues

The root causes of any past quality issue should be realized and resolved thoroughly with the help
of a multi-functional team having representatives from all the departments. Such a team
would brainstorm solutions not only to resolve the previous quality issues but would also

come up with new possible design ideas that might improve the quality further.

Designing the product rightly in the first time

It is always suggested to take utmost care so as to design the product right from the first time.
Further, standard manufacturing techniques must be followed so that the quality in
manufacturing can also be obtained from the first time itself. If quality is not assured by the
initial design, then expensive changes would be required in later stages of the product cycle
wasting valuable engineering resources and time.

Figure
5.2.1Schematic
design for quality

outline

of

Demings

chain

reaction

with

respect

to

Simplify the Design

Simplify the design such that the product can be built from the smallest number of parts.
Minimize

Cumulative

effect

of

Part

Quality

and

Quantity

The quality of a product or component can be approximated by the average quality level of the
parts following the expression as:

(1)
where Qp refers to the quality level of the product, Qa is the average quality level of parts and n is
the number of parts in the product. Equation (1) states that the quality of the product (the
first-pass accept rate) will be equal to the quality level of the parts to the exponent of the
number of parts assuming perfect manufacturing processing. Therefore, high-quality parts
and simplified design which give fewer parts would help to attain higher quality product. This
is also known as minimizing the exponential cumulative effect of part quality and quantity.
For example, a product consisting of 17 parts with an average quality level (Qa) of 98% would
lead to a product quality level (Qp) of
. In other words, only 70% of the
products will be good with an average quality level of the parts as 98%. This assumes perfect
factory quality. Other unforeseen factory quality problems will lower the level of product
quality even further.
Select Parts for Quality
Too often parts are selected for functionality and cost. However to ensure quality by design, parts must also
be selected for quality.
Optimize processing
Be sure that the manufacturing process selected is robust enough and can produce high quality products in
production quantities. Also automating the process can be a good option. Automated production lines
often help to produce better and more consistent quality parts / products than manual production.
Reuse Proven Design and Part
Use proven standard parts and design features that have been used successfully before and would be most
likely to minimize risk and assure quality. A key goal for the designer should be to use proven design, parts
and modules.
Document thoroughly and completely
In the rush to develop products, many designers fail to document every aspect of the design thoroughly.

Drawings, manufacturing instructions, and bills-of-material sent to the manufacturing or vendors need to
convey the design unambiguously for manufacture, tooling, and inspection. Imprecise drawings invite
misunderstandings and interpretation, which add cost, waste time, and may compromise quality.
Centralize the most current data with good product data management.
Implement incentives that reward quality
Many a times there are a lot of incentives for achieving the production deadline. Similar incentives should
be defined to meet quality standards as well.

Utilize Quality

Function

d\Deployment

Quality function deployment (QFD) can be used define products to capture the voice of the
customer the first time without the cost and risk of changing the design. QFD is a tool for
systematically translating the requirements of the customer into product design specifications and
resource prioritization. Its strength is to translate the objective and the subjective wants of the
customer into objective specifications that engineers can use to design products. The basic structure is
a table with "Whats" as the labels on the left and "Hows" across the top. The roof of the table is a
diagonal matrix of "Hows vs. Hows" and the body of the table is a matrix of "Whats vs. Hows". Both of
these matrices are filled with indicators of whether the interaction of the specific item is a strong
positive, a strong negative, or somewhere in between. Additional annexes on the right side and bottom
hold the "Whys" (market research, etc.) and the "How Much". The rankings based on the Whys and
the correlations are used to calculate priorities for the Hows. Figure 5.2.2 depicts a typical structure of a
QFD table.

Figure 5.2.2 Schematic presentation of quality function deployment (QFD) house / table [2

Figure 5.2.3 provides a physical insight how the QFD table / house can be prepared for a new part.
Figure 5.2.4 depicts a complete QFD table / house for a new part.

Figure 5.2.3 Basis of the development of quality function deployment

(QFD) house / table