Engineering Failure Analysis 11 (2004) 903–913

www.elsevier.com/locate/engfailanal

Failure analysis of tube–tubesheet welds in cracked gas

heat exchangers
1
Jose Luis Otegui *, Pablo Gabriel Fazzini
INTEMA – University of Mar del Plata, Welding and Fracture Division, Juan B. Justo 4302, Mar del Plata 7600, Argentina
Received 15 January 2004; accepted 30 January 2004
Available online 28 July 2004

Abstract

The causes of cracking in the closing circumferential tube–tubesheet welds of five cracked gas-steam heat exchangers
in a petrochemical plant were studied, in order to identify the mechanisms that caused the failures, to define respon-
sibilities, and to evaluate possible corrective actions. From samples extracted from the tubesheets with and without
reported failures, it was possible to analyze the morphology of the defects initiating the fractures, their interaction with
the microstructural characteristic, and the effects of possible problems related to materials, fabrication, welding,
maintenance or operation. Crack propagation was due to a mechanism of microstructural embrittlement. High
hardness in the interface between the weld and the tube base metal was found, 5 Rockwell C points higher in the failed
cold tubesheets than in the non-failed hot tubesheets analyzed. The microstructure of the cracked tubesheets did not
correspond to the quenched and tempered (Q&T) steel specified by the manufacturer. Microstructures and chemical
composition of hot and cold tubesheets were identified. Discrepancies with manufacturer’s specifications were verified,
defects in the in-field PWHT were found to be the main reason for the failures.
Ó 2004 Elsevier Ltd. All rights reserved.

Keywords: Heat-exchanger failures; Embrittlement; PWHT; Weld cracks

1. Introduction

The relevance of this analysis was defined by leaks detected in tube–tubesheet joints of five heat ex-
changers, with less than two years of operation, in a petrochemical plant. All five heat exchangers are
identical, by the same manufacturer, and put in service at the same time. A sketch of the vessels is shown in
Fig. 1. Cracked gas circulates through the tubes, from left to right in Fig. 1, and is cooled down by process
steam that circulates in the body, from right to left in Fig. 1. The fast temperature changes that the process

*
Corresponding author. Tel.: +54-223-481-6600; fax: +54-223-481-0046.
E-mail address: jotegui@fi.mdp.edu.ar (J.L. Otegui).
1
Comision de Investigaciones Cientificas de la Provincia de Buenos Aires (CIC).

1350-6307/$ - see front matter Ó 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.engfailanal.2004.01.003
904 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913

Fig. 1. Sketch of the vessels.

requires create very large thermal deformations in tubes and tubesheets, especially during the stop–start
transients. The vessel design relies on thin, flexible tubesheet, rather than in the typical thick walled
tubesheets that would result from the ASME BPVC Section VIII, Division 1 design criteria. Finite element
modelling was used to verify allowable stresses, as per Division 2 of BPVC Section VIII [1].
The cold tubesheets are defined as those placed to the left in Fig. 1, position defined as #3, where both
gas and steam are at their lowest temperatures. The hot tubesheets are placed to the right, position defined
as #4, where both gas and steam are at their lowest temperatures. The right portion of the exchangers was
assembled first and heat treated in furnace before assembling the cold tubesheets. These were heat treated
later, once the vessel was completed, with thermal blankets.
According to the construction drawings [2], design conditions are: water on the shell side; 121 bar; 246
°C, cracked gas in the tube side; 6.9 bar; 593–399 °C. The materials are: SA-213 Til in exchanger tubes, SA-
336 F11 CI2 in tubesheets. The forged tubesheets are specified to be water quenched from 995 °C, then
tempered to 730 °C and cooled down in air. The tubesheet to tube seals are circumferentially welded, with
tube expansions done before and after the tubes were welded to the tubesheet. Stress relief was specified in
all tubesheets, post weld heat treatment (PWHT) was done to 620 °C after welding the tubes, All hot
tubesheets were PWHT in furnace, but due to construction limitations, in the cold tubesheets PWHT was
done locally with electrical blankets.
Of the five heat exchangers in operation, leaks were detected in three cold tubesheets [3]. Figs. 2 and 3
show two typical shapes of the several cracks detected in the welds between the 40 mm diameter, 5 mm thick
tubes and their respective 35 mm thick tubesheet, found in a preliminary visual inspection. Perimetral and
radial cracks were observed in weld metal, see for example Fig. 2, and circumferential cracks in tube metal,
see for example Fig. 3. When inspected in more detail with magnetic particles, cracks were noticed in the
cold tubesheets of all five exchangers.
 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913 905

Fig. 2. Perimetral and radial cracks in weld metal.

Fig. 3. Circumferential cracks in tube metal.

The objective of this study is the analysis of the causes of cracking in the closing circumferential tube–
tubesheet welds of the heat exchangers, to identify the mechanisms that caused the failures, to define
possible responsibilities by the manufacturer and the operator, and to evaluate possible corrective actions.
Samples were extracted from the tubesheets with and without reported failures, and the morphology of the
defects initiating the fractures was analyzed. Fractographic and microstructural studies in optical and
scanning electron microscope were carried out, along with chemical and mechanical analyses of materials
from tubes, tubesheets and seam welds. The interaction of propagating defects with the microstructural
characteristics of base metal of tubes and tubesheets, weld metal and weld heat affected zones (HAZ) were
assessed, and the effects of possible problems related to materials, fabrication, welding, maintenance and
operation were identified.

2. Experimental procedure

Manufacturer specifications indicate 10 identical quenched and tempered (Q&T) tubesheets. Average
chemical compositions by spark spectrometry, of tube and tubesheet base metals and weld metals in
906 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913

samples extracted from all five heat exchangers investigated, are summarized in Table 1. All materials
chemical composition comply with the manufacturer’s specifications, which are correct for the type of
service sought. The specified post weld heat treatment (PWHT) of both tubesheets (cold and hot sides of the
exchanger) is within the ASME parameters for a steel P4, although the specified parameters of the PWHT
of the cold tubesheets are very near the lower acceptable temperature limit. The different compositions
between the two tubesheets of El43 are probably due to some error, taking into account the scarce material
surface available.
Micrographic examination was done according to ASTM E3–E407. Fig. 4 (5) shows as an example the
polished and Nital 2% etched cross section of a sample taken from one of the cracked tube to tubesheet
joints. The outer surface of the tubesheet is seen on the top of the figure, the side and bottom ends of the
sample are the cuts done to extract the sample. The two straight crevices indicate the outer wall surfaces of
adjacent tubes. The material to the right and left of the figure is tube metal, at the bottom there is a small
amount of tubesheet base metal, the central and upper part of the sample is weld metal. Note the bands that
indicate the limits between weld metal, HAZ and base metals. Other similar samples were dry cut and
polished to avoid contaminations, for inspection in the scanning electron microscope (SEM). Some gaps
between tube and tubesheet were found open, but in 50% of the evaluated samples an adequate sealing due
to the strong expansion specified in the design is observed.
Table 2 shows micro hardness measurements in base, HAZ and weld materials. Some interesting dif-
ferences are systematically observed in hardness values of weld metal and HAZ, which are discussed later.

Table 1
Chemical composition of materials of cold and hot tubesheets
Material C (%) Si (%) Mn (%) P (%) S (%) Cr (%) Ni (%) Mo (%) Cu (%)
Cold tubesheet 2 0.187 0.43 0.46 0.011 0.001 0.89 0.003 0.54 0.056
Cold tubesheet 3 0.105 0.48 0.70 0.014 0.007 1.15 0.043 0.63 0.046
Cold tubesheet 5 0.159 0.47 0.49 0.011 0.003 0.94 0.033 0.55 0.060
Hot tubesheet 2 0.150 0.42 0.50 0.013 0.001 0.93 0.003 0.54 0.051
Hot tubesheet 3 0.166 0.50 0.50 0.011 0.003 0.94 0.034 0.56 0.060
Hot tubesheet 4 0.153 0.45 0.50 0.012 0.003 0.97 0.030 0.56 0.060
Hot tubesheet 5 0.144 0.46 0.47 0.011 0.003 0.92 0.031 0.54 0.059

Manufacturer’s certification 0.11 0.53 0.47 0.006 0.002 1.02 0.55

Fig. 4. (5) Cross section taken from tube to tubesheet joints.

 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913 907

Table 2
Micro hardness converted to Rockwell C for base, HAZ and weld materials
Material HRC hardness
Tubesheet Tube HAZ Weld metal
Cold tubesheet 1 <22 23 29.5 23
Cold tubesheet 2 23 23 32 30
Cold tubesheet 2 <20 <20 33 30
Cold tubesheet 4 – <20 29 28
Cold tubesheet 5 <20 <20 29 30
Hot tubesheet 2 <20 <20 29 32
Hot tubesheet 3 <20 <20 26 28
Hot tubesheet 4 20 <20 27 28
Hot tubesheet 5 <20 20 29 26

Semi quantitative EDAX micro analysis was used to identify the composition of deposits in the small
branches of the main cracks and small phases in the materials. Two types of deposits are observed inside the
cracks, one white in the open part of the crack and in most of the cracks dark organic deposits. These
deposits are believed to be due to the cutting processes of samples. Na, Cu or other contaminants that could
have been introduced by the steam were not detected in relevant quantities.
Fig. 5 (500) shows the typical microstructure of all cold tubesheets. The microstructure is ferritic
pearlitic. Pearlite is partially globulized, similar microstructures are also found in all tubes analyzed.
Contrasting, Fig. 6 (500) shows the typical microstructure of all hot tubesheets. The microstructure is
much finer with acicular components. This corresponds to a bainitic type of microstructure, that should be
expected for the specified Q&T steel. The HAZ shows in all cases a bainitic or martensitic structure, in-
dicative of high hardness and low ductility. Very marked grain boundaries are observed, that indicate high
segregation levels, see for example Fig. 7 (200). Fig. 8 (500) shows details of these grain boundaries.
Segregations are much less marked in the HAZ of the hot tubesheets.
The initiation of the cracks took place in the area of the weld root, in the bottom of the crevices between
tube and tubesheet. This site is submerged in the steam side of the tubesheet. Propagation of the cracks is
strongly influenced by the microstructural and mechanical characteristics of the weld HAZ, in both tube
and tubesheet metals. Three typical cracks in the cold tubesheets are shown in Fig. 9 (20), Fig. 10 (100)
and Fig. 7 (200). The tube–tubesheet crevice shown in Fig. 6 has a notably circular vertex. The interaction

Fig. 5. (500) Typical microstructure of all cold tubesheets.

908 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913

Fig. 6. (500) Typical microstructure of all hot tubesheets.

of the main and secondary cracks with the microstructure can be observed in the figures. All cracks initiate
at the bottom of the tube–tubesheet crevice, this is, in weld metal. They propagate for the most part in thick
grained HAZ and fused area of tube and tubesheet materials, following grain boundaries. The cracks open
up in different directions, towards and backwards the direction of the general advance of the fracture.
Of all the analyzed tube joints in the hot tubesheets, only one showed a small crack in the bottom of the
crevice in the tube–tubesheet joint, see Fig. 11 (500). The tight crevice is shown vertical to the left of the
figure, the tubesheet material is to the right side. Note that the cracks initiated 0.25 mm far from the weld
root, ant propagate normal to the tube axis, into the tubesheet HAZ. Another type of cracks at crevice tips
can be seen in the example of Fig. 12 (200). These are very short and open cracks. Their rounded tips
indicate that their origin is associated with plastic deformations and that they were not growing in service.
These cracks have probably originated during the solidification of the root pass or later during tube ex-
pansion, related with high constraint stresses.

3. Discussion of results

Microstructures and chemical composition of hot and cold tubesheets were identified. No discrepancies
with manufacturer’s specifications were found in chemical compositions, see Table 1, but marked differ-
ences in the microstructures of cold and hot tubesheets have been found, which can have an important
contribution to the occurrence of the failures.
According to the data provided by the manufacturer, the 10 tubesheets of the five exchangers were
manufactured in similar conditions, Q&T. The bainitic morphology of base material microstructures in the
hot tubesheets analyzed matches adequately the Q&T manufacturer’s specification. On the other hand, in
all five cold sheets analyzed a ferritic matrix microstructure corresponding to lower cooling rates is found.
This microstructure, constituted by equiaxed grains of ferrite and bainite/pearlite, is characteristic of a 1.25
Cr–0.5 Mo steel in an annealed condition. The differences are probably due to a PWHT different from the
ones in the hot sheets. Apparent deviations in the cold sheet PWHT involve a PWHT temperature that is
too high, followed by a cooling rate also too high. Both facts are compatible with a systematic error in
temperature measurements.
It was found that the cracks initiated at the root of the welds, and propagated in tube and weld metals,
mostly through the HAZ. Numerous cracks, initiating in correspondence of the open tube/tubesheet in-
terstice, have been found. The mentioned cracks include both tubes and tubesheet, and are generally
characterized by intergranular path and branches. Few minor cracks, also starting from the tube to
 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913 909

Fig. 7. (200) High segregation levels in grain boundaries.

tubesheet interstice, including only the tubesheet, present a different morphology, characterized by a radial
orientation, a straight transgranular path, also containing corrosion products, typical of a corrosion-fatigue
rupture.
The small cracks noticed in the transition between weld and HAZ metals in some of the hot tubesheets
oriented perpendicularly to the tubes, and were arrested upon entering the tougher base material. Some
show signs of severe plasticity at their tips. These characteristics indicate that the cracks were caused by
high longitudinal stresses in the tubes, sometime during the equipment construction or start up.
Crack propagation is highly influenced by the microstructural and mechanical characteristics of the
HAZ of the tube and tubesheet metals. The characteristic of crack propagation enables to define a mi-
crostructural embrittlement mechanism. Low ductility and toughness in the HAZ of the cold tubesheets has
910 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913

Fig. 8. (500) Details of grain boundaries.

Fig. 9. (20) Typical cracks in the cold tubesheets.

prevented them from supporting stresses due to weld cooling, post weld expansion, and subsequent op-
eration. High residual stresses in tubesheet to tube welds (not fully stress relieved), and high in-service
applied mechanical stresses contributed to the damage.
Attention is paid to the chemical cleaning, degreasing and passivation prior to service of the exchangers.
Degreasing was done with a 2.8% solution of NaOH. Fig. 13 shows typical propagation rates of cracks
by caustic stress corrosion, as a function of applied stress. In general, the propagation is from 10 7 to
10 6 cm/s [4]. These rates imply that a crack like the ones seen would grow during 2–3 months, about the
service time of the exchangers. Chemical species (especially Na) normally related with problems due to
water chemistry, such as the caustic attack mechanism, are not present neither in the deposits nor within the
metal near the crack. Copper (Cu) has been detected in the cracks, but in quantities that allow to discard
the mechanism of solder brittleness as the probable cause of failure [5]. The absence of corrosion products
could be due to erosion phenomena following water leakage. But no Na traces were found in the small
intergranular branches, even in carefully dry cut samples. The mechanism of caustic attack from the
degreasing operation performed on the exchangers before service is therefore discarded.
The drop in ductility and toughness in the HAZ of the cold tubesheets has prevented them from sup-
porting the stresses due to the cooling of the weld, the post weld tube expansion, and later operational
pressure and temperature gradients. The high hardness in the interface between weld and tube HAZ
confirms the microstructural embrittlement hypothesis. This hardness is 5 Rockwell C points greater in the
 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913 911

Fig. 10. (100) Cracks in the cold tubesheets.

Fig. 11. (500) Small crack in the bottom of the crevice in the tube–tubesheet joint.
912 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913

Fig. 12. (200) Cracks at crevice tips.

Fig. 13. Typical propagation rates of cracks by caustic stress corrosion, as a function of applied stress.

failed tubesheets than in the analyzed non-failed hot tubesheets. Micro hardness tests resulted in 295 HV
for the T11 tube HAZ and 290 HV for the tubesheet HAZ. Hardness of stress revealed that T11 and F11
welds must be lower than 270 HV, according to the fabrication Code. Therefore, HAZ hardness values
 J.L. Otegui, P.G. Fazzini / Engineering Failure Analysis 11 (2004) 903–913 913

denote scant effectiveness of the stress relieving treatment [6]. Hardness in HAZ of hot sheets is less than
that in the cold sheets, showing more effective PWHT.
As long as the operation stresses do not exceed certain levels, it is possible that the cracks in hot
tubesheets are kept without propagating, or do so at a much lower rate than those that led them to their
current size. On the other hand, the cold sheets are seriously damaged. The evidence leads us to the
conclusion that there are cracks in all cold and hot tubesheets of the heat exchanger, though probably most
of these cracks might not cause leaks in the hot tubesheets.

4. Conclusions

There are cracks in all cold and hot tubesheets of the heat exchanger. Cracks in hot tubesheets are not
expected to propagate in service, but the cold sheets are seriously damaged.
The interstice between tubesheet and tube is in some cases open, indicating that the seal set by design is
not always successful. Many through cracks in cold sheets start in the crevice between tubesheet and tube,
with a wide rectilinear trace. Numerous minor cracks have been found, initiating at the tube/tubesheet
interstice. These cracks include tube and tubesheet, and are generally characterized by a branched, inter-
granular trace.
Most cracks imitated at the root of the welds, in the bottom of the crevice between tube and tubesheet.
Their propagation is highly influenced by the microstructural and mechanical characteristics of the HAZ.
The characteristics of the propagation allow us to define a microstructural embrittlement mechanism. The
high residual tensile stresses in the tube–tubesheet welds, derived from an ineffective PWHT, and high
mechanical service loads, enabled the propagation of the cracks.
The morphology of the bainitic microstructure in base material of hot sheets matches adequately the
Q&T specification of the manufacturer. On the other hand, the ferritic matrix microstructure found in all
cold sheets does not correspond to the manufacturer’s Q&T specified steel. The chemical compounds
normally related with problems in water chemistry, especially the caustic attack mechanism, are not present
neither in the deposits nor in metals near the cracks. This mechanism should be discarded.

Acknowledgements

This research work was funded by PICT 12-04586 (Agencia de Promocion Cientıfica), CONICET
(Consejo Nacional de Investigaciones Cientıficas y Tecnicas), and Comision de Investigaciones Cientificas
de la provincia de Buenos Aires (CIC), Republica Argentina. The authors thank Armando Sanchez and
Alberto Duranti, from Dow Co., for their valuable contributions to this work.

References

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Argentina, 2001.
[4] Atkins PW. Physical chemistry. fourth ed. Oxford Press; 1990.
[5] Naumann FK, Spies F. Boiler tube cracked during bending. In: ASM failure analysis library. Materials Park, OH, USA: ASM
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[6] AWS Welding Handbook. Vol. 4, Materials and applications, Part 4. 8th ed. Miami, USA: American Welding Society; 1998.