Rotating Equipment Failures Root Cause Analysis

Suggested Actions Checklist

Here are some corrective, preventive and investigative actions that can help you resolve issues related to rotating equipment.

• Mechanical Failures
  • Seal Failures
    • Corrective Actions:
    • Replace damaged seals with correctly aligned and pressure-rated alternatives.
    • Adjust system pressure to meet operational specifications.
    • Verify and install seals made from appropriate materials for the operating environment.
    • Preventive Actions:
    • Conduct periodic alignment checks for rotating components.
    • Establish pressure monitoring systems with alarm thresholds.
    • Create a material selection guide for seal procurement.
    • Investigative Actions:
    • Analyze historical data for alignment and pressure-related issues.
    • Conduct failure analysis of degraded seals to determine material deficiencies.
    • Review seal installation procedures for compliance with standards.
  • Wear and Tear
    • Corrective Actions:
    • Replace fatigued components and bearings.
    • Reduce equipment loading to within safe operating limits.
    • Address vibration issues by aligning rotating parts and securing loose components.
    • Preventive Actions:
    • Implement condition monitoring for wear indicators (e.g., fatigue, vibrations).
    • Develop load management protocols and train operators accordingly.
    • Schedule regular inspections of vibration levels and alignments.
    • Investigative Actions:
    • Review past maintenance records for wear trends.
    • Conduct root cause analysis on failed components to identify overloading patterns.
    • Evaluate vibration data for signs of progressive misalignment.
  • Improper Lubrication
    • Corrective Actions:
    • Flush systems to remove contaminated lubricant and replace with clean, recommended lubricants.
    • Replenish lubricant to optimal levels as per manufacturer specifications.
    • Replace inappropriate lubricants with suitable alternatives.
    • Preventive Actions:
    • Institute lubrication audits and training for staff.
    • Install automated lubrication systems to ensure consistency.
    • Develop a lubrication compatibility chart for different equipment.
    • Investigative Actions:
    • Test lubricant samples for contamination and performance characteristics.
    • Review equipment lubrication schedules and adherence.
    • Examine storage and handling procedures for lubricants.
• Operational Issues
  • Process Variability
    • Corrective Actions:
    • Stabilize process flows by addressing upstream/downstream irregularities.
    • Adjust temperature and pressure controls to match equipment specifications.
    • Implement surge tanks or dampers to handle fluctuations in flow or pressure.
    • Preventive Actions:
    • Install real-time monitoring systems to detect and respond to process deviations.
    • Calibrate control systems regularly to maintain operational stability.
    • Train operators to manage process variability efficiently.
    • Investigative Actions:
    • Analyze incident logs for patterns in process upsets.
    • Conduct system audits to identify variability sources.
    • Validate the design capacity of equipment against actual operating conditions.
  • Operator Error
    • Corrective Actions:
    • Retrain operators on alarm response protocols and critical parameter monitoring.
    • Assign supervisors to oversee high-risk operations.
    • Update and simplify operational guidelines.
    • Preventive Actions:
    • Conduct regular competency assessments for operators.
    • Enhance operator training programs with simulations and drills.
    • Develop clear alarm escalation matrices for decision-making.
    • Investigative Actions:
    • Interview operators involved in incidents to understand gaps in training.
    • Review alarm system configurations for clarity and prioritization.
    • Audit operator logs for adherence to monitoring procedures.
  • Improper Start/Stop Procedures
    • Corrective Actions:
    • Implement proper warm-up and cooldown protocols for equipment.
    • Standardize shutdown and startup procedures with clear steps.
    • Replace components damaged due to sudden load application.
    • Preventive Actions:
    • Automate start/stop sequences where feasible.
    • Train operators on the importance of following start/stop cycles.
    • Conduct routine reviews of startup and shutdown procedures.
    • Investigative Actions:
    • Analyze incidents for deviations from standard procedures.
    • Review maintenance logs for any issues linked to improper procedures.
    • Assess whether procedural documentation is clear and accessible.
• Maintenance Practices
  • Lack of Predictive Maintenance
    • Corrective Actions:
    • Initiate predictive maintenance programs using oil analysis and vibration monitoring.
    • Conduct immediate inspections of critical components for wear or damage.
    • Upgrade maintenance tools to include thermography and condition monitoring.
    • Preventive Actions:
    • Establish a predictive maintenance schedule based on equipment criticality.
    • Train maintenance personnel on predictive maintenance technologies.
    • Regularly update predictive analytics tools and software.
    • Investigative Actions:
    • Evaluate past predictive maintenance activities for effectiveness.
    • Identify equipment with the highest risk of failure.
    • Review training records for maintenance personnel competency.
  • Improper Repairs
    • Corrective Actions:
    • Redo repairs using approved methods and trained technicians.
    • Replace parts incorrectly installed or repaired.
    • Address procedural gaps leading to improper repairs.
    • Preventive Actions:
    • Develop repair guidelines and standard operating procedures (SOPs).
    • Certify technicians for handling specific repair tasks.
    • Conduct quality audits on repairs and replacement parts.
    • Investigative Actions:
    • Review the credentials and training of technicians involved in repairs.
    • Examine repair logs for unauthorized methods.
    • Analyze recurring repair failures for systemic issues.
  • Inadequate Preventive Maintenance
    • Corrective Actions:
    • Update and prioritize overdue maintenance schedules.
    • Replace parts or components overlooked in past preventive maintenance.
    • Document a complete maintenance history for all critical equipment.
    • Preventive Actions:
    • Implement a robust preventive maintenance tracking system.
    • Schedule periodic reviews of preventive maintenance plans.
    • Train staff on documenting and executing preventive maintenance tasks.
    • Investigative Actions:
    • Audit maintenance records for missed schedules and recurring issues.
    • Identify critical equipment parts prone to neglect.
    • Evaluate the adequacy of the existing preventive maintenance program.
• Environmental Factors
  • External Vibrations
    • Corrective Actions:
    • Isolate equipment foundations to minimize seismic or resonance impacts.
    • Stabilize nearby machinery causing interference.
    • Secure equipment connections to prevent vibration transmission.
    • Preventive Actions:
    • Install vibration dampers or isolators on equipment.
    • Conduct vibration impact assessments during site planning.
    • Monitor external vibration sources periodically.
    • Investigative Actions:
    • Identify external vibration sources impacting equipment.
    • Analyze vibration patterns and their impact on equipment.
    • Review site plans for equipment placement and isolation measures.
  • Contamination
    • Corrective Actions:
    • Replace contaminated filters and clean affected equipment.
    • Improve sealing to prevent dust and debris ingress.
    • Repair or replace damaged filtration systems.
    • Preventive Actions:
    • Establish routine cleaning and filtration checks.
    • Upgrade to advanced filtration systems for corrosive environments.
    • Implement moisture and debris monitoring protocols.
    • Investigative Actions:
    • Test contamination samples for source identification.
    • Review filtration maintenance schedules.
    • Analyze environmental conditions around the equipment.
  • Temperature Extremes
    • Corrective Actions:
    • Install insulation or heating solutions for extreme temperatures.
    • Repair or replace components damaged by thermal stress.
    • Adjust operating procedures to accommodate seasonal variations.
    • Preventive Actions:
    • Use materials rated for wide temperature ranges in critical equipment.
    • Conduct regular checks for thermal expansion or contraction effects.
    • Develop operational guidelines for extreme weather conditions.
    • Investigative Actions:
    • Analyze historical temperature data and its correlation with failures.
    • Review material specifications for suitability in extreme conditions.
    • Assess the effectiveness of current temperature control measures.
• Material Defects
  • Improper Material Selection
    • Corrective Actions:
    • Replace substandard or inappropriate materials with those meeting operational requirements.
    • Upgrade to corrosion-resistant or high-temperature materials as necessary.
    • Retrofit affected equipment with properly selected components.
    • Preventive Actions:
    • Develop and enforce material selection standards during design and procurement phases.
    • Conduct compatibility testing of materials for specific operating conditions.
    • Train design and procurement teams on material specifications.
    • Investigative Actions:
    • Analyze failed components to identify material weaknesses or mismatches.
    • Review procurement records for adherence to material specifications.
    • Audit material testing procedures to ensure compliance with industry standards.
  • Material Fatigue
    • Corrective Actions:
    • Replace fatigued components with stronger, fatigue-resistant materials.
    • Strengthen susceptible areas by applying reinforcements or redesigning stressed regions.
    • Apply surface treatments or coatings to mitigate fatigue-related damage.
    • Preventive Actions:
    • Implement fatigue analysis in the design phase to anticipate stress points.
    • Schedule regular inspections to detect early signs of fatigue, such as cracks.
    • Standardize usage limits for cyclic loading to minimize fatigue risks.
    • Investigative Actions:
    • Conduct metallurgical analysis of failed components to assess fatigue progression.
    • Review operational histories for overloading or high-cycle usage patterns.
    • Evaluate design calculations for adherence to fatigue safety factors.
  • Manufacturing Flaws
    • Corrective Actions:
    • Replace defective parts such as bearings or shafts with high-quality alternatives.
    • Repair or rework substandard welds or casting imperfections using approved methods.
    • Isolate and recall defective batches from the manufacturing supply chain.
    • Preventive Actions:
    • Implement stringent quality control measures during manufacturing, including non-destructive testing (NDT).
    • Standardize vendor qualification processes to ensure adherence to specifications.
    • Maintain detailed records of manufacturing processes for traceability.
    • Investigative Actions:
    • Analyze defects for root causes, such as poor welding or casting processes.
    • Audit vendor facilities to ensure compliance with manufacturing standards.
    • Evaluate inspection and testing procedures for gaps in flaw detection.
• Design Deficiencies
  • Complex Designs
    • Corrective Actions:
    • Simplify overly complex designs to enhance reliability and maintainability.
    • Standardize designs where possible to reduce assembly errors.
    • Modify designs to provide easier access to maintenance points.
    • Preventive Actions:
    • Conduct design reviews with a focus on maintainability and standardization.
    • Train design engineers on modular and simplified design principles.
    • Use design simulation tools to identify and address complexities before production.
    • Investigative Actions:
    • Analyze design failures to pinpoint areas of excessive complexity.
    • Compare maintenance logs for patterns in failures associated with specific designs.
    • Evaluate assembly processes for errors caused by complex components.
  • Inadequate Safety Margins
    • Corrective Actions:
    • Reinforce critical systems to include sufficient redundancy and safety buffers.
    • Reassess and adjust designs to account for variability in process conditions.
    • Update designs to accommodate transient or peak load scenarios.
    • Preventive Actions:
    • Conduct comprehensive risk assessments during the design phase.
    • Include conservative safety factors in design calculations to allow for variability.
    • Regularly update design standards to reflect changes in operating conditions.
    • Investigative Actions:
    • Review equipment failures for signs of insufficient safety margins.
    • Compare operating conditions against original design specifications.
    • Analyze transient load scenarios for impact on equipment life.
  • Improper Load Calculation
    • Corrective Actions:
    • Redesign mismatched couplings and replace with appropriate alternatives.
    • Recalculate torque, speed, and capacity settings to align with actual conditions.
    • Retrofit equipment to meet correct load requirements.
    • Preventive Actions:
    • Validate load calculations during the design and procurement stages.
    • Use advanced simulation tools to test designs under various load conditions.
    • Train engineers on accurate load assessment techniques and tools.
    • Investigative Actions:
    • Audit failed components for signs of load-related stresses or improper coupling.
    • Compare real operating conditions to the assumptions made in initial load calculations.
    • Review design documentation to identify and address calculation errors.