Handbook of Residual Stress and Deformation of Steel

2002 ASM International. All Rights Reserved. www.asminternational.
org
Handbook of Residual Stress and Deformation of Steel (#06700G)
Handbook of Residual Stress

and
Deformation of Steel
Edited by
G. Totten
M. Howes
T. Inoue
Materials Park, Ohio 44073-0002

www.asminternational.org
2002 ASM International. All Rights Reserved. www.asminternational.org
Copyright 2002
by
ASM International
All rights reserved
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Library of Congress Cataloging-in-Publication Data

Handbook of residual stress and deformation of steel/[edited by] G. Totten, M. Howes, T. Inoue.
p. cm.
Includes bibliographical references and index.
1. SteelFatigueHandbooks, manuals, etc. 2. Residual stressesHandbooks, manuals, etc. I. Totten,
George E. II. Howes, Maurice A.H. III. Inoue, Tatsuo, 1939-
TA473 .H3215 2001

620.176dc21 2001040042
ISBN: 0-87170-729-2
SAN: 204-7586
ASM International
Materials Park, OH 44073-0002
www.asminternational.org
Printed in the United States of America
Multiple copy reprints of individual articles are available from Technical Department, ASM International.
Preface
Control of steel deformation is one of the most steels, influence of residual stresses on cyclic determination in Coatings provides a guide for
common concerns within the metals processing formation behavior, influence of residual stresses measuring residual macrostress in coatings, Spe-
industry. Numerous surveys have been con- on crack initiation and propagation, and effect of cific topics include origin of residual stresses in
ducted by various organizations in recent years residual stresses on S-N curves; an overview of coatings and residual stress measurement meth-
to assess the critical needs of the industry. In modeling of the effect of residual stresses on fa- ods including the deflection method, x-ray dif-
nearly every survey that has been conducted, dis- tigue behavior is provided. fraction, and hole-drilling. A comparison of
tortion is either the greatest or second greatest The next article provides an overview of the these methods is provided.
concern among the steel heat treating commu- stability and relaxation behavior of macro and The last article in this section provides a de-
nity. Steel distortion control will exhibit tremen- micro residual stresses in steel due to thermal tailed review of methods used to measure and
dous effects on the profitability of the commer- and mechanical treatments. This discussion in- subsequent data analysis of inhomogeneous re-
cial enterprise. Therefore, it is not surprising that cludes relaxation of residual stresses by anneal- sidual stress fields. This discussion includes re-
the ability to understand the overall distortion ing, residual stress relaxation by uniaxial defor- sidual stress as an inverse problem of experi-
process and to be able to design solutions to this mation, and relaxation by cyclic deformation. mental mechanics, indicator crack method of
problem typically rank very high on these same Hydrogen embrittlement of metals, as well as measuring residual stress, arbitrary cut-out in-
surveys. other types of brittle fracture, result from nucle- dicator method, and experimental methods and
In view of the enormous visibility and impor- ation and development of micro-cracks caused equipment including photoelastic coating
tance of steel deformation problems, the editors by internal stresses. The last article in this sec- method, and optical interferometry. Although
decided to put together an engineering handbook tion provides an overview of the effect of resid- this is a relatively rigorous numerical discussion,
on steel deformation. To address this subject ual stress on hydrogen embrittlement and stress practical examples also are provided.
properly, contributing factors to overall steel de- corrosion cracking (SCC) of steel. This discus- Residual Stress Formation in the Shaping of
formation problems, including material effects, sion includes the effect of hydrogen on structure Materials contains four articles. The first article
machining, heating and cooling, must be exam- and transformation of steel, types of hydrogen covers residual stress in the steel forming pro-
ined. embrittlement, delayed fracture in steel, crack cesses. The steel forming processes included are
This handbook contains 27 articles, divided initiation and growth, SCC of low alloy steels, cold forming such as wire drawing, and hot
into five sections: Effect of Materials and Pro- crack initiation and growth mechanism of SCC forming such as extrusion, rolling, and forging.
cessing, Measurement and Prediction of Resid- processes, methods of estimating sensitivity to The effects of residual stresses involved in these
ual Stress and Distortion, Residual Stress For- SCC, effect of alloying elements on resistance processes are reviewed, and specific topics in-
mation in the Shaping of Materials, Residual to SCC, and the role of structure and thermal clude residual stress in cold metal forming such
Stress During Hardening Processes, and Resid- processing in SCC. as bending of sheet, drawing of wire, rod, and
ual Stress Formation During Manufacturing Pro- In the section Measurement and Prediction of tube, and residual stresses in deep drawn cup,
cesses. Residual Stress and Distortion, the first article sunk tubes, and radial forging products.
There are five articles in the section Effect of describes a number of simple, inexpensive de- The effect of final shaping prior to heat treat-
Materials and Processing. Material Factors flection (dissection) methods used to estimate re- ment on residual stress formation is discussed in
discusses the effects of various material proper- sidual stress of various types of components. The the next article. The effects of shaping processes
ties such as thermal properties and the interac- methods include Almen strip; Navy C-Ring; including grinding, milling, turning, shot peen-
tions of residual stresses on the transformation plate or bar slitting and deflection; tube slitting ing, and straightening on residual stress are dis-
products formed and steel deformation during and opening; and bending of bars, H-beams, and cussed. Also discussed is distortion after final
fabrication. Transformation plasticity is dis- channels. part shaping and experimental and computa-
cussed in some detail along with the use of mod- The next article provides an overview of re- tional studies of these processes.
eling to better understand these processes. sidual stress measurement methods. Topics in- The next article provides a practical overview
Prestress Engineering of Structural Material clude residual stresses arising from various of the factors affecting residual stress and dis-
provides a global design approach to understand- manufacturing processes, measurement methods tortion during final part shaping. Included are
ing the effects of residual stress generated during including strain measuring technique, post-stress discussions of influence of component shape on
surface engineering manufacturing processes relaxation measurement, sectioning and material heat treatment distortion, the effect of cross-
such as PVD and CVD on the material properties removal methods. In addition, strain measure- section size and asymmetry, effect of heat treat-
obtained. Some of the topics discussed in this ment methods such as x-ray and neutron diffrac- ing procedure and machining process on final
chapter include developments in the measure- tion, ultrasonic, birefringent and laser, optical component shape, effect of sequence of heat
ments of residual stresses, advanced mechanical gages, brittle coatings, Barkhausen noise, and treating and machining, influence of machining
surface treatments, and modeling of fatigue be- chemical coatings are discussed. Semidestruc- allowance and stress relieving procedure, influ-
havior taking residual stresses into considera- tive methods such as blind hole drilling and ring ence of residual stresses caused by cutting, meth-
tion. coring are discussed. ods of manufacturing blanks and effect of origi-
The effect of residual stresses on fatigue be- Measurement of residual stresses in coatings nal structure, hot-rolled steels or forgings and
havior is discussed in detail in the next article. and thin films is important because their influ- effect of banded segregation and carbide segre-
Examples of topics discussed include stability of ence on mechanical and physical properties af- gation, influence of heat treating methods, the
residual stresses, some aspects of fatigue in fect component service performance. Stress De- effect of heating including the rules of heating,
vi
G.M. Webster V.V. Zabilsky W. Zinn

Union Carbide Corporation Physical Technical Institute, Ural Branch of Institut fur Werkstofftechnik
Tarrytown, NY USA RAS Universitat Kassel, Germany
Ijevsk, Russia
W. Wubbenhorst
Metal Improvement Company, Inc.
Unna, Germany
iv
Contents
Preface ........................................................................... vi Residual Stress During Hardening Processes
Effect of Materials and Processing Residual Stresses in Carburized, Carbonitrided,

and Case-Hardened Components ........................................ 189
T. Reti
Material Factors .................................................................. 3
H.K.D.H. Bhadeshia
Residual Stresses in Nitriding............................................... 209
Z. Kolozsvary
Prestress Engineering of Structural Material:
A Global Design Approach to the Residual Stress Problem ..........11 Induction Hardening.......................................................... 220
J. Lu J. Grum
Residual Stresses and Fatigue Behavior.....................................27 Hardening by Reheating and Quenching .................................. 248
D. Lohe, K.-H. Lang, and O. Vohringer M. Narazaki, G.E. Totten, and G.M. Webster
Stability of Residual Stresses .................................................54 Metallo-Thermo-MechanicsApplication to Quenching ................ 296

D. Lohe and O. Vohringer T. Inoue
Control of Residual Stress Formation and Steel Deformation

Effect of Residual Stress on Hydrogen Embrittlement
during Rapid Heating and Cooling...................................... 312
and Stress Corrosion Cracking.............................................70
N.I. Kobasko, V.S. Morganyuk and V.V. Dobrivecher
A.I. Kovalev, V.P. Mishina, D.L. Wainstein, and V.V. Zabilsky
Effect of Cryogenic Cooling on Residual Stresses, Structure,
Measurement and Prediction of Residual Stress and Distortion and Substructure ........................................................... 331
Ioan Alexandru and Vasile Bulancea
Deflection Methods to Estimate Residual Stress ...........................89
H. Walton Inducing Compressive Stresses through Controlled Shot Peening .... 345
J. Kritzler and W. Wubbenhorst
Measurement of Residual Stresses ...........................................99
C. Ruud Residual Stress Formation During Manufacturing Processes
Residual Stress Formation during Casting ................................ 361

Stress Determination in Coatings........................................... 118
R.W. Lewis, K.N. Seetharamu and A.Y. Hassan
J.Albert Sue and Gary S. Schajer
Residual Stress Formation during Casting:
Methods for Determination of Inhomogeneous Residual Continuous and Centrifugal Casting Processes........................ 372
Stress Fields ................................................................ 125 D.-Y. Ju
I.A. Razumovsky, M.V. Medvedev, and A.V. Fomin
Residual Stress Formation Processes during Welding and Joining.... 391
Residual Stress Formation in the Shaping of Materials W. Zinn and B. Scholtes
Residual Stress in the Forming of Materials.............................. 141 Residual Stresses in Powder-Metal Processing........................... 397
Z. Wang and B. Gong P. Ramakrishnan
Residual Stress Formation and Distortion of Rail Steel................. 424

The Effect of Final Shaping Prior to Heat Treatment ................... 150 F.D. Fischer and G. Schleinzer
T. Ericsson
Residual Stresses during Gear Manufacture .............................. 437
Factors Affecting Final Part Shaping ...................................... 159 K. Funatani
P. Jiansheng
Metric Conversion Guide .................................................. 459
Effects of Process Equipment Design...................................... 183
F.T. Hoffmann, T. Lubben, R. Hoffmann, and K. Hee Index ........................................................................... 465
v
Preface
Control of steel deformation is one of the most steels, influence of residual stresses on cyclic determination in Coatings provides a guide for
common concerns within the metals processing formation behavior, influence of residual stresses measuring residual macrostress in coatings, Spe-
industry. Numerous surveys have been con- on crack initiation and propagation, and effect of cific topics include origin of residual stresses in
ducted by various organizations in recent years residual stresses on S-N curves; an overview of coatings and residual stress measurement meth-
to assess the critical needs of the industry. In modeling of the effect of residual stresses on fa- ods including the deflection method, x-ray dif-
nearly every survey that has been conducted, dis- tigue behavior is provided. fraction, and hole-drilling. A comparison of
tortion is either the greatest or second greatest The next article provides an overview of the these methods is provided.
concern among the steel heat treating commu- stability and relaxation behavior of macro and The last article in this section provides a de-
nity. Steel distortion control will exhibit tremen- micro residual stresses in steel due to thermal tailed review of methods used to measure and
dous effects on the profitability of the commer- and mechanical treatments. This discussion in- subsequent data analysis of inhomogeneous re-
cial enterprise. Therefore, it is not surprising that cludes relaxation of residual stresses by anneal- sidual stress fields. This discussion includes re-
the ability to understand the overall distortion ing, residual stress relaxation by uniaxial defor- sidual stress as an inverse problem of experi-
process and to be able to design solutions to this mation, and relaxation by cyclic deformation. mental mechanics, indicator crack method of
problem typically rank very high on these same Hydrogen embrittlement of metals, as well as measuring residual stress, arbitrary cut-out in-
surveys. other types of brittle fracture, result from nucle- dicator method, and experimental methods and
In view of the enormous visibility and impor- ation and development of micro-cracks caused equipment including photoelastic coating
tance of steel deformation problems, the editors by internal stresses. The last article in this sec- method, and optical interferometry. Although
decided to put together an engineering handbook tion provides an overview of the effect of resid- this is a relatively rigorous numerical discussion,
on steel deformation. To address this subject ual stress on hydrogen embrittlement and stress practical examples also are provided.
properly, contributing factors to overall steel de- corrosion cracking (SCC) of steel. This discus- Residual Stress Formation in the Shaping of
formation problems, including material effects, sion includes the effect of hydrogen on structure Materials contains four articles. The first article
machining, heating and cooling, must be exam- and transformation of steel, types of hydrogen covers residual stress in the steel forming pro-
ined. embrittlement, delayed fracture in steel, crack cesses. The steel forming processes included are
This handbook contains 27 articles, divided initiation and growth, SCC of low alloy steels, cold forming such as wire drawing, and hot
into five sections: Effect of Materials and Pro- crack initiation and growth mechanism of SCC forming such as extrusion, rolling, and forging.
cessing, Measurement and Prediction of Resid- processes, methods of estimating sensitivity to The effects of residual stresses involved in these
ual Stress and Distortion, Residual Stress For- SCC, effect of alloying elements on resistance processes are reviewed, and specific topics in-
mation in the Shaping of Materials, Residual to SCC, and the role of structure and thermal clude residual stress in cold metal forming such
Stress During Hardening Processes, and Resid- processing in SCC. as bending of sheet, drawing of wire, rod, and
ual Stress Formation During Manufacturing Pro- In the section Measurement and Prediction of tube, and residual stresses in deep drawn cup,
cesses. Residual Stress and Distortion, the first article sunk tubes, and radial forging products.
There are five articles in the section Effect of describes a number of simple, inexpensive de- The effect of final shaping prior to heat treat-
Materials and Processing. Material Factors flection (dissection) methods used to estimate re- ment on residual stress formation is discussed in
discusses the effects of various material proper- sidual stress of various types of components. The the next article. The effects of shaping processes
ties such as thermal properties and the interac- methods include Almen strip; Navy C-Ring; including grinding, milling, turning, shot peen-
tions of residual stresses on the transformation plate or bar slitting and deflection; tube slitting ing, and straightening on residual stress are dis-
products formed and steel deformation during and opening; and bending of bars, H-beams, and cussed. Also discussed is distortion after final
fabrication. Transformation plasticity is dis- channels. part shaping and experimental and computa-
cussed in some detail along with the use of mod- The next article provides an overview of re- tional studies of these processes.
eling to better understand these processes. sidual stress measurement methods. Topics in- The next article provides a practical overview
Prestress Engineering of Structural Material clude residual stresses arising from various of the factors affecting residual stress and dis-
provides a global design approach to understand- manufacturing processes, measurement methods tortion during final part shaping. Included are
ing the effects of residual stress generated during including strain measuring technique, post-stress discussions of influence of component shape on
surface engineering manufacturing processes relaxation measurement, sectioning and material heat treatment distortion, the effect of cross-
such as PVD and CVD on the material properties removal methods. In addition, strain measure- section size and asymmetry, effect of heat treat-
obtained. Some of the topics discussed in this ment methods such as x-ray and neutron diffrac- ing procedure and machining process on final
chapter include developments in the measure- tion, ultrasonic, birefringent and laser, optical component shape, effect of sequence of heat
ments of residual stresses, advanced mechanical gages, brittle coatings, Barkhausen noise, and treating and machining, influence of machining
surface treatments, and modeling of fatigue be- chemical coatings are discussed. Semidestruc- allowance and stress relieving procedure, influ-
havior taking residual stresses into considera- tive methods such as blind hole drilling and ring ence of residual stresses caused by cutting, meth-
tion. coring are discussed. ods of manufacturing blanks and effect of origi-
The effect of residual stresses on fatigue be- Measurement of residual stresses in coatings nal structure, hot-rolled steels or forgings and
havior is discussed in detail in the next article. and thin films is important because their influ- effect of banded segregation and carbide segre-
Examples of topics discussed include stability of ence on mechanical and physical properties af- gation, influence of heat treating methods, the
residual stresses, some aspects of fatigue in fect component service performance. Stress De- effect of heating including the rules of heating,
vi
quenching and system design, tempering, and metallo-thermo-mechanics and numerical simu- first part describes manufacturing of ferrous P/
equipment and racking. lation methodology with practical examples. M parts including powder characteristics, com-
A more focused, but practical, discussion on In the article on the control of residual stress paction in rigid dies, isostatic compaction, sin-
the effect of process equipment design on dis- formation and steel deformation during rapid tering, heat treatment of P/M parts, hot pressing,
tortion follows. Subjects that are covered include heating and cooling, a particular emphasis is on roll compaction, powder forging, metal injection
distortion generating process equipment, meth- intensive quenching. This is the first detailed, molding, spray forming, warm compaction, and
ods that may be used to minimize equipment- article-length discussion of this old, but little- rapid prototyping. The second part discusses re-
related distortion, quench system design, and known technology in the western world. Topics sidual stresses in P/M processing including
press quenching. include mathematical model for calculation of powder production, compaction of metal pow-
Residual Stress During Hardening Processes thermal and stress-strain state, computation of ders, sintering of metal powders, pressure sin-
contains eight articles. The first article provides stress-strain state, possibility of predicting hard- tering and hot isostatic pressing, heat treatment
a detailed discussion on the residual stresses in ening cracks, predicting the deformation of bear- of P/M parts, and microstructural development
carburized, carbonitrided, and case-hardened ing rings during hardening, thermal stresses and properties.
components. Topics include process considera- formed in carburized steel products due to ex- Residual Stress Formation and Distortion of
tions for carburized and carbonitrided compo- cessive cooling rates, generalization of compu- Rail Steel covers the cooling process including
nents, transformations and stress evolution in tational and experimental results for heating and the cooling boundary conditions and heat trans-
carburized and case-hardened components, ef- cooling of parts with different geometries and fer, residual stress state analysis, weight and fric-
fect of heat treating operations on residual stress thermal and physical fundamentals of processing tionthe rail end problem, experimental results;
distribution, relationship between residual of high-strength materials. roller straightening including residual stresses in
stresses and properties of carburized parts and An often contradictory subject is the cryo- unused roller-straightened rails, behavior of rail
modeling and prediction of residual stress field. genic processing of steels, and the detailed over- steel under plastic deformation, simulation of
The article on residual stresses in steel nitrid- view of the effect of cryogenic cooling on resid- roller straightening; and rails in service includ-
ing includes a discussion of nitrided layer struc- ual stress is presented here. Specific topics ing residual stresses due to welding and residual
ture as a function of nitriding process, residual include role of residual stresses within marten- stress formation in rolling contact.
stresses in nitrided layers, influence of residual sitic transformation at cryogenic temperatures, The last article provides a detailed description
stresses on fatigue behavior of nitrided steel evaluation of residual stresses after cryogenic of residual stress formation during hypoid gear
components, and modeling and prediction of re- cooling, influence of cryogenic cooling on resid- manufacture. It includes an overview of residual
sidual stresses in nitrided steel components. ual stresses and dimensional stability of steels, stress formation in carburized and hardened
The article on residual stress formation in in- and influence of cryogenic cooling on the struc- work, profiles and peak magnitudes of residual
duction hardening processes include an over- ture and substructure of steels. stresses, measurement methods including the
view of the induction hardening process and The practical use of controlled shot peening Sachs hole-drilling method, x-ray and neutron
steels used for this process, magnetic flux con- to induce compressive residual stresses is de- diffraction, influence of steel properties on resid-
centrators, conditions in induction heating and scribed in detail next. This discussion includes a ual stresses, influence of carburizing process pa-
quenching of machine parts, residual stress sur- historic overview of shot peening, elementary rameters on residual stress formation, benefits of
face profiles after induction surface hardening, processes of shot peening, workpiece and ma- residual stresses on fatigue strength, and the ef-
stress profiles in the machine part in the loaded terial process parameters, process monitoring, fects of hardness, case depth, intergranular oxi-
state, workpiece distortion in induction surface process optimization, x-ray diffraction, and in- dation, influence of shot peening, change of re-
hardening, induction surface hardening of gear dustrial examples. sidual stresses during fatigue, and distortion of
wheels, fatigue strength of materials, and resid- In Residual Stress Formation During Manu- carburized and hardened steels.
ual stresses after induction surface hardening and facturing Processes, the first article includes an The preparation of a text of this scope was a
finish grinding. extensive discussion of residual stress and de- tremendous task. The editors are deeply indebted
The next article provides an overview of re- formation problems arising from the casting pro- to many colleagues for their patience, support,
sidual stresses and distortion resulting from re- cess, and modeling of residual stress formation and assistance; without them this text would not
heating and quenching. Topics include phase during casting. Discussion includes finite ele- have been possible. Special thanks go to the
transformation during heat treating including ment analysis of heat flow during casting, for- ASM staff who often labor in the background
steel transformations, TTT and CCT diagrams, mulation of the elasto-viscoplastic stress model, but who are vital members of the team. Particu-
metallurgical crystal structure, estimation of vol- and deformation of a solidifying material. larly, thanks go to Veronica Flint and Carol Ter-
umetric change due to steel transformation upon The next article describes residual stress for- man of ASM International for their help and en-
quenching, cooling of steel with and without mation during the casting process, and it in- couragement.
metallurgical transformation, tempering, basic cludes continuous and centrifugal casting. Top- Very special thanks go to our families for their
distortion mechanism, relief of residual stresses, ics discussed include inelastic behavior and seemingly unending support. Without their un-
material movement due to thermal gradients dur- unified constitutive theory of metallic material derstanding and encouragement, this project
ing heating and cooling, material, component in solidification, analytical method of the would never have been completed.
and process effects, retained austenite, quench thermal-mechanical problem for the casting pro- George E. Totten, Ph.D., FASM
severity and uniformity and process design ef- cess, residual stress formation during semicon- Editor
fects on distortion, quench distortion and crack- tinuous casting, residual stress formation during G.E. Totten & Associates Inc.
ing, quenchant selection, measurement and eval- centrifugal casting, and residual stress formation Stony Point, NY USA
uation of quenching power, estimation of heat during strip casting by the twin-roll method.
transfer coefficient, wetting behavior and non- The origin and assessment of residual stresses Prof. Maurice A.H. Howes, Ph.D. (Retired)
uniform quenching, surface conditions, and during welding or brazing is discussed next. Editor
quench process modeling and simulation of re- Welding residual stresses are discussed includ- Worcestershire, England
sidual stress and distortion after quenching. ing residual stresses due to shrinkage, quench- Prof. Tatsuo Inoue, Ph.D., FASM
A detailed approach to modeling and simula- ing, and phase transformations. Characteristic Editor
tion of residual stress and distortion applied to residual stress distributions in brazed compo- Department of Energy Conversion Science
quench processing follows. This discussion is nents is also discussed. Faculty of Energy Science
based on a metallo-thermo-mechanics approach, The article Residual Stresses in Powder Kyoto University
and topics discussed include an overview of Metal Processing is divided into two parts. The Kyoto, Japan
vii
Handbook of Residual Stress and Deformation of Steel Copyright 2002 ASM International
G. Totten, M. Howes, T. Inoue, editors, p3-10 All rights reserved.
DOI: 10.1361/hrsd2002p003 www.asminternational.org
Material Factors
H.K.D.H. Bhadeshia, University of Cambridge
RESIDUAL STRESSES are a consequence of tions that follow; others such as elastic modulus tion C1 corrects C LV{TD /T} to a specific heat at
interactions among time, temperature, deforma- and thermal conductivity still have to be mea- constant pressure. Ce is the electronic specific
tion, and microstructure (Fig. 1). Material or sured for individual alloys. heat coefficient, and C lP is the component of the
material-related characteristics that influence the specific heat capacity due to magnetism. Figure
development of residual stress include thermal 2 illustrates the data for ferrite and austenite in
conductivity, heat capacity, thermal expansivity, Heat Capacity pure iron. Whereas it is well known that ferrite
elastic modulus and Poissons ratio, plasticity, undergoes a paramagnetic to ferromagnetic tran-
thermodynamics and kinetics of transformations, The dominant contribution to specific heat ca- sition on cooling below 1042.15 K, the magnetic
mechanisms of transformations, and transfor- pacity comes from lattice vibrations (phonons), properties of austenite are seen from Fig. 2 to be
mation plasticity. since the majority of free electrons are prevented of some consequence in determining the heat ca-
Many general statements can be made about from participation in heat absorption by the Pauli pacity. There are two coexisting electron states
the role of material factors in the evolution of exclusion principle. However, for iron and its of austenite, one of which is ferromagnetic with
residual stress. Spatial variations in temperature alloys, a further important contribution comes a Curie temperature of 1800 K and the other of
give rise to nonuniform thermal strains, the ef- from magnetic changes. The net specific heat ca- which is antiferromagnetic with a Neel tempera-
fect of which becomes exaggerated when the pacity can therefore be factorized into three com- ture of 55 to 80 K (Ref 4). The balance between
material is elastically stiff and has a high yield ponents: these states changes with temperature, giving
strength. A large thermal conductivity helps re- rise to corresponding changes in heat capacity.
T C
duce residual stress by reducing temperature gra- TD The data in Fig. 2 are for pure iron, but there
dients (Ref 2). The dissipation or absorption of CP{T } C LV 1 CeT C Pl{T } (Eq 1)
is now sufficient understanding of the compo-
heat depends not only on the external environ- nents of heat capacity to enable similar estimates
ment of the component but also on internally where C LV{TD /T} is the Debye specific heat func- for iron alloys, using internationally available
generated heatfor example, during adiabatic tion and TD is the Debye temperature. The func- computer programs and thermodynamic data-
deformation or due to the latent heat of transfor-
mation. Similarly, the plastic strain distribution
in the component depends both on the constitu- Table 1 Physical properties that affect the development of residual stress in steels
tive properties and on how the shape deforma-
tions due to phase transformations compensate Temperature, C (F)
for the development of stress. Property Phase(a) 0 (32) 300 (570) 600 (1110) 800 (1470)
The fundamental material properties are, of Elastic modulus, GPa c 200 175 150 124
course, temperature dependent. Table 1 illus- P 210 193 165 120
b 210 193 165 120
trates how several key properties might vary 200 185 168 ...
with temperature (Ref 3). Some of these prop-
Poisson ratio c 0.291 0.309 0.327 0.345
erties, which can to some extent be estimated P 0.280 0.296 0.310 0.325
quantitatively, are discussed in detail in the sec- b 0.280 0.296 0.310 0.325
0.280 0.296 0.310 ...
Thermal expansivity, K1 c 2.1 105
P 1.4 105
b 1.4 105
1. Thermal stress 1.3 105
Time, Stress,
temperature strain Thermal conductivity, W/m K c 15.0 18.0 21.7 25.1
4. Heat of P 49.0 41.7 34.3 27.0
6. Latent deformation b 49.0 41.7 34.3 27.0
heat 5. Stress- 43.1 36.7 30.1 ...
induced Specific heat capacity, 106 J/m3 K c 4.15 4.40 4.67 4.90
transformation P 3.78 4.46 5.09 5.74
2. Temperature- b 3.78 4.46 5.09 5.74
dependent phase 3. Transformation 3.76 4.45 5.07 ...
transformations strain Yield strength, MPa c 190 110 30 20
P 360 230 140 30
Microstructure b 440 330 140 30
1600 1480 1260 ...
Fig. 1 The coupling of temperature, stress, and micro- (a) , P, b, and represent allotriomorphic ferrite, pearlite, bainite, and martensite, respectively. Source: Ref 3
structure. Source: Ref 1
4 / Effect of Materials and Processing
bases (Ref 6). After all, changes in fundamental a reflection of the two coexisting electronic deal with higher levels of complexity, are not yet
thermodynamic quantities such as enthalpy and states of austenite (c0 and c1), each with a ther- applicable to practical alloys.
entropy are derived from heat capacity data. It is mal expansion coefficient that is identical to that
surprising that this capability has not yet been of ferrite. The c0 component has the lower molar
exploited in any calculation of residual stress, volume and is the antiferromagnetic form, Plastic Deformation
even though the methodology is widely avail- whereas the denser c1 form is ferromagnetic. The
able. relative proportion of atoms in the c0 and c1
The familiar mechanisms of plastic deforma-
states changes with temperature, so that the ap-
tion are slip, mechanical twinning, and creep.
parent expansion coefficient of austenite as a
Phase transformations also cause permanent de-
Expansion Coefficient and Density whole, as detected experimentally, is much
formation (Ref 811). In steels, austenite can de-
larger than that of ferrite (Fig. 3).
compose into a large variety of microstructures
Table 1 shows that the expansion coefficient The molar volumes (in cm3 /mol) of c0, c1, c,
that are distinguished by the atomic mechanism
of austenite is larger than that of ferrite; this and over the temperature range of 300 to 1775
of transformation (Fig. 4). In a displacive trans-
might be considered surprising given the lower K are:
formation, the change in crystal structure is
density of ferrite. However, the behavior is again achieved by a deformation of the parent struc-
V cm0 6.695(1 2.043 105T 1.52 108T 2) ture. A reconstructive transformation is one in
which the change in structure is achieved by a
V cm1 7.216(1 2.043 105T 1.52 108T 2) flow of matter, which occurs in such a way that
40
strains are minimized.
30 V cm{T } (1 y)V m
c0
{T } y V m
c1
{T } All the transformations cause changes in
shape (Fig. 5a), which for reconstructive trans-
Heat capacity, CP, J mol 1K1
20
V am{T } formations simply reflects the change in density.
Austenite
10 7.061(1 2.043 105T 1.52 108T 2) For displacive transformations, the shape change
is an invariant-plane strain (IPS), that is, a com-
0 where y is the fraction of atoms of austenite in bination of a shear on the invariant plane and a
the c1 state, the details of which can be found dilatation normal to that plane. The strain energy
75 elsewhere (Ref 4, 5). associated with a constrained IPS is minimized
These data are for pure iron, but thermody- when the product phase has a thin-plate shape.
Ferrite
50 namic data can be used to assess how the expan- This is why Widmanstatten ferrite, bainite, acic-
sion coefficients would change with alloying, ular ferrite, and martensite in steels grow in the
since there are quite sophisticated treatments of form of plates. The distinguishing features of a
25
the effect of solute elements on the magnetic and variety of deformation modes are compared in
other components of the free energies of iron. Table 2, and Table 3 describes the shape defor-
0 Note that the two electronic states picture of mations.
0 300 600 900 1200 1500 1800
austenite is a simplification of the real scenario, The permanent strain caused by any transfor-
Temperature, K
but first-principles calculations (Ref 7), which mation is called transformation plasticity. A
Fig. 2 Specific heat capacities of ferrite and austenite in
pure iron, as a function of temperature. The thin
lines represent the combined contributions of the phonons
and electrons, whereas the thicker lines also include the
magnetic terms. The dashed vertical lines represent the Cu-
rie, c, and c d transitions. d-ferrite is simply an Displacive
alternative historical name for high temperature . Source: Reconstructive Invariant-plane strain shape
Ref 5 Diffusion of all atoms during deformation with large shear
nucleation and growth. component. No iron or
Sluggish below about 850 K substitutional solute diffusion.
Thin plate shape
8.0

7.8
Allotriomorphic Widmansttten ferrite
ferrite Carbon diffusion during
7.6
paraequilibrium nucleation
Volume, cm3 mol1
V1 and growth
7.4 Idiomorphic
ferrite
V
Bainite and acicular
7.2
ferrite
V
Massive ferrite Carbon diffusion during
7.0 No change in paraequilibrium nucleation.
bulk composition No diffusion during growth
6.8
V0
Pearlite Martensite
6.6 Cooperative growth Diffusionless
0 300 600 900 1200 1500 1800
of ferrite and nucleation and
Temperature, K cementite growth
Fig. 3 Molar volumes of the various forms of iron.

Source: Ref 5
Fig. 4 Transformation products of austenite. Source: Ref 12
Material Factors / 5
phase change in a stress-free material is usually Phase transformation can also compensate for Deformation System
triggered by heat treatment, when the parent stress. Greenwood and Johnson (Ref 13, 14)
phase passes through an equilibrium transfor- showed that when a phase change is accompa- Displacive transformations can be regarded as
mation temperature. Alternatively, the applica- nied by a change in volume, the tensile strain modes of plastic deformation. Just as a combi-
tion of a stress in isothermal conditions can trig- expected when transformation occurs under the nation of a plane and a direction constitutes a
ger transformation in circumstances where it influence of a tensile stress r is given by: deformation system for slip or twinning, the
would not otherwise occur. Unusual effects can habit plane and displacement vector of the
occur when stress and temperature work to- 5 DV r invariant-plane strain accompanying displacive
gether. The transformation may occur at remark- e (Eq 2)
6 V rY transformation completely describe the defor-
ably low stresses or at very small deviations mation system responsible for transformation
from the equilibrium temperature. This is why where rY is the yield stress of the weaker phase plasticity. The displacement vector describes the
even minute stresses can greatly influence the and DV/V is the transformation volume strain. sense of the macroscopic displacements accom-
development of microstructure, and vice versa. The role of shear strains associated with trans- panying transformation and, along with the habit
It is not surprising that transformation plasticity formation has been emphasized in later work by plane indices, also contains information about
can be obtained at stresses that are much smaller Magee and Paxton (Ref 15, 16), and subse- the magnitude of the shear component and dil-
than the conventional yield stress of the parent quently by Fischer (Ref 17), Leblond et al. (Ref atational component of the displacements. Typ-
phase. 1822), Olson (Ref 23), and Bhadeshia et al. ical data for the deformation systems associated
(Ref 24). Not only does transformation affect with transformations are listed in Table 4. Note
Transformations, Residual Stresses, stress, but the latter modifies the development of that reconstructive transformations involve only
microstructure. The microstructure tends to be a volume change together with diffusional mass
and Related Phenomena more organized when transformation occurs in a flow, so it is not appropriate to regard them as
stresss parent phase, because the stress favors deformation systems in the present context.
The strains due to phase transformations can the formation of certain orientations relative to Given the cubic crystal structure, and the fact
alter the state of residual stress or strain. It is well others. This is illustrated schematically in Fig. that habit planes tend to be irrational, there will
known that the martensitic transformation of the 5(b) to (d). These aspects will now be discussed in general be 24 of these systems per austenite
carburized surface of a steel component puts the in more detail, because transformation plasticity grain, and they may operate simultaneously to
surface under compression. It is argued that this can radically alter the state of residual stress. varying extents. Of course, unlike ordinary slip,
is because of the expansion at the surface due to
formation of the lower-density martensite from
austenite.
Table 2 Characteristics of different modes of deformation
Slip Mechanical Displacive Reconstructive
Characteristic deformation twinning transformation transformation
Causes permanent change in shape Yes Yes Yes Yes
Reconstructive Invariant-plane strain shape changewith a large shear component Yes Yes Yes No
Changes crystallographic orientation No Yes Yes Yes

Changes lattice type No No Yes Yes
Single Can lead to a density change No No Yes Yes
crystal
Displacive
Table 3 Shape change due to transformation
Transformation Shape change (a) s(b) d(b) Morphology
(a) Allotriomorphic ferrite Volume change 0.00 0.02 Irregular

Idiomorphic ferrite Volume change 0.00 0.02 Equiaxed, faceted
Pearlite Volume change 0.00 0.03 Spherical colonies
Widmanstatten ferrite Invariant-plane strain 0.36 0.03 Thin plates
Bainite Invariant-plane strain 0.22 0.03 Thin plates
Acicular ferrite Invariant-plane strain 0.22 0.03 Thin plates
Martensite Invariant-plane strain 0.24 0.03 Thin plates
Cementite plates Invariant-plane strain? 0.21? 0.16? Thin plates
Mechanical twins () Invariant-plane strain 1/2 0.00 Thin plates
Annealing twins (c) 0.00 0.00 Faceted
(a) An invariant-plane strain here implies a large shear component as well as a dilatational strain normal to the habit plane. (b) s and d refer to the
shear and dilatational strains, respectively. The values stated are approximate and will vary slightly as a function of lattice parameters and the details
of crystallography.
(b) (c) (d)

Table 4 Deformation systems associated with transformations
Fig. 5 Shape changes accompanying unconstrained
transformations. Note that the horizontal scale Phase Habit plane indices Displacement vector m
bars are all the same length. (a) The two kinds of shape
Martensite (0.363 0.854 0.373) [0.195 0.607 0.771] 0.185
changes that occur when a single crystal of austenite trans-
forms to a single crystal of ferrite, as a function of the mech- Bainite (0.325 0.778 0.537) [0.159 0.510 0.845] 0.27
anism of transformation. (b) Polycrystalline sample of aus- Widmanstatten ferrite (0.506 0.452 0.735) [0.867 0.414 0.277] 0.36
tenite. (c) Polycrystalline sample of austenite that has
partially transformed by a displacive transformation mech-
Note: Typical habit plane and displacement directions for low-alloy steels. The indices all refer to the austenite phase. Note that the indices stated are
anism into a random set of ferrite plates. (d) Polycrystalline
approximate, since the habit plane and displacement direction are usually irrational. The displacement vector does not quite lie in the habit plane
sample of austenite that has partially transformed by a dis- because the dilatational strain is directed normal to the habit plane. The magnitude of the displacement is given by m, which is the total displacement
placive transformation mechanism into an organized set of including the shear and the dilatational components.
ferrite plates.
the different deformation systems within an aus- nary notion of work hardening does not apply. the volume change. The corresponding interac-
tenite grain cannot intersect, except in special Work hardening nevertheless manifests itself via tion with displacive transformations is much
circumstances where intervariant transforma- a different mechanism, in which the stability of larger because of the shear component of the
tions are possible, as is the case with some the austenite increases as it becomes ever more IPS.
shape-memory alloys. It follows that the ordi- finely divided. For displacive transformations, the influence
The Taylor/von Mises criterion (Ref 25, 26) of stress on the transformation can be expressed
states that in any given crystal, a minimum of as a mechanical driving force (DGmech), which is
N five independent slip systems is necessary to the work done by the external stress in producing
A (applied tensile stress) produce an arbitrary shape change. A crystal in the macroscopic shape deformation (Ref 30, 31):
a polycrystalline aggregate has to accommodate
the arbitrary deformations of neighboring grains.
DGmech rNd ss (Eq 3)
Therefore, a polycrystalline material is brittle
max unless each grain contains at least five indepen-
dent slip systems. Similar logic can be applied where rN is the normal stress on the habit plane
d to the crystallographic variants of a phase gen- and s is the component of the shear stress on the
erated by displacive transformation. The habit habit plane that is parallel to the direction along
plane is predicted theoretically (Ref 27, 28) and which the shear displacements of the shape de-
Resolution of the applied stress, rA. The normal found experimentally (Ref 29) to have irrational formation occur (Fig. 6). The strains d and s are
Fig. 6
stress, rN, and the shear stress, s, both act on the indices. This means that there exist, in principle, the dilatational and shear components, respec-
habit plane. The vector d is the direction along which lie 24 possible variants of the habit plane per grain
the shear displacements of the shape deformation. smax is
tively, of the shape deformation. Some typical
the maximum shear stress on the habit plane, but s is given
of austenite (that is, 24 independent deformation values of the mechanical driving force terms are
by resolving smax along d. Note that d differs slightly from systems). Given this large number of transfor- given in Table 5. Given a free choice of some
the displacement vector of the IPS, which includes a dila- mation variants available per grain, the Taylor 12 to 24 crystallographic variants of the trans-
tational component in addition to the shear. criterion leads to the conclusion that transfor- formation product in each grain of austenite, the
mation plasticity can cause, or accommodate, work done by the shear stress is always expected
any externally imposed, arbitrary shape to be positive, whereas that due to the dilata-
Table 5 Typical values of the mechanical changeassuming that a sufficient quantity of tional component depends on the sign of rN. For
driving force coefficients parent phase is available. It follows that poly- steels, this latter component is relatively small.
Nature of stress DG/r, J/(mol MPa)
crystalline samples can remain intact at grain Any observed consequences of stress must there-
boundaries when transformation plasticity is the fore reflect the dominant role of the shear com-
Uniaxial tension 0.86
Uniaxial compression 0.58 sole mode of deformation. ponent unless the stress is purely hydrostatic.
Elastic crack tip (a) 1.42 Since the shear stress remains positive irre-
spective of whether the sample is pulled in ten-
(a) The stress state for the crack tip is multiaxial, but the coefficient is Mechanical Driving Force sion or uniaxially compressed, and since the
calculated by expressing the stress in terms of the von Mises equivalent
tensile stress. Source: Ref 32 shear component of the shape change is large, a
The interaction of an applied elastic stress uniaxial stress will always cause a temperature
with a phase change can occur in two ways: increase for displacive transformations in steels.
1. The stress can alter the driving force for the Hydrostatic stress, on the other hand, has no de-
transformation. viatoric components and consequently interacts
Change in bainite-start temperature
2. The stress can change the appearance of the only with the dilatational component of the
Tensile
microstructure by favoring the formation of shape change. Thus, hydrostatic compression is
+ expected and found to lead to a decrease in the
those variants which best comply with the ap-
Compression transformation temperature (Fig. 7); some data
plied stress.
0 (Ref 32) on the sensitivity of the transformation
For reconstructive transformations, only the temperature to applied stress are presented in Ta-
hydrostatic component of stress can interact with ble 6.

Hydrostatic
compression 1000
Chemical
Limits to Stress-Assisted
Free energy, J mol1
Stress (below austenite yield strength)

Transformation
Indication of how the transformation-start tem- 0 Mechanical
Fig. 7
perature (for Widmanstatten ferrite, bainite, acic-
ular ferrite, or martensite) should vary as a function of the At temperatures close to that at which the
nature and magnitude of an applied stress whose magni-
1000 equilibrium transformation occurs, an applied
tude is less than that of the yield stress.
Total stress can assist reaction when the chemical driv-
ing force is insufficient to achieve the change on
2000 its own. There must exist a point, however, when
Table 6 Sensitivity of transformation-start 300 400 500 600 700 800 900
the applied stress simply cannot provide enough
temperatures in steels to applied stress Temperature, C mechanical driving force to complement the
Phase Nature of stress Sensitivity, K/MPa
Typical magnitudes of the chemical and me-
chemical term to give a driving force large
Martensite Pressure 0.06
Fig. 8 enough to induce transformation. After all, the
chanical driving forces for stress-affected trans-
Bainite Pressure 0.09 formation. The mechanical driving force is estimated for an magnitude of the stress that can be applied is
Eutectoid Pressure 0.011 applied stress that is equal to the yield stress of austenite. limited by the yield point of the parent phase.
Martensite Tensile 0.06 Since this yield stress becomes small at high temperatures,
the contribution of the mechanical driving force also de-
Thus, there are limits to what can be achieved
Source: Ref 32 creases. Therefore, transformation becomes impossible as by the application of stress as a stimulus to trans-
the temperature exceeds about 700 C (1290 F). formation (Fig. 8).
100 100
0 Axial stresses Tangential stresses
Residual stresses, MPa
under tensile loading 0 under tensile loading

100 Measurement Measurement
100
Calculated Calculated
200
200
300
300
400
400
500
500
600
600
0 0.05 0.10 0.15 0.20 0.25 0.30 0 0.05 0.10 0.15 0.20 0.25 0.30
Depth, mm Depth, mm
100 100
0 Axial stresses 0 Tangential stresses
under torsion loading

100 Measurement 100 Measurement
200 200
300 300
400 400
500
500
600
600
700
0 0.1 0.2 0.3 0.4 0.5 0.6 0 0.1 0.2 0.3 0.4 0.5 0.6
Depth, mm Depth, mm
Fig. 25 Initial distribution of the residual stresses
Stress. The initial residual stress distribution is elastic-plastic properties of material, because the der the cyclic loading can be obtained. Part of
calculated from the residual stresses measured plastic deformation is the main cause of the re- the results and their comparison with the test val-
by the x-ray diffraction method in the upper laxation. So, the cyclic behaviors of material are ues have been shown in Fig. 27. In the case of
layer where initial stresses are introduced by sur- very important for the prediction of the residual the traction-compression loading, two loading
face treatment. In depth, the stresses are calcu- stresses. However, they can be measured by ex- levels were calculated. The same level for tor-
lated for the structural equilibrium. Figure 25 periment. sion loading with two different cycle numbers
shows the comparison of initial residual stresses Figure 26 shows the cyclic behaviors of was also analyzed. Figure 28 shows the stabi-
between the calculation and the experiment. 35NCD16 grade steel, a cyclic softening mate- lized residual stresses for different traction-com-
Prediction of the Residual Stress Relaxa- rial. pression load levels that are used in the predic-
tion. In order to predict the relaxation of the re- When the stabilized residual stresses are cal- tion of the fatigue life. Unfortunately, it is
sidual stresses, a simplified method proposed by culated, the behavior corresponding to NR /2 is impossible to compare with the experiment re-
Lu et al. has been used (Ref 30). It supposes that used. After an elastic-plastic calculation with sults.
the relaxation of the residual stresses depends on FEM, the relaxation of the residual stresses un- Prediction of the Fatigue Life. For predict-
ing the fatigue life under a complex stress state,
it is necessary to have two S-N curves. One is
Rec(MPa) = 920 55,14 log N
for simple traction or traction compression; an-
other is for alternated torsion. These curves are
1 cycle basic data of a material, and they can be obtained
2 N, Re(Y.S.), by experimental method.
1000
3 cycles MPa
15 Using the program FATIGUE3D, a design
900 50 1 940 tool on fatigue developed in the LASMIS labo-
/2, MPa
150 ratory, a distribution of fatigue life and a distri-

2 920
800
NR/2 3 910 bution of safety factor for a structure can be ob-
15 870 tained. In this example, the fatigue life under
50 830 traction-compression cyclic loading and torsion
700
150 800 loading has been calculated. The stabilized re-
35 NCD 16 sidual stresses play a role as static load. Figure
600 (Rm (UTS) = 110 MPa) NR/2 660
29 shows the results of fatigue life and their com-
parison with the experimental results. It is very
0.5 0.75 1 clear that the proposed method is available.
t/2, %
Prediction of Admissible Residual Stress.
In this approach, a calculation method has been
The cyclic behavior of 35NCD16 grade steel. Re, yield stress; R ec, cyclic yield stress as a function of number developed that can predict the admissible resid-
Fig. 26 of cycles; Det, axial plastic strain range during cyclic loading ual stress for a given fatigue life. This tool can
Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem / 25
ity control tool. For industrial applications, fu- grant Brite-EuRam, BRRT-CT985090, EN- Austenitic Stainless Steel, Residual Stress,
ture developments are necessary: SPED project), and the National Science Foun- V. Hauk, H.P. Hougardy, E. Macherauch,
dation of China (two bases project) is acknowl- and H.D. Tietz, Ed., DGM, Verlag, 1992, p
Measurement techniques edged. 891900
Improvement of ultrasonic and magnetic 12. J.B. Roelens, F. Maltrud, and J. Lu, Deter-
measurement methods mination of Residual Stresses in Submerged
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ACKNOWLEDGMENTS
1995, p 194198 Plasma Sprayed NiCrAlY Coating and
The author is grateful to all the people at LAS- 10. J. Lu, P. Peyre, C. Omam Nonga, A. Ben- Characterization of Interface Toughness,
MIS working in the field of residual stress for amar, and J.F. Flavenot, Mechanical Surface Memoires et Etudes Scientifiques, Revue de
their help during the preparation of this paper: Treatments, Current Trends, and Future metallurgie, May 1991, p 295306 (in
Prof. J.L. Chaboche, Dr. D. Retraint, Dr. E. Rou- Prospects, Surface Modification Technolo- French)
haud, Dr. X.L. Gong, Dr. L. Couturier, Dr. R. gies VIII, T. S. Sudarshan and M. Jeandin, 23. C.S. Richard, G. Beranger, J. Lu, and J.F.
Akrache, Dr. Z. Wu, Dr. S. Rasouli Yazdi, Mr. Ed., TMS, Sept 1994, p 589601 Flavenot, The Influence of Heat Treatments
A. Milley, Mr. D. Deslaf, Mr. B. Guelorget, Mr. 11. A. Benamar, J. Lu, J.F. Flavenot, P. Bar- on the Adhesion of Plasma Sprayed Ni-
A. Voinier, Mr. F. Belahcene, Mr. K. Gong. Fi- barin, G. Chalant, and G. Inglebert, Mod- CrAlY Coatings, Surf. Coat. Technol., Vol
nancial support from the European Union (under eling Residual Stresses by Cold Rolling an 82, 1996, p 99109
Material Factors / 9
lowed by those that do not. This also carries the not yet calculable in the same manner. It may be Kang, and M.E. Glicksman, Ed., Minerals,
implication that the interaction of the stress is the case that they are insensitive to alloying, but Metals and Materials Society, 1992, p 21
with the growth process (that is, the IPS shape that remains to be demonstrated in the context 30
deformation) rather than the strain field of the of residual stress analysis. 3. R. Schroder, Mater. Sci. Technol., Vol 1,
nucleus, which is likely to be different. It is There is little doubt that transformations in 1985, p 754764
worth noting that there are similar results for steel play a major role in the development of 4. L. Kaufman, E.V. Clougherty, and R.J.
martensite: most favored variants grow first in residual stresses. For reconstructive transforma- Weiss, Acta Metall., Vol 11, 1963, p 323
the sequence of transformation under stress (Ref tions (for example, pearlite), it is the difference 335
15, 24). in density between the parent and product phases 5. L. Kaufman, in Energetics in Metallurgical
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Summary transformations (Widmanstatten ferrite, bainite, 6. K. Hack, Ed., The SGTE Casebook: Ther-
martensite) because of the large shear compo- modynamics at Work, Institute of Materials,
Many of the thermal properties of steelsfor nent of the shape deformation when these trans- 1996
example, heat capacity, thermal expansion co- formation products form. These are quite so- 7. D.G. Pettifor and A.H. Cottrell, Ed., Elec-
efficients, and latent heats of transformation phisticated effects which, with few exceptions, tron Theory in Alloy Design, Institute of
are remarkably well understood. Indeed, com- are not incorporated in most residual stress anal- Materials, 1992
mercially available thermodynamic databases yses. 8. J.W. Christian, in Decomposition of Austen-
and programs can be used to estimate these ite by Diffusional Processes, V.F. Zackay
quantities as a function of temperature and and H.I. Aaronson, Ed., Interscience, 1962,
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and Steel Institute, 1965, p 119
12. H.K.D.H. Bhadeshia, Bainite in Steels, 2nd
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13. G.W. Greenwood and R.H. Johnson, Proc.
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14. R.H. Johnson and G.W. Greenwood, Na-

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27. J.K. MacKenzie and J.S. Bowles, Acta Me-
Fig. 13 Schematic of the reported variations (Ref 24) in longitudinal and radial strains during the isothermal formation tall., Vol 2, 1954, p 138147
of bainite under the influence of a tensile load, presented alongside predictions (Ref 36) from the crystallo-
graphic/thermodynamic model. The stresses are all intended to be below the austenite yield strength, and the data in this
28. M.S. Wechsler, D.S. Lieberman, and T.A.
case refer to uniaxial tension. (a) Zero stress, any temperature. (b) Small stress, low temperature. (c) Small stress, high Read, Trans. Amer. Inst. Min. Metall. Eng.,
temperature; or large stress, low temperature. Vol 197, 1953, p 15031515
29. A.B. Greninger and A.R. Troiano, Trans. 32. S. Denis, E. Gautier, A. Simon, and G. Stresses in Welded Constructions, Welding
Amer. Inst. Min. Metall. Eng., Vol 140, Beck, Mater. Sci. Technol., Vol 1, 1985, p Institute, 1977, Paper 2
1940, p 307336 805814 35. H.K.D.H. Bhadeshia, Worked Examples in
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1, 1953, p 531538 Steels for Fast Reactor Steam Generators, als, 1987
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TMS-AIME, Plenum Press, 1975, p 89114 34. W.K.C. Jones and P.J. Alberry, Residual p 10811090
Prestress Engineering of Structural

Material: A Global Design Approach
to the Residual Stress Problem
J. Lu, LASMIS, Universite de Technologie de Troyes, France
ALL MANUFACTURING PROCESSES in- Residual stress is usually defined as the stress an objective mechanical behavior of the material
troduce residual stress into mechanical parts, that remains in mechanical parts that are not sub- and structure. Under this approach, the residual
which influences its fatigue behavior, fracture jected to any outside stresses. Residual stress ex- stress must not be considered as a parameter that
strength, and even its corrosion resistance. Few ists in practically all rigid parts, whether metallic only depends on the material processing condi-
metalworking methods exist that do not produce or not (wood, polymer, glass, ceramic, etc). It is tions, but must also be considered as a parameter
new stresses. The role of residual stress is, there- the result of the metallurgical and mechanical that can be optimized.
fore, very important when designing mechanical history of each point in the part and the part as There is an increasing interest in how the state
parts. Over the last few years, an increasing num- a whole during its manufacture. of residual stress affects the mechanical proper-
ber of studies have been carried out to under- In the case of structural materials, surface en- ties of a material and its structure. The failure of
stand the effects of residual stress on mechanical gineering can lead indirectly to the innovation of a structure or a mechanical component is not
performance. This article attempts to present a genuinely new materials based on conventional only due to external loads. Residual stress is an
global approach to including residual stress in materials. The frustrating slowness of some of important parameter in this respect. All manu-
expected fatigue life calculations, and the pos- these developments reflects not only difficulties facturing processes, for example, introduce a
sibility of introducing it into mechanical engi- in scaling up laboratory techniques, but also gen- new state of residual stress. This can have a posi-
neering design offices. The definitions and ori- eral conservation in the engineering industries tive effect, such as increasing the fatigue limit in
gins of residual stress according to production and a reluctance to change established habits. the case of surface compressive stress, or it can
methods are first presented. Then, shown are the One of the factors that contributes to slowing the have a negative effect, such as decreasing the
problems involved in correctly adapting these pace is that the current approach to surface en- stress corrosion behavior of a material in the case
modeling techniques for use in design offices gineering directly correlates performance to proof tensile residual stress.
and the industrial consequences of taking resid- cessing parameters; designers are left without the Basic and applied research in the field of re-
ual stress into account on quality assurance con- tools needed to optimize and take into account sidual stress has been stepped up in the last few
trol procedures. This article deals mainly with modified or prestressed surfaces for a particular years. Residual stress is taken into account in
application, and the processors are left without advanced design in the aerospace, automotive,
residual stress measurement techniques and the
appropriate goals for surface properties. and nuclear industries. Even the microelectron-
overall necessity to combine destructive (incre-
The recent European Network of Surface and ics industry is starting to take residual stress into
mental hole-drilling method) and nondestructive
Prestress Engineering and Design (ENSPED) account for the dimensional stability of elec-
(x-ray and neutron diffraction) methods in order
project led by the University of Technology of tronic packaging.
to precisely evaluate the residual stress distri-
Troyes and funded by the European Union is one The introduction of advanced materials has
bution. Some new results concerning optical also contributed to the development of knowl-
of the contributions currently being made to the
methods are also discussed. Shown, too, are the development of such tools. The aim is to develop edge in the field of residual stress. In fact, many
beneficial and harmful effects of residual stress a project with a hard core of about 18 partners new materials are multimaterials, for example,
on the resistance of structures or industrial com- representing a balanced selection of Europes metal-matrix composites, plasma-sprayed coat-
ponents, depending on whether they are tensile major industries, such as SNECMA; European ing, physical vapor deposition (PVD), and chem-
or compressive. The different models used to Aeronautic, Defense and Space (EADS); ABB; ical vapor deposition (CVD) coatings, which
predict residual stress induced by different types Siemens; Volvo; Fiat; British Aerospace; Robert contain residual stress as a result of the thermal
of processing are then presented. The last section Bosch; Hydro Aluminum; Wartisla; and so on. and mechanical incompatibilities of the different
shows the effect of residual stress on fatigue be- It is based on building a bridge between the phases of the material or structure.
havior. A model based on the finite element fields of surface modification and prestress pro- Figure 1 shows the different fields of research
method (FEM) for predicting the relaxation of cessing in materials engineering and computer- in which residual stress is taken into account and
residual stresses is presented. Finally, prediction aided design in mechanical engineering in order its relevance for industrial applications. Three
of fatigue life, taking residual stress into account, to find an appropriate way of approaching this main fields must be developed for a global ap-
using FEM is discussed. A new approach to con- interdisciplinary area. The members of the pro- proach of prestress engineering: measurement
current engineering applied to the design of me- ject will focus on the field of prestress process- techniques for the quality control and processing
chanical components with residual and applied ing. The main goal of the prestress engineering analysis, processing parameter optimization and
stress consideration is presented. approach is the optimization of residual stress for processing modeling, and modern design tool for
the life cycle simulation with residual stress con- The first series of methods is based on de- ment method. The in-plane surface displace-
sideration. stroying the state of equilibrium in the mechan- ments Ux and Uy and out-of-plane surface dis-
ical component. The residual stress is then eval- placement Uz produced by the relaxation of
uated from its relaxation. However, it is only residual stresses are obtained using moire inter-
Origins of Residual Stress possible to measure the consequences of stress ferometry and Twyman-Green interferometry,
relaxation and not the relaxation itself (displace- respectively. Figure 2 shows three-dimensional
In general, macroscopic residual stress can be ment, fracture, strain). In most cases, the change displacement as a function of the drilling depth.
induced due to: in strain is selected as the parameter to be stud- The main advantage of this technique is the pos-
ied. The following procedure is used: sibility of studying the residual stress with an in-
Nonhomogeneous plastic flow under the ac- plane stress gradient (Ref 5). It is also possible
tion of external treatment (shot peening, au- 1. Creation of a new stress state by machining to study composite materials (Ref 6). In this
tofretting, roller burnishing, hammer peening, or layer removal case, the through thickness residual stress distri-
shock laser treatment) 2. Detection of the local change in stress by bution was evaluated ply by ply in a carbon fi-
Nonhomogeneous plastic deformation during measuring the strain or displacement ber/epoxy composite. Figure 3 shows an exam-
nonuniform heating or cooling (ordinary 3. Calculation of the residual stress as a function ple of residual stress determined by using this
quenching, molding of plastics) of the strain measured using the elastic theory technique.
Structural deformation from metalworking (analytical approach or numerical calcula- Recently, this method was used (Ref 7) to
(heat treatment) tions such as FEM) study the Plastic Ball Grid Array (PBGA) pack-
Heterogeneity of a chemical or crystallo- age, which is a cost-effective surface-mounting
During the recent years, the incremental hole-
graphic order (nitriding or case hardening) package with a high-density interconnection,
drilling method is extensively used. It is sensi-

Various surface treatments (enameling, low profiles, and light weight. It is currently used
tive to the first kind of residual stress, that is, the
nickel plating, chrome plating, PVD and in many electronic products, including portable
macroscopic residual stress. The principle of this
CVD coating) telecommunication and computing products. A
technique is simple. It involves monitoring the

Differences in expansion coefficients and me- typical structure in a PBGA package consists of
change in strain when a hole is drilled in a com-
chanical incompatibility of the different com- four layers: a plastic molding compound, a sili-
ponent with residual stress. These strain mea-
ponents of composites (composites with a con chip, a chip-attach adhesive layer, and an
surements can be related to the original residual
metallic and organic matrix, ceramic coat- organic chip carrier. Due to the coefficient of
stress distribution in the analyzed sample at the
ings) thermal expansion mismatch between the silicon
hole location. The relationship between the
Table 1 shows the different origins of residual strain and the residual stress can be calculated chip, the plastic compound, and the organic chip
stress for metalworking operations usually car- with the calibration coefficients Ain and Bin. The carrier, considerable residual stresses are devel-
ried out in the industry. To produce an industrial general approach used to determine the Ain and oped in the package during the assembly pro-
part, one or several of the techniques listed in the Bin FEM is detailed in Ref 2. Recently, the high cess. The process-induced residual stress can
table can be used. To calculate the residual stress sensitivity moire interferometer and incremental play a significant role in the reliability of elec-
existing in a part, the source of the stress must hole-drilling method for residual stress measure- tronic components and packages. Since a PBGA
be identified first. ment has been developed. The theoretical devel- package is small and the surface layer is made
Residual Stress Measurement Techniques opment of a combined method is introduced in of a plastic material, it has proved very difficult
in Global Approach and Quality Assurance. Ref 3 and 4. The relationship between the three- to use other existing methods of residual stress
Over the last few decades, various quantitative dimensional surface displacements produced by measurement. In this research work, a practical
and qualitative techniques have been developed introducing a blind hole and the corresponding method has been developed to determine resid-
(Ref 1). These techniques are used for the pro- residual stress is established by employing the ual stress for electronic packaging. In this
cessing optimization and quality control of ma- existing theoretical solution containing a set of method, blind holes are drilled into the speci-
terial. In general, a distinction must be made be- undetermined coefficients. The coefficients are mens, and relationships are established between
tween destructive and nondestructive methods. calibrated by the three-dimensional finite ele- the released surface displacement and the cor-
responding residual stress by introducing a set
of calibration coefficients. A multilayer three-di-
mensional FEM is established to determine the
relevant calibration coefficients. The surface dis-
placements are measured accurately in a small
Quality control Manufacturing
region around the hole. For a practical PBGA
package, the tensile residual stress is determined
in both the plastic molding compound and the
Measurement Prestress process glass/epoxy laminate chip carrier. The method
technique development and is accurate, simple, convenient, and practical.
modeling More applications in the field of electronic prod-
ucts are anticipated.
Take residual stress into The x-ray diffraction and neutron diffraction
account in integrated design methods are based on the measurement of lattice
strains by studying variations in the lattice spac-
ing of the polycrystalline material. The first
Relaxation of Effect of residual method measures the residual strain on the sur-
residual stress stress on behaviors face of the material, and the second measures the
residual strain within a volume of the sample.
Diffraction techniques can be used to study all
Dimensional New design Mechanical three types. The peak shift method is sensitive
stability design to the first two, whereas line broadening is sen-
sitive to the second and third types. These tech-
Fig. 1 Main research fields and industrial application fields in which residual stress is taken into account niques have been used to measure the first type
of residual stress in different phases of advanced widespread. Rapid ways of checking the residual the reference techniques. Figure 4 proposes a re-
materials, such as metal-matrix composites (in stress must therefore be developed. The methods sidual stress inspection plan. Other new tech-
matrix and in reinforcement) (Ref 8, 9). used industrially (x-ray diffraction and the incre- niques, such as neutron diffraction and optical
Residual stress can be incorporated into the mental hole method) will not be sufficient in the method, will be introduced in industry. A de-
design of mechanical components. Although this future. Other nondestructive testing (NDT) tech- tailed analysis of different techniques of mea-
leads to a better knowledge of the fatigue life of niques (ultrasound, magnetic methods, acoustic surement is out of the scope of this article.
parts and reduces the safety coefficient at the de- emission) are presently being developed. But as
sign stage, it also poses a host of new problems they currently stand, these techniques use physi-
on a quality assurance level. All statistical con- cal parameters that depend not only on the resid- Modeling of Process
trols are only applied today to a few critical com- ual stress present in the parts, but also on mi-
ponents in the aeronautical and nuclear indus- crostructural changes. In the near future, NDT The experimental techniques developed pre-
tries; this practice could easily become techniques will be applied at the same time as viously can contribute to the development of a
residual stress prediction model. The results cal-
culated by the model make it easier to take the
residual stress into account during the mechan-
ical design. The residual stress induced by the
thermal processing is extensively treated in the
other articles of this Handbook. Only some ex-
amples concerning the mechanical surface treat-
ments and the comparison between the numeri-
cal simulation and experimental validation are
presented briefly.
Two kinds of models can be mentioned: ana-
lytical models and numerical models. In this
case, mechanical surface treatment models were
developed for shot peening (Ref 10) and cold
rolling (Ref 11), while several finite element
codes were used or developed for welding,
grinding, heat treatment (quenching), and ther-
mal cutting (Ref 12, 13). The results show good
correlation between the prediction of the model
and the experimental results. But it can also be
seen that three-dimensional calculations are nec-
essary to obtain good results in all directions. If
a two-dimensional calculation is used, the resid-
ual stress evaluation correlates well in one di-
rection only. So, in the future, three-dimensional
calculations will be of greater significance for
real case modeling (Ref 13).
In the case of shot peening, a three-dimen-
sional finite element dynamic model was devel-
oped to obtain a better description of the shot-
Three-dimensional displacements measured for different hole depth by a combination of optical methods and peening process and to introduce this approach
Fig. 2 into the component design (Ref 14). With the
the incremental hole-drilling method in a shot peened sample. Champ, field
Table 1 Main origins of residual stress resulting from different manufacturing processes
Process Mechanical Thermal Structural
Casting No Temperature gradient during cooling Phase transformation
Shot peening, hammer peening, roller burnishing, laser Heterogeneous plastic deformation No Depends on the material
shock treatment, bending, rolling, chasing, forging, between the core and surface of the
straightening, extrusion part
Grinding, turning, milling, drilling, boring Plastic deformation due to the removal Temperature gradient due to heating Phase transformation during machining if
of chips during machining the temperature is sufficiently high
Quenching without a phase transformation No Temperature gradient No
Surface quenching with a phase change (induction, EB, No Temperature gradient Change of volume due to a phase change
laser, plasma, classical methods)
Case hardening, nitriding No Thermal incompatibility New chemical component with volume
modification
Welding Shrinkage Temperature gradient Microstructural change (HAZ)
Brazing Mechanical incompatibility Thermal incompatibility New phase at interface
Electroplating Mechanical incompatibility Mechanical incompatibility Composition of plating depending on bath
used
Thermal spraying (plasma, laser, HVOF) Mechanical incompatibility, Thermal incompatibility, temperature Change of phase in plating
microcracking gradient
PVD, CVD Mechanical incompatibility Mechanical incompatibility Change of phase
Composite Mechanical incompatibility Mechanical incompatibility No
EB, electron beam; HVOF, high-velocity oxygen fuel; HAZ, heat-affected zone
help of three-dimensional modeling, the enor- of analysis seems promising for studying the re- Effect of Residual Stress on the
mous influence of shot interaction is verified by percussions of a large number of parameters. Mechanical Strength of Materials
simulating simultaneous impacts. This simula- However, these methods are only efficient when
tion is very similar to the industrial process. Re- a maximum number of experimentally measured Generality. When a part is subjected to a field
sults of the residual stress obtained by the simu- parameters can be introduced. They also need to of elastic residual stresses characterized by a ten-
lation are closer to the experimental results, if a be improved if they are to take most phenomena sor rR, on which is superposed a field of service
three-dimensional FEM is used (Fig. 5). The into account. The proposed models could be stresses defined by the tensor rS, the real stress
higher the coverage rate, the lower the intensity completed by analyzing the influence of the type to which the part is subjected is characterized by
of the stress. This study shows how FEM can be of contact, the direction of the shot during the the tensor rR rS (Fig. 6). If the residual
used to model shot peening and determine the impact, behavior of the material, and so on. It stresses are added to the service stresses (resid-
associated residual stress field. could then be possible to introduce the residual ual tensile stress, for example), the part is locally
The results obtained for both a single impact stress field into metal parts in order to study their overloaded due to residual stress. If, on the con-
and several impacts follow the general distribu- behavior, using numerical simulation, for several trary, an appropriate finishing operation (shot
tion of measured residual stress fields. This type types of mechanical and fatigue life tests. peening or roller burnishing, for example) is
used to introduce residual compressive stress,
the part is relieved of some of the load locally
and the mechanical performance of the materials
70 is increased as a result.
Average per lamina fibers Average per lamina of epoxy Figure 7 shows the properties of materials that
60 Average in two laminas of fibers Average in two laminas of epoxy are influenced by residual stress. In the subse-
50 quent section, several quantitative examples of
40 the effect of residual stress are given.
Influence on the Fatigue Strength (Initia-
30
tion Crack Phase). Residual stress plays an ex-
Residual stress, MPa
20 tremely important role with respect to the fatigue

10 strength of materials. It can be considered to be
a mean or static stress superimposed on the cy-
0
112.5 225 337.5 450 562.5 675 787.5 900 clic stress. As the mean stress rm increases, the
10 fatigue strength decreases. This is demonstrated
20 in the Haigh and Goodman diagrams.
30
y
40
50
Hole depth, m S
R
Fig. 3 Residual stress distribution in the half-thickness of a carbon fiber/epoxy composite
R + S
M
I M
Mechanical components
manufacturing lines
Continuous control using

NDE techniques (US, Fig. 6 Superposing of residual stress and service stress
magnetic, AE) 100
Good
quality 50
Defect
0 Fatigue
0.10 0.20 0.30 0.40
Measurement of the residual Assembly
50
stress distribution through of parts
the thickness of the part 100 Corrosion

using conventional techniques under tensile Breaking
(x-ray, hole drilling) 150 stress
200 Residual
stress
250
Statistical analysis Tensile
300 srr L = 0.3 mm Friction
of results strength
szz L = 0.3 mm
350
400
Improvement of Interfacial
process 450 Dimensional bond strength
Depth, mm stability of coating
Fig. 4 Residual stress inspection plan for the purposes Fig. 5 Modeling of the residual stress distribution in-
of quality assurance. NDE, nondestructive eval- duced by shot peening using the 3-D finite ele- Fig. 7 Effect of residual stress on the performance of
uation; US, ultrasonic; AE, acoustic emission ment method materials
Quenching treatment, after induction heating, leads to a tangential residual stress equal to or lindrical bars, quenched after induction heating,
introduces very high residual compressive stress slightly greater than the longitudinal stress. The and subjected to repeated bending stress (Ref
into the hardened layer, which results from the thickness of the material subjected to residual 16). The results obtained are presented in Table
increase in volume of the martensitic structure compressive stress is in the same order of mag- 2. It can be seen that the higher the residual com-
with respect to the ferrito-pearlitic structure (this nitude as the layer transformed during treatment pressive stress, the greater the fatigue strength.
applied to the treatment of annealed steel, for (Ref 15). Fatigue tests were carried out by the The resulting gain in fatigue strength produced
example). In induction-quenched cylindrical French Technical Center for Mechanical Indus- by the residual stress can be as much as 50% of
bars, the residual stress on the surface usually try (CETIM) on 36 mm diameter XC42 steel cy- the fatigue strength of the base material treated.
Figure 8 shows the effect of residual stress on
the fatigue strength of welded HLE (E690) steel
Table 2 Effect of quenching conditions and residual stress on fatigue strength joints (Ref 17). Three cases are show: as-welded
(residual tensile stress), stress relieved (no resid-
Fatigue limit Residual stress stabilized
ual stress), and shot peened (residual compres-
after 5 106 at the fatigue limit, MPa (ksi) sive stress). A marked increase in the fatigue
Type and depth of treatment Surface cycles, MPa (ksi) Longitudinal Transverse strength was observed in the case of shot peen-
at 45 HRC, mm (in.) hardness, HRC rm ra stress stress ing.
A, induction 2.7 (0.11) 5556 596 (87) 584 (85) 128 (19) 468 (68) Influence on Fatigue Failure (Propagation
243 (35) 571 (83) Phase) and Brittle Fracture (Ref 13, 18, 19).
B, induction 4.2 (0.17) 5556 623 (90) 610 (88) 273 (40) 583 (85)
341 (49) 676 (98)
In the case of welded assemblies, the presence
C, induction 4.7 (0.19) 5459 670 (97) 660 (96) 655 (95) 603 (87) of welding defects at the weld toe and the geo-
D, water quenched after through 6061 780 (113) 750 (109) 863 (125) 1132 (164) metric profile of the latter generally lead to a
heating without stress-relieving 777 (113) 1156 (168) limited period of crack initiation. The cracking
annealing 3.5 (0.14)
phase must be considered by taking into account
the residual stress field induced by the welding
Source: Ref 16
operation.
The decisive influence of the residual stress
field on the crack propagation speed has been
demonstrated (Ref 18). Figure 9 shows the re-
Sample type State
6
2.10, MPa BX, MPa
Crack sults of cracking as a function of the residual
initiation site stress. Relieving residual stress by heat treatment
changes the crack propagation speed consider-
As welded 207 40
ably when the stress is high.
In the case of a brittle fracture, cleavage starts
Post weld heat treated 207 37 Weld toe in a grain when the local stress reaches a critical
1 value of rf* and it generally propagates without
Shot peened 392 519 difficulty in the adjacent grains by producing a
Multipass brittle fracture. The tensile residual stress rR, in
addition to the applied stress r, initiates this type
Fig. 8 Effect of residual stress on the fatigue strength of E690 welded joints. rRX, residual stress perpendicular to the of failure for low loads, such that:
fillet (rRX); rRI, principal maximum residual stress evaluated at a depth of 0.1 mm below the surface. Source:
Ref 17
r rR rf*
Once cracking has been initiated, the applied

106 stress alone can be enough to allow propagation
to continue at a high speed. Failure is therefore
ZAT D.T.
(40-75 mm) very sudden. Residual stresses that facilitate the
ZAT B.S.
initiation of brittle fracture by cleavage are there-
Nontreated metal fore very dangerous for steels under load at low
(40 mm)
temperature. This is why the stress relieving of
107 welded joints is also recommended.
Grain slips come up against inclusions and
da/dN, m/s
create concentrated stresses at their interface that

lead to fracture of either the interface or the in-
clusion. Cavities then appear for a critical initi-
ation stress and grow by plastic deformation of
108 the matrix until their coalescence leads to ductile
Rs = 0.1
fracture at least on a microscopic level. The
E36Z speed at which the cavity grows is not only pro-
portional to the plastic deformation speed but
also to the degree of triaxial state of the stresses
and to the ratio of the mean stress to the ultimate
109 stress. Coalescence is a plastic instability phe-
5 10 20 30 40 50 60 70 80
nomenon that no doubt occurs for a critical cav-
K, MPa m ity size. Tensile residual stress not only facili-
Effect of a residual stress-relieving treatment on the cracking speed in the HAZ (butt-welded assembly of an
tates the initiation of cavities but, by increasing
Fig. 9 the mean stress, also accelerates growth. These
E36Z steel). ZAT D.T., HAZ of the heat treated sample; ZAT D.T., HAZ of the as-welded sample. Source:
Ref 18 two effects combine to decrease the critical elon-
gation of ductile fracture. However, this is only used, can remain in the coatings and in the sub- defect. Reference 27 gives a very methodical ap-
important if the ductility is already very low in strates. They are of several types: microstresses proach to defining the criteria and processes re-
the absence of residual stresses, since plastic de- in the grain, produced during cooling, and lating to relieving stress in welded structures.
formation can eliminate them. macrostresses affecting the entire coating. The same type of reflection can be applied to
Effect on Stress Corrosion (Ref 20, 21). Macrostresses are created not only by cooling other types of parts.
Stress corrosion is a mechanical and chemical but also by the difference in temperature be-
cracking phenomenon that can lead to failure un- tween the substrate, the sprayed layer, and the
der the combined effect of tensile stress and a outside surface. The differential contraction thus Taking Residual Stress into Account
corrosive environment. Cracking is generally produced between the various materials, due to when Calculating the Expected
transcrystalline and can appear on all types of the difference in physical and mechanical prop- Fatigue Life
materials, such as aluminum alloys, steels, cop- erties, determines the stresses in the coating and
per, titanium and magnesium. The introduction the coating-substrate interface. These stresses In the previous section, the different effects of
of residual compressive stress can considerably therefore influence the mechanical and thermo- residual stress on the mechanical strength of
increase the fatigue life of parts subjected to mechanical behavior of the coated parts. structures and materials were mentioned. Al-
stress corrosion. Tests carried out on magnesium In order to appreciate the quality of a coating, though the ability to quantitatively estimate the
test specimens placed under stress in a salt so- three types of damage to parts in service can be fatigue life taking residual stress into account is
lution gave the following results: considered: just beginning, it is still too early to extend these
Ground test specimen: failure after two min- The coating deteriorates rapidly. predictions to other types of stress that are far
utes The properties of the substrate are modified more complex and involve physical and chemi-
Shot peened test specimen: no cracking after by the coating. cal phenomena. Statistics show that failures of a
12 days under the same conditions The damage is common to both materials. It purely mechanical origin are mainly due to fa-
is located at the interface and jeopardizes both tigue. It is for the reasons indicated previously
The tests conducted by W.H. Friske show that that this article only addresses problems con-
the fatigue life is 1000 times greater for a shot- the adhesion and the fatigue life.
cerning the prediction of fatigue life. Two arti-
peened 304 grade stainless steel part than it is C. Richard et al. have shown that decreasing cles (H. P. Lieurade and A. Pellissier-Tanon) in
for a non-shot-peened part (Ref 20). Tests car- the residual stress by thermal treatment of the Ref 13 deal with the question of predicting the
ried out by CETIM on Z6CN18.9 stainless steel coating considerably improves adhesion at the effect of residual stress on crack propagation
produced similar results (Ref 21). interface (Ref 23). Figure 10 illustrates the effect phase. Although, they concern welded struc-
Effect on Adhesion of Coatings (Ref 22 of residual stress. It can be seen that the apparent tures, the concepts developed in these two ref-
25). Most coatings are produced for a specific toughness of the interface is improved by 100% erences can be applied to other types of struc-
reason, particularly to improve the corrosion and when heat treatment is applied. There is a high tures. By limiting the approach to prediction of
wear resistance of the base material, or to pro- level of residual tensile stress in the test speci- the fatigue life to the fatigue cracking initiation
vide a thermal barrier for use at high tempera- men without heat treatment. When the level of stage, the problem of predicting the fatigue life
ture. But this is only achieved if the coating ad- residual tensile stress increases, the true tough- of mechanical components subjected to a high
heres to the substrate correctly. Adhesion ness of the coating decreases. An increase in the cycle fatigue can be analyzed.
therefore indicates correct preparation of the sur- residual compressive stress produces the oppo- Calculating the Effect of Residual Stress on
faces to be coated and the quality of the coating site effect. the Fatigue Strength. Based on the experimen-
operation. The last few years have seen the ap- Influence of Residual Stress on the Tensile tal results mentioned previously, it would seem
pearance of plasma-spraying techniques, both at Strength, Friction, Wear and Dimensional that a linear relationship of the Goodman type
atmospheric pressure and at reduced pressure. Stability. The effect of residual stress on the ten- can be used to take residual stress into account:
These processes offer a high degree of flexibility sile strength is obvious, particularly in structures
for coatings in critical areas. However, high re- made of composite materials or when the pre- rD
sidual stress, inherent to the coating method stressed layer is very thick compared with the ra rD (rm rR) (Eq 1)
Rm
thickness of the parts. In composites, residual
stress is produced as a result of the thermal and
where ra is the amplitude of admissible stress,
mechanical incompatibility of the reinforce-
R
rm is the mean fatigue stress, rD is the purely
7 ments and matrix. This can influence the mac-
reverse tensile fatigue limit, Rm is the true rup-
Kc roscopic properties of composites under tensile
6 300 ture strength, and rR is the residual stress mea-
or compressive stress (Ref 26).
sured in the direction of the applied service
Little research has been carried out on the ef-
5 stress. The numerous studies mentioned in Ref
fect of residual stress on friction and wear prop-
28 show that the effect of residual stress is
4 200 erties. Their role is often masked by other param-

greater when the properties of the materials are
Kc, MPa m
eters. The increase of hardness during treatment

high.
3 and changes in the toughness and adhesion of
If we try to represent the development of ra
antiwear coatings due to residual stress can con-
2 100 according to the residual stress rR by an equation
siderably affect the resistance to friction. Up un-
of the following type:
1 til the present, this effect has been integrated into
the global parameter of adhesion. In the future,
ra rD rR (Eq 2)
0 0 work will be carried out to try to determine the
real effect of residual stress.
1 the experimental results generally show that
The problem of dimensional stability has been
increases with the strength of the material; for
2
known for a long time. When a part is machined
100 example, in the case of machining stresses in an
TT STT that contains residual stress produced by heat
XC38 grade steel, Syren et al. found:
treatment or welding, the shape of the part can
Influence of heat treatment on the residual
Fig. 10 change after operation due to the relaxation of 0 in the annealed state
stress and the toughness of the interface: case
of plasma-sprayed coatings at atmospheric pressure. TT, residual stress. This is why stress-relieving treat- 0.27 when quenched and tempered
heat treated; STT, as-sprayed ments are frequently used to avoid this type of 0.4 when quenched
Unfortunately, these results are in contradic- the cyclic behavior of the materials. However, invent new criteria, but it leads to complica-
tion with an equation of the Goodman type. In Syrens results show that relaxation is much tions because of the increasing number of param-
Eq 2, the coefficient is none other than what greater when the mechanical properties are eters that need to be determined. Even with a
is usually called the endurance ratio: lower. linear relationship of the Dang Van type, two
When these experimental results are used with Wohler curves have to be determined to obtain
rD
the residual stress measured after carrying out a at least the two points needed to produce the di-
fatigue test, and therefore stabilized, it is some- agram. If additional constants are added, the test
Rm
times possible to use an equation such as Eq 2. plane will be even greater, which means that the
In the case of the fatigue bending test on cylin- criterion cannot be used in industry. As a result,
This parameter decreases as the rupture strength drical XC42 steel bars quenched after induction the criterion to be used must be simplified as
of steels increases. heating (Table 2), the fatigue test results for the much as possible. This case deals with radial
This apparent contradiction is probably ex- different treatments correspond perfectly to the loading problems (r1 K1 r2 K2 r3), and a
plained by the fact that the residual stress relax- Haigh diagram, provided any possible influence relationship of Eq 3 is sufficient. To simplify
ation phenomenon has not been taken into ac- of transverse residual stress on the fatigue stress matters further, the Crossland or Dang Van cri-
count. The value of the residual stress rR to be is ignored (Fig. 11). terion can be used. In the case of combined and
introduced into equation of type 1 or 2 men- It is not possible, however, to extend these out-of-phase loading, new criteria have been de-
tioned previously, must correspond to the stabi- results to all materials and to the different manu- veloped to take the out-of-phase effect into ac-
lized fatigue stress, or the coefficient of influence facturing processes that introduce residual stress. count (Ref 3639).
will include the relaxation process. The article Also, preliminary tests are needed to validate the But as yet, these criteria have not been vali-
by D. Lohe and O. Voehinger in this Handbook methodology. The use of residual stress in cal- dated in a study in which combined and out-of-
presents a large number of results concerning the culations based on endurance diagrams of the phase residual stresses have been taken into ac-
relaxation of residual stress under mechanical Haigh or Goodman type usually only allows for count. When the fatigue stress is complex, it is
and thermal loading. References 29 and 30 pro- an estimation of the increase in fatigue strength also very difficult to calculate the expected re-
vide the information on the relaxation mecha- as a function of the residual stress. Secondly, this sidual stress relaxation.
nism of residual fatigue stress as a function of approach only allows for the combination of uni- When fatigue cracks are initiated on the sur-
axial stresses. Yet the residual stresses produced face, the stresses to be taken into account are
by the various manufacturing methods used to biaxial; this gives the following for the Cross-
800 make the part are always multiaxial. The stresses land or Dang Van criterion:
on the surface are biaxial while those inside the
700 A 2
r 1a r 2a r r
part are triaxial. Depending on the area in which 2 2
600
B Repeated
the fatigue crack is initiated (on or below the socta 1a 2a
C bending tests 3
D surface), the biaxial or triaxial stresses need to
500 Repeated tension test r1a
a, MPa
be included when calculating the fatigue life. sa

400 This raises the problem of choosing a multiaxial 2
300 fatigue stress criterion. A simplified approach 1
based on an endurance diagram can therefore Pmax (r1a r2a r1m r2m r1R r2R)
200 3
only be an approximation.
100 The test carried out by the CETIM (Ref 16) where r1a, r2a represent the amplitude of the
0 shows that the traditional Mises and Tresca cri- main reversed fatigue stresses (r1a r2a); r1m,
0 1000 2000 teria can only be used in the presence of higher r2m represent the average value of the main fa-
m, MPa
mean or residual stress. In this case, it is pref- tigue stresses; and r1R, r2R are the residual stress
Use of Haigh diagrams to take longitudinal re-
erable to use criteria (Ref 31) that include the values measured in the two main directions (sta-
Fig. 11 amplitude of octahedral shearing (socta) or the bilized values).
sidual stress into account (XC42 steel
quenched after induction heating). A through D represent maximum shearing (sa) and maximum hydro- To use the multiaxial fatigue criteria, the ref-
results of repeated bending tests; X, repeated tension test. static pressure (Pmax), as indicated here: erence curve for the material being considered is
Table 2 presents fatigue test results that correspond to A to
D.
needed, just as it is when using the Goodman or
salt f (A, B Pmhp, C Palt ) Haigh diagram. Reference 16 shows that the use
of Crossland or Dang Van criteria takes the in-
where Pmhp is the mean hydrostatic pressure, salt crease in the bending fatigue strength into ac-
a, MPa
is the amplitude of octahedral shearing or am- count perfectly as a function of the residual
A plitude of the maximum shearing, and Palt is the stress introduced by the various treatment con-
B Repeated
C bending tests amplitude of hydrostatic pressure. ditions (Fig. 12).
400 D An example can be given as follows: When the multiaxial aspect is brought into the
Repeated tension test picture, the method that consists in introducing
300 salt A B PD
mhp C Palt
E
(Eq 3) residual stress into the calculation in the same
way as a mean stress, therefore, seems to give
200 where A, B, C, D, and E are material constants. satisfaction. The whole problem lies in defining
If Dsalt is taken on the maximum shearing the residual stresses to be included in the cal-
100 plane, D E l and B C, the result is the culation.
Dang Van criterion (Ref 32). Taking residual stress into account is essential
If Dsalt is taken on the octahedral shearing for correct prediction of the fatigue limit. Figure
200 100 0 100 200 300 400 plane, when D E 1 and B C, the Cross- 13 shows the important role played by compres-
Pmax, MPa land criterion results (Ref 33); when D E sive residual stress. If it is not taken into account,
1 and C 0, the Sines criterion (Ref 34); and the fatigue strength is underestimated (Fig. 13a).
Use of the Dang Van criterion to take residual
Fig. 12
stress into account (XC42 grade steel quenched
when D E 1 and B C, the Kakuno cri- If the residual stress measured or calculated is
after induction heating). A through D represent repeated terion (Ref 35). used without taking relaxation of the residual
bending test; X, repeated tension test. This type of development can be continued to stress into account, the fatigue strength is over-
Residual Stresses and Fatigue Behavior / 37
kt 2.5, g 2 mm1. However, with regard machining procedures. After correction of the with rather small and with compressive surface
to the residual stress state, there is no significant data points given in Fig. 32 to the same hardness, residual stresses yield identical fatigue behavior.
influence on the bending fatigue strength, even it turns out that the bending fatigue strength is It should be noted that the surface layer bearing
though the range of residual stresses covered hardly changed or slightly diminished at most, compressive residual stresses is rather small.
comes to more than 1000 MPa regarding speci- if the residual stresses change from compressive Contrarily, the generation of tensile residual
mens with kt 4.4, g 15 mm1. Careful to tensile (Ref 49). stresses causes a significant decrease of bending
inspection of the hardness of the specimens S-N curves for push-pull loading of smooth fatigue strength and a rather small decrease of
tested shows that a positive slope of the lines in specimens made from normalized SAE 1015 finite fatigue life, which obviously vanishes at
Fig. 32 is not related to the changing (macro) steel (German grade Ck 15) in the as-heat-treated high stress amplitudes.
residual stress state, but to different hardness of state and after an additional deep rolling are The alternating bending fatigue strength of
the specimen and, hence, differences in the mi- shown in Fig. 33(a) (Ref 53). Again, the fatigue ground smooth and notched specimen with dif-
cro residual stress state produced by different behavior in the range of finite fatigue life and the ferent geometries made of the same material
fatigue strength do not differ much. Figure 33(b) state is plotted in Fig. 36 as a function of the
shows a plot of S-N curves for rotating bending surface residual stresses (Ref 4752). Similar to
of the same material states. Now, by deep rolling Fig. 32, the influences of the stress-concentration
Nominal stress amplitude (n,a), MPa
320 finite fatigue life is increased by one order of factor and the normalized stress gradient are
300 magnitude or more, and the bending fatigue clearly discernible. However, contrary to the
280 strength is increased significantly. normalized steel there is distinct reduction of the
Medium-Strength Steel. Figure 34 shows S- bending fatigue strength with increasing tensile
260
Deep rolled N curves that were determined in alternating residual stress, this being more pronounced in
240 bending on notched specimens of quenched-and- the comparison of smooth specimens with
tempered (600 C/2 h) SAE 1045 steel (Ref 47 notched specimens. In the range of compressive
220
49). All data are valid for a failure probability residual stresses covered, the influence of resid-
200 of 50% and Nu 107. Three batches of speci- ual stress on bending fatigue strength is rather
mens were manufactured by grinding. The grind- small.
180 ing parameters (final feed, cutting speed) and the The S-N curves of smooth specimens in the
104 105 106 107
resulting depth distributions of residual stresses ground state and after an additional shot peening
Number of cycles to failure, Nf
are given in Fig. 35 (Ref 4749). Specimens are compared in Fig. 37(a) (Ref 4749). There
(a)
is a distinct increase of the bending fatigue
strength by shot peening, but a rather small in-
320
1000
300 Deep rolled
Residual stress (l ), MPa
280

2 20 m, 30 m/s 600
260
500
rs
240 2 6 m, 15 m/s 500 Shot peened
220 400
0
200 300
2 3 m, 15 m/s Ground
180 200
104 105 106 107 500
0 0.1 0.2 100
Number of cycles to failure, Nf
Distance from surface, mm
(b)
0
Fig. 35 Depth distribution of the residual stress in 104 105 106 107
Fig. 33 S-N curves of specimens made from normal- notched specimens made from quenched-and-
ized plain carbon SAE 1015 steel in the as- Number of cycles to failure, Nf
tempered (600 C/2 h) plain carbon SAE 1045 steel by dif-
heat-treated state and after an additional deep rolling for ferent grinding processes with the indicated two steps of (a)
(a) push-pull loading and (b) rotating bending. After Ref 53 final feed and cutting speed. Source: Ref 4749
600
500
Bending fatigue strength (Rf), MPa
600 400 Shot peened

Smooth = 0.4 400
500 Milled
300 = 0.1
kt = 1.7 300
400
Notched Ground
200
300 rs = 221 MPa
200 =2
100
200 =5
19 100 kt = 2.5 0
kt = 1.7 =2
100 602 104 105 106 107
=2
0 0 Number of cycles to failure, Nf
104 105 106 107 500 250 0 250 500 750 (b)
rs
Number of cycles to failure, Nf Surface residual stress (l ), MPa Alternating bending S-N curves of specimens
Fig. 37
made from quenched-and-tempered (600 C/2
Fig. 34 Alternating bending S-N curves of notched Fig. 36 Alternating bending fatigue strength of ground h) plain carbon SAE 1045 steel. (a) Smooth specimens after
specimens made from quenched-and-tem- smooth and notched specimens made from grinding and after additional shot peening. (b) Notched
pered (60 C/2 h) plain carbon SAE 1045 steel after differ- quenched-and-tempered plain carbon SAE 1045 steel ver- specimens after milling, grinding, and grinding with addi-
ent grinding processes. Source: Ref 4749 sus surface residual stress. Source: Ref 4752 tional shot peening. Source: Ref 4749
rience or modeling. In Ref 29 and 30, a complete occurs between 2 and 5 million cycles. The tests actly show what the author is trying to demon-
model was presented using FEM to determine give an average fatigue life for the previously strate, since in the two types of tests for the same
the stabilized residual stress after fatigue load- mentioned loading in the order of 3.5 million material, the ratio of R(rmin /rmax) is modified.
ing. This estimation of the residual stress can cycles. This example shows that, if the cyclic As has been shown, the residual stress relaxation
then be used to calculate the fatigue life of a part, properties of the material are correctly known, it changes when the R ratio is varied (Ref 29). The
taking residual stress into account. Despite the is possible to predict the fatigue strength of the real contribution of each factor will therefore be
initial definition of the Dang Van criterion, material in the presence of residual stress. different from that indicated in Fig. 18.
which proposes that it only be used in cases of However, it should not be forgotten that other It can thus be seen that taking residual stress
fatigue strength with an unlimited number of cy- factors must also be taken into account in cal- into account in the calculation requires a serious
cles, an attempt was made to extend this criterion culating the fatigue lifethe introduction of re- examination of the different parameters in-
to include a limited fatigue life with a very large sidual stress is often accompanied by other volved. When reliable results are needed, fatigue
number of cycles (more than 2 106) (Ref 40). changes in parameters that have an influence on tests will no doubt need to be carried out on the
Figure 16 shows an example of the fatigue life the fatigue strength. In particular, these include: part or the structure concerned. However, mod-
estimated by calculation. First, a fatigue strength eling enables the variation in the different pa-
A new roughness that changes the local stress
diagram of the Dang Van type was defined ac- rameters to be rapidly simulated in order to find
concentration
cording to the fatigue life obtained from a series an optimal solution.
Additional strain hardening of the surface due
of fatigue life contours. Then the residual stress Partial Summary. The previous results show
to plasticizing
relaxation was calculated using FEM (Ref 29). that it is now possible to take residual stress into
A new metallurgical structure of the surface
Finally, the stabilized residual stress was intro- account in calculations designed to predict the
layers
duced into the diagram. In this example, in the fatigue life using a global approach. This must
case of a loading of 550 MPa, the point cor- Figure 17 shows the effect of the surface finish take the relaxation of residual fatigue stress into
responding to loading is inside the limit of the and strain hardening on the fatigue strength of account, as well as the other effects (strain hard-
fatigue life at 107 cycles. No failure occurs. For materials. It can be seen that an increase in the ening, hardness) introduced by the manufactur-
a loading of 600 MPa, the point corresponding roughness decreases the safety area, and strain ing method used. A multiaxial fatigue criterion
to loading including the residual stress is be- hardening increases the safety area, provided it that can integrate both the problem of residual
tween the line corresponding to 5 106 cycles does not damage the material. stress and the effect of the stress gradient applied
and that of 2 106 cycles. Failure therefore In the case of thermal or thermochemical sur- to a zone in the presence of stress concentration
face treatments (induction quenching, case hard- has been developed, that is, the Crossland or
ening, etc.), for example, it is necessary to take Dang Van criterion. It is used for a stabilized
alt the new fatigue strength of the treated layer into state of residual stress, averaged out for a basic
account in the calculation. volume of damage (thickness of critical layer),
1 2 Hardening effect The problem is more complex in the case of and applied within a network of contours that
2 1 3 Roughness increase residual stress introduced by plastic deformation represents the fatigue life. In the future, tests will
1 (pre-straining, machining, shot peening, roller be carried out to validate this type of criterion in
burnishing), since it is more difficult to distin- the case of combined stresses on notched parts
3
guish between the influence of residual stresses in the presence of residual stress.
and residual microstresses present in the grains
of the deformed material and that of strain hard-
ening of the material. Incorporating the Notion of
Evans (Ref 41) made this distinction in the Residual Stress into the Design
case of shot peening; to do so, he carried out
Pmax three types of fatigue tests on materials with
Office
various mechanical properties:
Fig. 17 Illustration of the effect of the surface finish and
Incorporating the notion of residual stress into
strain hardening on the fatigue strength Fatigue tests on a non-shot-peened material
the design office must be gradual and can be di-
Fatigue tests on a shot-peened material
vided up into several phases.
Fatigue tests on a shot-peened material, but
Today, very few industrial sectors consider
40 with a mean test stress rm, which compen-
the residual stress parameter directly. In techni-
sated for the surface residual stress. In this
cal specifications, requirements are included that
Role of hardening type of test, the effect of the macroscopic re-
are often closely related to residual stress with-
30 and residual stress sidual stress is cancelled out and the fatigue
out actually naming it. An Almen intensity must
Fatigue life increasing, %
strength obtained only depends on the in-

be guaranteed in the case of shot peening, for
crease in the mechanical properties of the
20 example, a roller-burnishing load, a machining
plastically deformed material and the residual
Role of procedure or a minimum treated thickness in the
microstresses distributed throughout the ma-
residual stress case of thermal or thermochemical treatment,
terial. The results obtained are presented in
10 and a maximum dimensioning tolerance in the
Fig. 18.
case of a machined or welded part.
It can be observed that, for materials with low In the first phase of incorporation, a semi-
0 resistance, the increase in the fatigue strength is quantitative notion can be used to evaluate the
Role of superficial hardening mainly due to surface strain hardening. On the increase in performance in terms of fatigue life
other hand, for highly resistant materials, it is or fatigue strength. A few examples can be pre-
10
20 30 40 50 mainly the influence of the residual stress that sented. Table 3 gives an example of the effec-
HRC governs the fatigue strength. When materials tiveness of shot peening in increasing the fatigue
have low elastic limits, the stresses introduced life of different types of mechanical parts, and
Fig. 18 Effect of the resistance of the base metal on the
increase in the fatigue strength after shot-
by shot peening relax much more easily than Fig. 19 shows the beneficial role played by roller
peening treatment, distinguishing between the effect of they do when the elastic limit is high. This test burnishing on the fatigue strength of spherical
strain hardening and that of residual stress only shows a general tendency and does not ex- graphite cast iron crankshafts. Figure 20 shows
a horizontal comparison of gains to be expected According to a mechanical approach, we can For a cyclic softening material, the residual
in terms of fatigue strength from various surface make the following general predictions (Ref 30): stresses relax with the increase of the number
treatments. The results presented here are not at of cycles up to a stabilized state of cyclic
For a cyclic hardening material, the relaxation
all exhaustive and are taken from a limited bib- properties.
of residual stresses is realized in the first se-
liography. However, this figure should not be
ries of fatigue cycles. The cyclic behaviors of material are very im-
taken as a reference, since the geometry of the
test specimens differs for each type of treatment.
In certain cases, this parameter can have an im-
portant effect on the gain achieved. Each indus- Table 3 Increase in the fatigue life of various mechanical components as a result of shot
trial sector must carry out this type of compari- peening
son for the treatments and materials used in order
Type of part Type of stress Increase in the fatigue life (%)
to help engineers design their products more ef-
fectively. Spindles Reverse bending 4001900
Shafts Torsional 700
The second phase consists of predicting the Gear box Fatigue life tests in service 80
fatigue life using the notions developed in the Crankshafts Fatigue life tests in service 3000, but highly variable
previous paragraph. Aircraft coupling rods Tensile compression 105
The third phase is the development of inte- Driving rods Tensile compression 45
Cam springs Dynamic stress 100340
grated tools for taking the residual stress into Helical springs Fatigue life in service 3500
account. The following paragraph presents an Torque rods Dynamic stress 140600
example of such a design tool on fatigue for Universal joint shaft Reverse bending 350
three-dimensional components. Gear wheel Fatigue life tests 130
Tank chain Fatigue life tests 1100
Weld Fatigue life tests 200
Valve Fatigue life tests 700
Example of Integrated Design Tool Rocker arm Fatigue life tests 320
By using the cyclic behaviors of material, a

simplified method to calculate residual stress re- 250
laxation has been proposed in the first section.
Maximum admissible stress, MPa
Secondly, a method to predict fatigue life by tak-

200
ing the stabilized residual stresses into account
Alternated
is presented. This design tool is based on the stress
FEM. It has been applied to shot-peened 150
35NCD16 grade steel. The different fatigue pa- 0
rameters often used in material research are stud- 100
ied. On the other hand, an experimental inves-
tigation about this material had been done by
Bignonnet (Ref 42). The results of the study 50 0
show that this design tool on fatigue developed
by the Laboratory of Mechanical Systems En- 0 Repeated
stress
G
gineering (LASMIS) (Ref 43) is able to take into

S-
S-
S-
S-
S-
S-
70
40
40
70
70
70
account different loading parameters.

w
io
te
sh
in
su
ith
ni
du
ni
The residual stresses, however, can be relaxed

ot
rfa
c
fe
ou
ct
pe
ce
ni
io
tt
by the deliberate application of thermal or me-

tri
en
ro
re
di
in
llin
at
ng
chanical energy. They will be especially relaxed

g
m
g
en
when the structure is subject to cyclic loading.

t
The relaxation phenomenon depends on a com- Fig. 19 Effectiveness of roller burnishing in increasing the fatigue strength
plex interaction of a number of factors, such as
the applied stress amplitude, the number of cy-
cles of loading, the state of initial residual
stresses, and the nature, origin, and mechanical Thermal treatment by electron beam, R = 0.1
properties of the material. In this article, only
TT by CO2 laser, R = 0.1
relaxation during cyclic loading and the influ- TT by CO2 laser, R = 1
Treatment or process
ence of the stable residual stresses on the fatigue TT by laser shock, R = 0.1
life are studied.
ST by nitriding R = 0.1
In only a few cases are the residual stresses
systematically analyzed using measurement of TT by induction R = 0.1
the residual stress state during and after fatigue TS carburizing R = 0.1
testing. This is usually a difficult, time-consum-
ST by surface rolling R = 0.1
ing task. Several fatigue tests under tensile and
torsion loading with different stress amplitudes 200%
ST by surface rolling R = 0.1
have been done.
A numerical method for the prediction of the ST by shot peening R = 0.1
residual stress distribution during and after fa-
0 25 50 75
tigue has been developed. Finite element soft-
Increase, %
ware is used for incorporating cyclic plasticity
into the calculation. A simplified method to cal- Beneficial effect of various surface treatments on the fatigue strength (maximum gain reported in the literature).
culate stabilized residual stresses was proposed.
Fig. 20
TT, thermal treatment; ST, surface treatment
portant in the prediction of residual stress relax- (Ref 43). It can take the residual stresses into can be obtained by the measurement method or
ation. They make it possible to calculate the re- account when calculating the fatigue life of a by the simulation of surface treatment. Then, this
sidual stress state for a corresponded number of structure. It is based on the FEM. With this tool, initial field of residual stresses can be introduced
cycles. an iso-colored image of distribution of fatigue by FEM using ABAQUS (Ref 44, 45). Further-
Then, a method to predict fatigue life while life or safety factor can be obtained. more, a stabilized field of residual stresses can
taking these stabilized residual stresses into ac- These methods mentioned above are applied be predicted after an elastic-plastic calculation,
count is presented. The fatigue criterion under to shot-peened 35NCD16 grade steel. The dif- in which the cyclic behaviors of material are
multiaxial stresses is used. After the relaxation, ferent fatigue parameters often used in material used. This stabilized field of residual stresses af-
the residual stresses can be combined directly research are studied. A comparison with the exter relaxation must be taken into account when
with the cyclic loading. They change the value perimental results has been carried out (Ref 43). calculating the fatigue life. At last, with the help
of the mean stresses and influence the fatigue Basic Steps for the Calculation. Figure 21 of a design tool on fatigue, FATIGUE3D, the
life. shows the elementary steps of the calculation of distribution of fatigue life and that of the safety
As a result, a design tool on fatigue for three- fatigue life while taking into account the residual factor on fatigue can be obtained.
dimensional components, FATIGUE3D, has stresses. Principle and Basic Function. According to
been developed in the laboratory of LASMIS First, the initial state of the residual stresses the criteria of fatigue under multiaxial loading,
the fatigue life changes along with two param-
eters. One of them is maximum static pressure;
another is equivalent octahedral stress. There-
Calculation of Introduction of initial field Measurement of fore, two stress-number of cycles (S-N) curves
residual stresses of residual stresses residual stresses are needed under simple cases (for example,
bending or torsion). With these two curves, a line
can be determined for a certain number of cycles
Prediction of Cyclic behaviors
(life) in the stress plane P s (Fig. 22).
residual stress of material
A different fatigue life is represented by a dif-
ferent line. If there is a complex stress state, it
Outside solicitation, Mechanical properties gives a point in the plane P s. Respectively,
Fatigue, 3D the line to which this point is nearest represents
cyclic loading of material
the fatigue life of that stress state. In this way,
the fatigue life for any complex stress state and
Distribution of fatigue life, for any part of a component can be predicted. A
safety factor, and distribution of the fatigue life is helpful for the
admissible residual stress designer.
Fig. 21 Basic steps of calculation while taking into account the residual stresses
On the other hand, the safety factor on fatigue
is another interesting parameter for the designer.
FATIGUE3D provides a distribution of the
safety factor. In Fig. 23, N-cycles are the de-
signed life and M is the point given by the stress
S state. The safety factor on fatigue is defined as S
OM/OM.
N1
Example and Results
N1 Material and Geometry. The shot-peening

process is a widely used technique because it can
produce a field of residual stress on the surface
N P of a part. These stresses are compressive and will
Fig. 22 Principle of calculating fatigue life improve the properties on fatigue. As an exam-
ple, a shot-peened part made of 35NCD16 grade
steel (0.35% carbon, 3.7% chromium, 0.3% mo-
lybdenum and having tensile properties of: a
yield strength of 1000 MPa, an ultimate tensile
strength of 1100 MPa, and an elongation of
17.5%) is studied. Many results of fatigue ex-
s = OM/OM periments are available regarding tension com-
pression and torsion loading (Ref 44).
The geometry of the part is defined from the
M real geometry so that the testing results can be
compared. It is similar to the fatigue test sample,
N-cycles only the numerical values (radius, length) vary
for tension compression or torsion loading. The
M difficulty is to define a thin mesh near the surface
(0.20.4 mm, or 0.0080.016 in.) where the re-
P sidual stresses are introduced while maintaining
O
a normal mesh in other zones. Figure 24 shows
Principle of calculating the safety factor on fa- the three-dimensional mesh of the part.
Fig. 23 Fig. 24 Introduction of the Initial Field of Residual
tigue Three-dimensional mesh
100 100
0 Axial stresses Tangential stresses
under tensile loading 0 under tensile loading

100 Measurement Measurement
100
200
200
300
300
400
400
500
500
600
600
0 0.05 0.10 0.15 0.20 0.25 0.30 0 0.05 0.10 0.15 0.20 0.25 0.30
Depth, mm Depth, mm
100 100
0 Axial stresses 0 Tangential stresses

100 Measurement 100 Measurement
200 200
300 300
400 400
500
500
600
600
700
0 0.1 0.2 0.3 0.4 0.5 0.6 0 0.1 0.2 0.3 0.4 0.5 0.6
Depth, mm Depth, mm
Fig. 25 Initial distribution of the residual stresses
Stress. The initial residual stress distribution is elastic-plastic properties of material, because the der the cyclic loading can be obtained. Part of
calculated from the residual stresses measured plastic deformation is the main cause of the re- the results and their comparison with the test val-
by the x-ray diffraction method in the upper laxation. So, the cyclic behaviors of material are ues have been shown in Fig. 27. In the case of
layer where initial stresses are introduced by sur- very important for the prediction of the residual the traction-compression loading, two loading
face treatment. In depth, the stresses are calcu- stresses. However, they can be measured by ex- levels were calculated. The same level for tor-
lated for the structural equilibrium. Figure 25 periment. sion loading with two different cycle numbers
shows the comparison of initial residual stresses Figure 26 shows the cyclic behaviors of was also analyzed. Figure 28 shows the stabi-
between the calculation and the experiment. 35NCD16 grade steel, a cyclic softening mate- lized residual stresses for different traction-com-
Prediction of the Residual Stress Relaxa- rial. pression load levels that are used in the predic-
tion. In order to predict the relaxation of the re- When the stabilized residual stresses are cal- tion of the fatigue life. Unfortunately, it is
sidual stresses, a simplified method proposed by culated, the behavior corresponding to NR /2 is impossible to compare with the experiment re-
Lu et al. has been used (Ref 30). It supposes that used. After an elastic-plastic calculation with sults.
the relaxation of the residual stresses depends on FEM, the relaxation of the residual stresses un- Prediction of the Fatigue Life. For predict-
ing the fatigue life under a complex stress state,
it is necessary to have two S-N curves. One is
Rec(MPa) = 920 55,14 log N
for simple traction or traction compression; an-
other is for alternated torsion. These curves are
1 cycle basic data of a material, and they can be obtained
2 N, Re(Y.S.), by experimental method.
1000
3 cycles MPa
15 Using the program FATIGUE3D, a design
900 50 1 940 tool on fatigue developed in the LASMIS labo-
/2, MPa
150 ratory, a distribution of fatigue life and a distri-

2 920
800
NR/2 3 910 bution of safety factor for a structure can be ob-
15 870 tained. In this example, the fatigue life under
50 830 traction-compression cyclic loading and torsion
700
150 800 loading has been calculated. The stabilized re-
35 NCD 16 sidual stresses play a role as static load. Figure
600 (Rm (UTS) = 110 MPa) NR/2 660
29 shows the results of fatigue life and their com-
parison with the experimental results. It is very
0.5 0.75 1 clear that the proposed method is available.
t/2, %
Prediction of Admissible Residual Stress.
In this approach, a calculation method has been
The cyclic behavior of 35NCD16 grade steel. Re, yield stress; R ec, cyclic yield stress as a function of number developed that can predict the admissible resid-
Fig. 26 of cycles; Det, axial plastic strain range during cyclic loading ual stress for a given fatigue life. This tool can
100 100
103 cycles, traction compression 550 MPa 102 cycles, traction compression 700 MPa
0 0
Axial measurement Axial measurement

Axial calculated Axial calculated
100 Tangential measurement 100 Tangential measurement
Tangential calculated Tangential calculated
200 200
300 300
400 400
500 500
0 0.05 0.10 0.15 0.20 0.25 0.30 0 0.05 0.10 0.15 0.20 0.25 0.30
Depth, mm Depth, mm
100 200
105 cycles, torsion 380 MPa 102 cycles, torsion 380 MPa
100
0 Axial measurement Axial measurement
Axial calculated Axial calculated
0

Tangential measurement Tangential measurement
100 Tangential calculated Tangential calculated
100
200 200
300
300
400
400
500
500 600
0 0.1 0.2 0.3 0.4 0.5 0 0.1 0.2 0.3 0.4 0.5
Depth, mm Depth, mm
Fig. 27 The relaxation results of the residual stresses
be used during the design phase to evaluate life. In other zones, tensile residual stress is ad- ing under different conditions, the physical and
whether or not residual compressive stress needs missible. mechanical data of the material need to be
to be introduced. The computer code also indi- The fatigue life can then be used to deduce a known. Generally speaking, these parameters
cates the level of the residual stress and the zone stabilized residual stress. An example of defining depend on the temperature, but the surface heat-
in which it needs to be introduced. In this way, the quenching conditions according to the resid- transfer coefficient depends not only on the tem-
the treatment condition during the mechanical ual stress field obtained before relaxation is an- perature, but also the sample geometry, the quen-
design phase can be defined. Figure 30 shows a alyzed. chant, and the quenching temperature. In order
map of the prestress zone indicated for a notch An inverse technique designed to obtain the to solve the problem, it is considered that there
sample. It can be seen that in the high stress con- quenching conditions is then developed (Ref 46, is no change in any of the quenching parameters
centration area, residual compressive stress must 47). In this technique, it is necessary to simulate or the sample geometry. Only the quenching
be introduced to obtain a predetermined fatigue quenching using the FEM. To simulate quench- temperature changes. Quenching at different
temperatures was carried out. This gives the vari-
ation of the surface heat-transfer coefficient as a
100 100
function of the temperature for each quenching
temperature. It should be mentioned that numer-
Tangential residual stress, MPa
Traction-compression Traction-compression
Axial residual stresses, MPa
550 MPa 0 550 MPa ical methods alone are not sufficient to obtain
0 600 MPa 600 MPa the heat-transfer coefficient. The temperature
620 MPa 100 620 MPa must be measured during quenching. Since the
650 MPa 650 MPa heat-transfer-coefficient curve is known, the pa-
100 700 MPa 700 MPa
200 rameters of these curves as a function of the
quenching temperature can be defined. Once this
200 300 coefficient is known, quenching can be modeled
at different temperatures. The quenching tem-
400 perature in the case of water quenching varies
300
between 20 and 80 C (68 and 176 F). The lower
500 the quenching temperature, the higher the level
0 0.05 0.10 0.15 0.20 0.25 0.30 0 0.05 0.10 0.15 0.20 0.25 0.30
of the residual stress field introduced. Initially,
Depth, mm Depth, mm
the residual stress field obtained was found to be
Fig. 28 The stabilized residual stresses under different traction-compression loading cases lower than at 20 C (68 F) and higher than at
750 80 C (176 F). After this condition has been

Traction-compressionn load, MPa
440 verified, the quenching temperature can be de-

Without residual stresses Without residual stresses
700 termined by varying the quenching temperature
Experimental 420 Experimental
Torsion load, MPa

Numerical Numerical during simulation. After each simulation, the
650 400
calculated residual stress field is compared to
380 that obtained from the fatigue life. A limit con-
600
360 dition can be defined to improve the precision of
550 the results. When comparing the residual stress
340
fields, the hydrostatic pressure was used at each
500 320 point.
450 300
105 106 107 105 106 107
Fatigue life N cycles Fatigue life N cycles
Summary
Fig. 29 Results of fatigue life
Residual stress plays a very important role
with respect to the different properties of mate-
rials. The gain obtained from the presence of re-
sidual stress can be enormous. This article at-
tempts to show the effects of residual stress
through the example of fatigue strength. Here, it
S11 Value has been shown that it is now possible to predict
2.24E+02 the fatigue strength of materials, taking residual
4.24E+01 stress into account. The results of this study
+1.39E+02 show that it is possible to predict the residual
+3.20E+02 stress relaxation and fatigue life, with consider-
+5.01E+02 ation of the influence of residual stress by the
+6.82E+02 FEM. It has been found that the calculated re-
sults of fatigue life at surface agree very well
with experimental results.
Although the author is not in a position to pro-
vide the same type of calculation tools for other
properties, such as corrosion resistance and the
1
adhesion of coatings, it is now reasonable to ex-
3 pect that the notion of residual stress will be
gradually introduced into the design stage of me-
2 chanical parts. Numerical modeling of the be-
havior beforehand saves a considerable amount
Fig. 30 Prediction of admissible residual stress (or the prestressed area) for a notched sample under bending loading, of time because of the reduction in the number
using the finite element method
of experimental tests required. These tests are
often very long and costly, but they have proved
to be indispensable. The problem of taking re-
sidual stress into account at the design stage will
become more and more critical with the devel-
opment of new materials (multimaterials, etc.)
and new treatments (combined treatments, etc.)
Mechanical component With the development of different experimen-
development tal and numerical techniques, it is now possible
to introduce residual stress into the design office
for the integrated design of mechanical compo-
Introduction of a surface nents, thus offering a new concurrent engineer-
Optimization of geometry and prestress treatment
according to the choice ing approach applied to the design of mechanical
of manufacturing process components taking residual and applied stress
into consideration. Figure 31 shows the different
No Is fatigue life connections between residual stress-integrated
in accordance Yes
Stress analysis by Stop design and other sectors that use the concurrent
a finite element method with
specifications?
engineering approach. A mechanical component
Adjustment of a designer can simulate dynamic characteristics,
finite element model material processing, and product life.
Experimental checking of Consideration of residual stress is becoming
stress: rapid prototyping
increasingly important for two reasons: the in-
troduction of multimaterials that induce residual
stress, and the need for the designer to reduce
No Are results Yes Fatigue life the weight of components in order to remain
coherent? estimation competitive. Basic research has brought a better
understanding of the phenomena relating to re-
Various connections between residual stress-integrated design and other sectors that use the concurrent en- sidual stress.
Fig. 31 The main aim is to develop an integrated qual-
gineering approach
ity control tool. For industrial applications, fu- grant Brite-EuRam, BRRT-CT985090, EN- Austenitic Stainless Steel, Residual Stress,
ture developments are necessary: SPED project), and the National Science Foun- V. Hauk, H.P. Hougardy, E. Macherauch,
dation of China (two bases project) is acknowl- and H.D. Tietz, Ed., DGM, Verlag, 1992, p
Measurement techniques edged. 891900
Improvement of ultrasonic and magnetic 12. J.B. Roelens, F. Maltrud, and J. Lu, Deter-
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ACKNOWLEDGMENTS
1995, p 194198 Plasma Sprayed NiCrAlY Coating and
The author is grateful to all the people at LAS- 10. J. Lu, P. Peyre, C. Omam Nonga, A. Ben- Characterization of Interface Toughness,
MIS working in the field of residual stress for amar, and J.F. Flavenot, Mechanical Surface Memoires et Etudes Scientifiques, Revue de
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A. Voinier, Mr. F. Belahcene, Mr. K. Gong. Fi- barin, G. Chalant, and G. Inglebert, Mod- CrAlY Coatings, Surf. Coat. Technol., Vol
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Residual Stresses and Fatigue Behavior

D. Lohe, K.-H. Lang, O. Vohringer
University of Karlsruhe, Germany
COMPONENTS MAY FAIL DURING SER- mechanisms of residual stress formation are in- with work-hardening and/or work-softening
VICE in very different ways. Important aspects homogeneous plastic deformation caused by me- processes occur. In both cases, the amount of
are: chanical, thermomechanical, or thermal attack cyclic plastic deformation is the most important
and the development of constraint between dif- parameter. Since during fatigue loadings that re-
Onset of plastic deformation or exceeding of ferent constituents of a component such as sult in technically relevant lifetimes or in infinite
allowable plastic deformation phases or coatings during the formation of the life, the cyclic plastic deformations decrease
Crack initiation or exceeding of allowable constituents (e.g., during the coating process) with increasing hardness, it is generally expected
crack length and/or during cooling from a higher process that the influence of macro residual stresses is
Unstable crack propagation that results in temperature (e.g., the sintering temperature). lower in low-strength steels than in high-strength
fracture of the component Manufacturing processes not only result in the steels.
Instability such as buckling, which may result formation of definite macro residual stress states, Comparison between Loading Stresses and
in elastic or plastic collapse and, hence, cat- but may also effect other changes of the com- Residual Stresses. Since the alteration of the
astrophic failure ponent state close to its surface: micro residual stress state caused by manufac-
In practice, failure of a component is almost Formation of a specific topography turing processes changes the local hardness
always determined by the interaction of several Work-hardening or (in very hard material within a component and hence the local strength,
external parameters, such as unexpected high states) work-softening processes and hence it is convenient to comprise the corresponding
static and/or cyclic loads, friction, thermal en- alteration of the micro residual stress state influence on the fatigue behavior of the compo-
ergy, oxidation, corrosion, and so forth. On the Phase transformation nent as a change of the local fatigue resistance
other hand, the component itself may contribute Crack initiation of the steel used for the component.
to premature failure, if there is confusion of the On the other hand, stable macro residual
component material, wrong heat treatment, sur- All these processes may change the fatigue be- stresses are static stresses and may be regarded
face decarburization, and so forth. havior of a given component. It is hardly possi- as locally varying mean stresses. However, it is
The residual stress state in a component may ble to completely separate these influences, even important to realize that there are definite differ-
be one of the most important parameters influ- though this is very important for the understand- ences between loading mean stresses and resid-
encing its service behavior, particularly regarding of the existing relationships. ual stresses:
ing high-strength material states. Residual
stresses may reduce yield or elastic collapse Loading mean stresses exist as a consequence
loads and may promote corrosion cracking (Ref Residual Stress of acting external forces, moments, pressure
1, 2). With respect to fatigue, which is the topic and/or internal pressure, and eventually tem-
of this article, residual stresses may alter the cy- Stability of Residual Stresses. For the as- perature gradients. Residual stresses exist as
clic deformation behavior, promote or retard sessment of the influence of residual stresses on a consequence of inhomogeneous plastic de-
crack initiation, accelerate or decelerate crack fatigue behavior, the stability of the residual formation and/or as a consequence of con-
propagation, and may be beneficial or detrimen- stress state is of utmost importance. The reader straints between different constituents of a
tal to finite fatigue life and the endurance limit. is referred to the article Stability of Residual component.
It is important to realize that in a component lo- Stresses in this Handbook, which deals with the Distribution and sign of loading mean
cally very high amounts of residual stresses may relaxation of residual stresses due to monotonic stresses depend on the external loading, the
exist. For example, in a spring steel up to 2000 or cycling loading or due to thermal energy. It geometry of the component, the elastic-plas-
MPa compressive residual stresses may be pro- is shown there that the micro residual stress state tic deformation behavior of the material (if
duced by a combined warm and stress peening is more stable against mechanically and ther- maximum loading stresses exceed the yield
process (Ref 3). mally induced relaxation than the macro residual strength or the cyclic yield strength), and on
In practice, no component is free of micro re- stress state. On the other hand, it is also proved thermophysical material properties (if tem-
sidual stresses. Almost all components have that during fatigue the micro residual stress state perature gradients exist). Distribution and
macro residual stresses to a certain extent. Only of a given steel may be changed by cyclic hard- sign of residual stresses depend on the
a small number of components exist where ening and/or cyclic softening processes, which amount and extension of inhomogeneous
macro residual stresses are negligible, for ex- are closely related to cyclic plastic deformations. plastic deformation in relation to the whole
ample after a suitable stress relaxation heat treat- Hence, during fatigue loading of a component component volume, on the interaction of me-
ment. The reasons for residual stress formation with locally varying macro as well as micro re- chanically and/or thermally driven deforma-
in components are treated in other articles in this sidual stress states, complex interactions of the tion during manufacturing processes, on the
Handbook. The most important ones are the vari- macro residual stress state with the cyclic load- strength of the material state, and/or on the
ous manufacturing processes. The fundamental ing stresses and the micro residual stress state volume fraction, the elastic as well as the
thermophysical properties of the constituents if existing temperature gradients are changed Stage D: Unstable crack propagation and fail-
of the component that impose constraint on and finally removed. Residual stresses may be ure
each other. changed and eventually disappear by ther-
Loading mean stresses are in equilibrium mally and/or mechanically induced relaxa- An example of the consequences of these fatigue
with external forces and moments. Residual tion. stages is shown in Fig. 1 in an S-N diagram
stresses are in equilibrium with themselves Loading mean stresses are not influenced by (Wohler diagram) for the plain carbon steel SAE
regarding balance of forces and moments cyclic plastic deformation in stress-controlled 1020 (German grade C 20), which presents ex-
with relation to any sectional area and axis, loading, unless stress gradients become very perimental results for persistent slip band for-
respectively. The latter is also true for ther- highfor example in the root of sharp mation (ra /log Ns curve), microcrack initiation
mally induced loading stresses. notches, where mean stress redistribution (ra /log Ni curve), and failure (ra /log Nf curve)
Loading mean stresses may be changed and may occur. Residual stresses always relax, if (Ref 5).
finally disappear, if external loadings and/or the cyclic loading exceeds certain threshold Cyclic Deformation Behavior. Investiga-
values (see the article Stability of Residual tions on the cyclic deformation behavior in stage
Stresses in this Handbook). A using computerized servohydraulic test sys-
tems enable the determination of the complete
The interaction of the residual stress state with stress/total-strain response at distinct numbers
the cyclic loading stresses determines the fatigue
Stress amplitude (a), MPa
of cycles that yields to hysteresis loops. In a

Nf behavior of components. The following sections stress-controlled test, the plastic strain amplitude
Ni of this article discuss the consequences of this ea,p plotted versus log N results in a cyclic de-
interaction on cyclic deformation behavior, on formation curve that corresponds to the micro-
Ns crack initiation and crack propagation, as well as structural changes in the material during cyclic
on the fatigue life and on the endurance limit. loading. Decreasing (increasing) ea,p values with
Throughout this article, no special account is an increasing number of cycles N are typical for
given for multiaxial loading or residual stress a cyclic work-hardening (work-softening) be-
states and equivalent stresses are not used. In- havior.
stead, this article considers simple loading states Characteristic cyclic deformation curves of
and those components of the residual stress the low-alloy steel AISI 4140 (German grade 42
Number of cycles, N
statewhich is of course always multiaxial CrMo 4) in a normalized state are shown in Fig.
Wohler curves for slip band formation (Ns), mi-
that are relevant for the interaction of the cyclic 2. During stress-controlled push-pull tests with
Fig. 1 loading and the residual stress state under con- R rmin/rmax 1 and ra RP0.2, the plastic
crocrack initiation (Ni), and failure (Nf). Source:
Ref 5 sideration. With regard to notched specimens strain amplitudes systematically change with the
in which a multiaxial stress state always exists stress amplitudes applied. In the initial stage of
upon mechanical loadingthe treatment is cyclic loading, a quasi-linear elastic behavior is
based almost entirely on nominal stresses and found. This stage is followed by a period of in-
Plastic strain amplitude (a,p), %
0.4
stress amplitudes. Hence, the fatigue strengths creasing ea,p values due to cyclically induced
and the cyclic loadings corresponding to finite work-softening effects that are connected with
0.3 fatigue lives given in this article are nominal inhomogeneous deformation processes caused
stress amplitudes. First of all, the section Some by fatigue Luders bands. This can be proved with
0.2 Aspects of Fatigue of Steels introduces some photoelastic investigations. A typical result ob-
basic definitions and relations of fatigue. This is tained for this steel is presented in Fig. 3. Plas-
0.1 done here rather briefly. The phenomenon and tically deformed areas appertaining to the indi-
the processes of the fatigue of steels are pre- vidual stages of inhomogeneous cyclic
sented in general and in detail in Volume 19 of deformation were registered photographically
0
the ASM Handbook (Ref 4). and marked as hatched areas on the specimens
1 10 102 103 104 105 106 that are allied to the cyclic deformation curve.
Number of cycles, N Similar macroscopic softening effects occur in
Some Aspects of Fatigue of Steels all normalized states of plain carbon steels and
Fig. 2 Plastic strain amplitude versus number of cycles low-alloy steels with carbon contents below 0.6
of normalized AISI 4140 steel. Source: Ref 68 wt% (Ref 68).
The fatigue behavior of metallic materials is
The quasi-linear elastic period shortens and
characterized by different processes. Generally,
the extent of cyclic work softening grows si-
it contains four successive stages A, B, C, and
multaneously with increasing stress amplitude
D:
0.15 Homogeneous ra. After reaching a maximum of softening, the
Inhomogeneous
hardening Stage A: Cyclic deformation with work-hard- materials behavior is mainly characterized by
softening ening or/and work-softening effects in the to- work hardening, and the ea,p values decrease
0.10 tal volume (homogeneous loading such as with increasing number of cycles. At the end of
push-pull of smooth specimens) or in the the specimens life, the plastic strain amplitude
highest loaded regions (inhomogeneous load- increases again, however fictitiously as a con-
0.05 ing such as bending, torsion, or any loading sequence of changes in the compliance of the
of notched components) and development of specimens due to crack propagation. The plot of
persistent slip bands at the surface ra versus ea,t at N Nf /2, the so-called cyclic
Stage B: Microcrack initiation and propaga- stress-strain curve, of this steel is presented in
01 10 102 tion. Normal evolution of a macrocrack in the Fig. 4 together with the monotonic-stress/total-
Number of cycles, N
surface region strain curve at nearly the same strain rate e . In the
Stage C: Stable macrocrack propagation con- elastic-plastic range, the cyclic curve is lower
Fig. 3 Cyclic deformation curve and development of
inhomogeneous strain distribution during cyclic nected with changes in the state of the mate- than the monotonic curve due to the work soft-
softening of normalized AISI 4140 steel. Source: Ref 68 rial in the crack tip plastic zone ening. The cyclic stress-strain curves of plain
or quenched-and-tempered (at a low tempera- plitudes. However, the micro residual stress state (see Fig. 62a and c, 63, and 64c) and the im-
ture) steel, upper band in the figure) are con- may be changed significantly by the processes provement of the fatigue strength even by high
cerned that generate the macro residual stress. Hence, compressive residual stresses is limited (see Fig.
The depth distribution of the macro residual in a medium-strength steel the local resistance to 45a, 46, and 56). With increasing stress ampli-
stress rrs, characterized by its sign, magni- residual stress relaxation may be quite different tude and hence loading stress gradient, the crack
tude, and gradient grs even if the same initial material state is con- initiation site is shifted to the surface. Therefore,
The depth distribution of the micro residual cerned, and unique borderlines for the onset of the finite fatigue life is much more improved
stress rrs
micro residual stress relaxation do not exist (see Fig. than the fatigue strength (see Fig. 62a and c, 63,
The notch factor kt (smooth and mildly 60). A significant benefit from compressive re- and 45d). In notched specimens, the loading
notched specimens are regarded in the figure) sidual stresses is only obtained if their penetra- stress gradient is larger than in smooth ones. If
The gradient of the loading stress gls tion depth is sufficiently high and/or their gra- high compressive residual stresses with a suffi-
The surface topography, characterized by the dient is sufficiently low as compared to the cient depth and/or a small gradient exist, crack
roughness height Rh gradient of the loading stresses. Therefore, com- initiation will occur in the notch root resulting
pressive residual stresses produced by grinding in a strong improvement of the fatigue strength
do hardly influence the fatigue strength of (see Fig. 64a and b, 45b, 46, and 56). However,
Low-Strength Steel smooth and notched specimens (see Fig. 36). if the penetration depth of the compressive re-
Contrarily, compressive residual stresses gener- sidual stresses is low and therefore the gradient
In a low-strength steel, there will be no or very
ated by deep rolling or shot peening increase the of the local fatigue strength highfor example,
little influence of the macro residual stress, be-
notch fatigue strength (see Fig. 38, 39, and 41). after grindingthe improvement of the notch
cause it is relaxed more or less completely if the
The fatigue strength of smooth specimens is less fatigue strength will be small (see Fig. 44 and
cyclic loading approaches the fatigue strength
improved, if subsurface crack initiation occurs. 59). Frequently, after shot peening or deep roll-
(see Fig. 32 and 48). A change of the micro re-
Then, the fatigue strength of notched specimens ing, maximum compressive residual stresses oc-
sidual stress state by work hardening may sig-
may even be higher than corresponding values cur below the notch root. Then, the fatigue
nificantly increase Rf since the resistance against
of smooth specimens (see Fig. 41). This means strength may not be determined by the maximum
cyclic plastic deformation and hence, crack ini-
that the fatigue notch factor kf becomes less than cyclic loading, which does not result in crack
tiation increases (see Fig. 31). Then, also the re-
unity. At vanishing residual stresses, kf comes initiation, but by the maximum cyclic loading at
sistance against macro residual stress relaxation
rather close to kt if the loading stress gradient is which crack arrest below the surface is possible
is raised resulting in a certain sensitivity of the
small, but is significantly less at higher gls val- (see Fig. 67, 68, and 73). As a consequence of
work-hardened zone to macro residual stress.
ues. With increasing tensile residual stresses, the all these relationships, the fatigue notch factor
This may be detrimental or beneficial (see Fig.
fatigue notch factor is reduced again, as expected may vary strongly in the presence of compres-
33b) for Rf depending on the sign and the mag-
on basis of the Goodman relationship for smooth sive residual stresses regarding one-notch ge-
nitude of the macro residual stress. The influence
and notched specimens (see Fig. 58 and 60). ometry and may take values ranging from less
of the surface topography is rather small in a
There is a considerable influence of the surface than unity to the notch factor kt, as sketched in
low-strength steel (see Fig. 47). The fatigue
roughness on the fatigue strength, as shown in Fig. 75. In fact, regarding smooth and notched
notch factor kf is significantly smaller than the
Fig. 47. specimens, Fig. 44 and 54 prove that kf of ground
notch factor kt because cyclic plastic deforma-
specimens with compressive residual stresses
tion and stress redistribution occur in the notch
High-Strength Steel produced by grinding approaches kt. From Fig.
root (see Fig. 32). With increasing loading stress
56 it can be deduced that kf of shot peened spec-
gradient at a given kt, the fatigue strength in-
In high-strength steels, stress relaxation dur- imens approaches unity. At vanishing residual
creases due to the decrease of the highly stressed
ing cyclic loading in the range of the fatigue stresses, kf comes close to kt as expected in a
volume of the component or specimen (compare
strength only occurs in notched specimens bear- high-strength steel. With increasing tensile re-
kt 2.5, g 2 with kt 2.5, g 5 in Fig.
ing very high compressive residual stresses. sidual stress, the fatigue notch factor is reduced
32).
Then, the resulting fatigue strength is also high, and finally approaches unity (see Fig. 44 and 54).
and during corresponding cyclic loading very Again, this finding is in correspondence with the
Medium-Strength Steel high magnitudes of the minimum stress occur, Goodman relationship for smooth and notched
which leads to some residual stress relaxation specimens (see Fig. 58 and 59). The surface
In a medium-strength steel, there is a signifi- (see Fig. 57b). Contrarily, in the range of high roughness has principally a large influence on
cant influence of the macro residual stress on Rf tensile residual stresses and cyclic loadings that the fatigue strength of high-strength steel, as
since only a small part of rrs relaxes during cy- lead to infinite life or to technically relevant life- shown in Fig. 47. On the other hand, in practice
clic loading in the range of the fatigue limit (see times the occurring maximum stresses are much the roughness height of hard steel is rather low
Fig. 36, 38, 51a, and 52). However, in the low- lower and no residual stress relaxation is ob- even after mechanical surface treatments such as
cycle fatigue range, relaxation becomes more served even in the range of low-cycle fatigue. shot peening.
complete with increasing amplitude, and the in- Consequently, the residual stress sensitivity and
fluence of the macro residual stress vanishes (see the mean stress sensitivity of Rf are identical (see Recommendations
Fig. 34, 37, 39, 51b). Tensile residual stresses Fig. 59), and the fatigue strength is strongly re-
are always detrimental to Rf. Therefore, in the duced with increasing tensile residual stress. From all of these relationships, some recom-
presence of large tensile residual stresses a me- This is also true for the finite fatigue life (see mendations may be deduced. In medium- and
dium-strength steel may have equal or even Fig. 42). In the range of compressive residual high-strength steels tensile macro residual
lower fatigue strength than a low-strength steel stresses, complex relationships exist. A strong stresses must strictly be avoided since they al-
(compare Fig. 32 with 36). If relaxed tensile re- effect of rrs will only occur if cracks are initiated ways promote crack initiation and crack propa-
sidual stresses are concerned, the residual stress at the surface. However, in thick smooth speci- gation and are detrimental to the fatigue strength
sensitivity m of the fatigue strength approaches mens or components cyclically loaded in the andat least in higher strength steelto finite
the mean stress sensitivity M (see Fig. 60). In range of the fatigue strength, the loading stress fatigue life. In a low-strength steel, the influence
material states of similar hardness loaded in the gradient is usually lower than the gradient of the of tensile macro residual stresses is usually small
range of the fatigue limit, compressive residual local fatigue strength, which depends on the or negligible, and the change of the micro resid-
stresses relax stronger than tensile ones simply depth distribution of the residual stresses. Con- ual stress state by work hardening is much more
because of the different corresponding stress am- sequently, cracks are initiated below the surface important. In most cases, work hardening will be
rate in this region is below 108 mm/cycle. The Quantitatively, the following relationships are
upper parts of the curves represent the crack valid:
Crack growth rate, log da/dN
growth behavior as the Kmax values approach the

critical stress intensity factor KIc, which marks ea,p ef N a
f (Eq 5)
the onset of unstable crack propagation. Then the
crack growth rate increases boundlessly. and
R1 The Paris law does not represent the complete
crack growth curves shown in Fig. 9. The upper ea,e rf /E N b
f (Eq 6)
R2 part of the curves depends on KIc, and the lower
part on the threshold value DKth. Therefore, sev- with ef the fatigue ductility coefficient, rf the
R3
eral complementations were suggested. An equa- fatigue strength coefficient, the fatigue ductil-
tion that incorporates all of the features of crack ity exponent, b the fatigue strength exponent,
Stress intensity factor range, log K growth curves has been used by NASA (Ref 13). and E the Youngs modulus. Rearrangement of
It has the form: both equations yields to:
Fig. 9 Crack propagation rate versus stress intensity fac-
tor range for stress ratio values R1 R2 R3
ea,p N fa constant (Eq 7)
da C (1 R)m DKn (DK DKth)p

dN [(1 R) KIc DK]q and
(Eq 2)
log a ea,e E N b
f ra N b
f constant (Eq 8)
This equation is able to account for the threshold
effect, the R ratio effect, and the final instability which are the well-known relationships from
log f effect. By suitable choice of the exponents, this Coffin-Manson (Ref 17, 18) (Eq 7) and Basquin
log Rm equation can accept a number of different vari- (Eq 8).
ants of crack propagation laws. For m p q Tensile mean stresses promote crack initiation

0, for example, the Paris law is obtained. and accelerate crack propagation. Therefore, the
The concepts of linear elastic fracture me- fatigue strength Rf decreases with increasing
chanics and the use of the stress intensity factor mean stresses. This correlation is normally rep-
log Rf resented in a Smith (Ref 19) or in a Haigh (Ref
are limited to cases in which small-scale yielding
develops at the crack tip. Moreover, the appli- 20) diagram. As an example of such fatigue
cability of Eq 1 and 2 is restricted to sufficiently strength diagrams, Fig. 12 shows a Haigh dia-
log Ns log Ne log Nf long macroscopic cracks. Short cracks can grow gram. The fatigue strength Rf is plotted versus
Fig. 10 Stress Wohler curve (S-N curve) at smaller ranges of the stress intensity factor as the mean stress rm. The Goodman approxima-
DKth. At comparable DK values, they can exhibit tion (Ref 21):
clearly higher crack growth rates than long
cracks (Ref 14). Rf R0f (1 rm /Rm) (Eq 9)
Lifetime Behavior. The lifetime behavior of
steels is commonly described in an S-N diagram which represents a straight line between the fa-
(Wohler diagram) (Ref 15), where the loading tigue strength R0f at rm 0 and the tensile
Strain amplitude (a)
f amplitude is plotted versus the number of cycles strength Rm, is frequently used to estimate fa-
to failure in double logarithmic scaling. For tigue strength. For practical use, the allowable
stress-controlled fatigue tests, the S-N curve is stresses are restricted by the demand that mac-
f/ E frequently described by three straight lines (see roscopically no plastic deformation should oc-
Fig. 10). In the range of the quasi-static strength cur. This restriction leads to a straight line con-
E N Rm (Nf Ns) and the fatigue strength Rf(N necting the yield strength Re at both axes.
N N0f ), the endurable stress amplitude is constant Through this, the allowable stress amplitudes lie
and given by the ultimate strength Rm and the in the hatched area in Fig. 12. The slope of the
Number of cycles to failure, Nf fatigue strength Rf, respectively. In the range of Goodman straight line is often also described as
finite life (Ns Nf Ne), the Basquin relation mean stress sensitivity M R0f rm /Rm. The
Fig. 11 Total strain Wohler curve
(Ref 16): Goodman approximation normally leads to con-
servative estimations. Often, the Gerber parabola
ra rf N b (Eq 3) (Ref 22):
f
Rf R0f [1 (rm /Rm)2] (Eq 10)

often describes the lifetime behavior satisfacto-
rily. rf is the fatigue strength coefficient and b is used as a nonconservative estimation of the
Re
Fatigue strength, Rf
Goodman the fatigue strength exponent. fatigue strength. Mostly, experimental results
0 In the case of total-strain-controlled fatigue range between the Goodman and the Gerber ap-
Rf Gerber
tests the ea,t values in the total strain Wohler proximations.
curve (Fig. 11) can be separated into the elastic In the range of infinite lifetime, the influence
and plastic parts: of mean stresses can be described by damage
parameters. Two frequently used damage param-
ea,t ea,e ea,p (Eq 4) eters are the one proposed by Smith, Watson,
and Topper (Ref 23):
Re Rm From experience it is known that both parts ex-
tend exponentially from the number of cycles to PSWT (ra rm) ea,t E (Eq 11)
Mean stress m
failure Nf, which means that the plots log ea,e
Fig. 12 Endurance limit versus mean stress versus log Nf and log ea,p versus log Nf are linear. and the one proposed by Ostergren (Ref 24):
POST (ra rm) ea,p E (Eq 12) by shot peening or deep rolling. Characteristic 400 MPa show cyclic softening from the first
cyclic deformation curves for stress-controlled cycle and higher plastic strain amplitudes during
ra and rm are the imposed stress amplitude and push-pull loading of different heat treated the first cycles for stress amplitudes ra between
mean stress, respectively, ea,t and ea,p are the re- smooth specimens of the steel AISI 4140 (Ger- 250 and 350 MPa. After a certain number of cy-
sulting total strain amplitude and plastic strain man grade 42 CrMo 4) are compared in Fig. 13 cles, the opposite tendency can be detected and
amplitude, respectively, and E is the Youngs in unpeened and in shot peened conditions with the plastic strain amplitudes of the shot peened
modulus. Normally, for ea,t and ea,p the values at compressive residual stresses at the surface (Ref conditions are smaller than those of the unpeened
half of the lifetime are used. 25, 26). In the normalized state (Fig. 13a), the material states. However, for the same ra values
onset of cyclic deformation is different in both the plastic strain amplitudes of both conditions
conditions, since the shot peened specimens with approach another at relatively high numbers of
Influence of Residual Stresses on surface compressive residual stresses rrs cycles. Corresponding results for a quenched-
the Cyclic Deformation Behavior and-tempered (730 C/2 h) AISI 4140 steel are
presented in Fig. 13(b). In the unpeened condi-
Characteristic Examples. The influence of 0.20 tion, the characteristic cyclic deformation behav-

macro and micro residual stresses on the cyclic 600 a in MPa ior of quenched-and-tempered steels occurs with
deformation behavior can be studied very well Unrolled a quasi-elastic incubation period, which is fol-
0.15
after mechanical surface treatments, for example 550 Deep rolled lowed by cyclic softening until crack initiation.
After shot peening that generates surface com-
0.10 510 pressive residual stresses rrs 410 MPa, the
onset of cyclic softening is shifted to smaller
0.4 600 550
a in MPa 0.05 500 numbers of cycles. Furthermore, it is interesting

Unpeened 450 to note that for identical stress amplitudes and
0.3 comparable numbers of cycles, the higher plastic
Shot peened 380 0
strain amplitudes are always measured for the
0.2 350 1 10 102 103 104 105 106 shot peened specimens. Figure 13(c) shows a
325
Number of cycles, N compilation of cyclic deformation curves for an-
(a)
0.1 300 other quenched-and-tempered (570 C/2 h) AISI
250 0.04 4140 steel with a higher strength compared with
a in MPa the steel condition in Fig. 13(b). In this case, the

Unrolled 600
0 shot peened condition that has surface compres-
0.03 Deep rolled 650
1 10 102 103 104 105 106 sive residual stresses rrs 530 MPa is char-
Number of cycles, N 550 acterized for all investigated ra values by small
0.02 600 measurable plastic strain amplitudes during the
(a)
500 first cycle that diminish or disappear first of all
0.4 0.01 with an increasing number of cycles. After a sub-

550
a in MPa 450 sequent regime of quasi-elastic behavior, cyclic
Unpeened 500
0.3 softening, which yields to lower plastic strain
Shot peened 0
amplitudes and larger numbers of cycles to fail-
1 10 102 103 104 105 106 ure in comparison with the unpeened conditions,
0.2
Number of cycles, N is dominant.
400 (b)
450 The effect of deep rolling on the behavior of
375
0.1 the cyclic deformation curves is presented in Fig.
350 Fig. 14 Cyclic deformation curves for stress-controlled
400 350 push-pull loading of (a) normalized and (b) ni- 14(a) for the normalized plain carbon steel SAE
trocarburized specimens of the SAE 1045 steel in unpeened 1045 (German grade Ck 45) (Ref 27). At com-
0 275 and deep-rolled conditions. Source: Ref 27
parable stress amplitudes essentially smaller
1 10 102 103 104 105 106
plastic strain amplitudes are measured in the
Number of cycles, N
(b) deep-rolled condition. In this materials state, the
0.10 cyclic softening effects are extremely restricted,
but continue during the whole lifetime until

1.0
Untreated
900 a in MPa 0.08 crack initiation. As a consequence of the smaller
0.8 Unpeened Shot peened
800
Shot peened
plastic strain amplitudes at identical stress am-
0.06 plitudes, higher numbers of cycles to failure are
0.6
observed for the deep-rolled condition compared
750 0.04 Deep rolled with the normalized ones. Figure 14(b) shows
0.4
700 the influence of deep rolling in the case of a ni-
0.2
0.02 trocarburized SAE 1045 steel. Due to the differ-
500 400
550
ent microstructures in the near-surface areas of
600 0
0 the specimens, the same stress amplitudes yield
1 10 100 103 104 105
plastic strain amplitudes that are five times
1 10 102 103 104 105 106 Number of cycles, N
smaller than those of the normalized state. The
Number of cycles, N deep-rolling process modifies the cyclic defor-
(c) Cyclic deformation curves of different mechan-
Fig. 15 mation curves of the nitrocarburized specimens
ically surface treated materials for stress-con-
Fig. 13 Cyclic deformation curves for stress controlled trolled push-pull loading in the low-cycle fatigue (LCF) rein a manner similar to the normalized specimens.
push-pull loading of (a) normalized, (b) gime of the plain carbon SAE 1045 steel. Stress amplitude However, the reduction of the plastic strain am-
quenched-and-tempered (730 C/2 h), and (c) quenched- ra 350 MPa, Almen intensity I 0.120 mm A, rolling
and-tempered (570 C/2 h) smooth specimens of the steel pressure p 150 bar; surface residual stresses: shot peen-
plitudes is much less pronounced.
AISI 4140 in unpeened and shot peened conditions. ing rrs 500 MPa, deep rolling, approximately 600/ Figure 15 shows plastic strain amplitudes as a
Source: Ref 25, 26 350 MPa. Source: Ref 28, 29 function of the number of cycles plotted for
push-pull loading with the stress amplitudes in- damage is clearly correlated with plastic strain specimens and in Fig. 18 for quenched-and-tem-
dicated for a normalized SAE 1045 steel (Ref amplitude, the benefit of mechanical surface pered specimens of SAE 1045 with a notch fac-
28, 29). Results for annealed as well as for shot treatments becomes obvious. The influence of tor Kt 3.0 that were investigated in push-pull
peened or deep-rolled conditions are shown. One mechanical surface treatments on cyclic plastic- tests (Ref 30, 31). Figure 17(a) compares the cy-
can clearly see that both mechanical surface ity can be summarized in cyclic stress-strain clic deformation curves of material states with
treatments considerably diminish the plastic curves, which correlate stress amplitudes and very low residual stresses (produced by milling
strain amplitudes. Due to the thicker affected plastic strain amplitudes for, for example, half and subsequent annealing) with rather high re-
surface layer in the case mentioned first, the ef- the number of cycles to failure (see the section sidual stresses (produced by shot peening). In
fect for deep-rolled states is more pronounced Cyclic Deformation Behavior). Figure 16, as both conditions plastic deformation occurs in the
than for shot peened states. Because fatigue an example, shows data for an austenitic AISI first cycle at nominal stress amplitudes rn,a
304 steel in shot peened as well as deep-rolled above 150 MPa. The annealed state yields con-
conditions compared with untreated specimens tinuous cyclic softening for all investigated rn,a
(Ref 28, 29). Effects of mechanical surface treat- values. Contrarily, the initial plastic strain am-
700
ments are more distinct with a higher ratio be- plitudes of the shot peened condition that are
600 tween the area of affected surface layer and the much less dependent on the stress amplitude
500
cross section of the specimen. In the case pre- compared to the milled and annealed state are
Deep rolled (1 mm wall thickness)
Deep rolled (0.5 mm wall thickness) sented here, hollow thin-walled specimens were reduced during the first cycles. This is a result
400 Deep rolled (0.3 mm wall thickness) prepared from compact specimens for analysis. of residual stress relaxation that is the more pro-
300 As shown in Fig. 16, cyclic yield strength con- nounced the higher the nominal stress amplitude
siderably increases compared with compact is (see the following section Evaluation of Ex-
200 Untreated specimens, if only the fatigue behavior of the perimental Results). The consequences are
Deep rolled
100 Shot peened surface layers of mechanically surface treated smaller effective stress amplitudes and smaller
0
components is investigated. ea,p values in the following cycles. Hence, the
0 0.1 0.2 0.3 0.4 0.5 If residual stresses are present in the root of observed cyclic work hardening is fictitious.
Plastic strain amplitude (a,p), % notched specimen, marked changes always occur However, at higher numbers of cycles, cyclic
in the initial parts of the notch root cyclic defor- softening occurs with lower ea,p values than in
Fig. 16 Cyclic stress-strain curves of deep-rolled AISI mation curves (ea,p /log N curves) and in the the unpeened condition.
304 (rolling pressure 150 bar, surface residual notch root cyclic mean strain curves (em /log N On the other hand, as can be seen from Fig.
stresses r 350 MPa) using compact as well as hollow
rs
l curves) that depend on the sign and the magni- 17(b), the shot peening notch root residual
specimens with different percentages of strain-hardened
layers compared with an untreated state and a shot peened tude of the residual stresses. Characteristic ex- stresses have an influence on the initial parts of
condition (rrs 450 MPa). Source: Ref 28, 29 amples are presented in Fig. 17 for normalized the mean strain curves that were determined for
different nominal stress amplitudes (Ref 30, 31).
As a consequence of the cyclic deformation in-
duced relaxation of the compressive residual
True plastic strain amplitude (a,p), %
0.06
True plastic strain amplitude (a,p), %
stresses in the notch, the initial parts of the em /

n,a = 200 MPa
0.4 log N curves show negative plastic mean strains,
n,a in MPa where the magnitudes of em increase with in-
0.3 rs = 15 MPa 0.04 creasing nominal stress amplitude. The minima
rs = 490 MPa
of em are shifted to lower numbers of cycles with
220 rs = 710 MPa
0.2
increasing rn,a values. However, from the min-
240 460 ima of em at approximately 5% of the number of
220 0.02
200
320
cycles to failure, the em /log N curves show in-
0.1 175
150 creasing mean strains for all nominal stress am-
170 150
190 0 plitudes. Simultaneously, a decrease of the ten-
1 10 102 103 104 105 106 sile compliance in the hysteresis loops that
0 intensifies with an increasing number of cycles
Number of cycles, N
1 10 102 103 104 105 106 (a) is observed. By that, the compressive compli-
Number of cycles, N
0.06 ance is approximately constant. This finding
(a)
proves that this increase of the mean strains with
Plastic mean strain (m), %
220 n,a = 200 MPa the number of cycles is caused by an increase of

0.30 190 170 0.04 the number of microcracks and/or the growth of
n,a in MPa
150
microcracks. These sections are indicated by
0.02
dashed lines in the em /log N curves of Fig. 17(b).
0.15 The true plastic strain amplitudes in the cyclic
460
320 deformation curves of the quenched-and-tem-
0 pered (400 C/2 h) specimens in Fig. 18(a) are
0.00 rs = 710 MPa influenced by the magnitude of the notch root
0.2 residual stresses, but not by their sign (Ref 30,
1 10 102 103 104 105 106 31). All investigated conditions in Fig. 18(a)
0.15 Number of cycles, N
1 10 102 103 104 105 106
show for the initial cycles fictitious cyclic-work-
(b)
Number of cycles, N
hardening effects due to the relaxation of resid-
(b) True plastic strain amplitude (a) and plastic ual stresses rrs of the surface layers (rrs 460
Fig. 18 MPa and 320 MPa produced by upcut milling
mean strain versus number of cycles (b) for
Fig. 17 True plastic strain amplitude (a) and plastic stress-controlled push-pull loading of quenched-and-tem- as well as 710 MPa by shot peening). Up to
mean strain versus number of cycles (b) for pered (400 C/2 h) notched specimens (notch factor Kt
stress-controlled push-pull loading of normalized notched 3.0) of the SAE 1045 steel in cut-milled and shot peened
N 20 cycles, increasing magnitudes of the
specimens (notch factor Kt 3.0) of the SAE 1045 steel in conditions with different surface residual stresses. Source: compressive residual stresses cause higher neg-
unpeened and shot peened conditions. Source: Ref 30, 31 Ref 30, 31 ative mean strains. However, positive milling re-
sidual stresses yield to positive mean strains. The stricted mean free path of the mobile dislocations plastic strain of notched specimens (see Fig.
increases in the plastic mean strains that appear in the work-hardened surface layers. 18b).
for the numbers of cycles above the minimum of In hardened as well as in quenched-and-tem- A study of the residual stress effects on the
em are caused also by microcracks as described pered at low temperature conditions, the changes cyclic deformation behavior seems to be possi-
previously. in the cyclic deformation behavior result not ble by their simulation by applied mean stresses,
Evaluation of Experimental Results. In rela- only from surface hardening or softening effects, which are homogeneously distributed over the
tively soft material states, as for example in nor- but also from the more stable residual stresses as cross section of the specimen. An example is
malized as well as in quenched-and-tempered at can be seen in Fig. 19(b) for notch root residual presented in Fig. 20 for smooth, normalized SAE
high-temperature conditions, the consequences stresses of the quenched and tempered (400 C/ 1045 steel specimens that were stress-controlled
of mechanical surface treatments by shot peen- 2 h) SAE 1045 steel under the loading condi- loaded in push-pull tests with a constant mean
ing or deep rolling on the cyclic deformation be- tions of Fig. 18(a) (Ref 30, 31). The conse- stress of rm 300 MPa (Ref 32). The cyclic
havior are mainly caused by near-surface micro quences are a considerable influence of the deformation curves at stress amplitudes ra
residual stresses, that is, work hardening of the residual stresses on the cyclic behavior, espe- 125 and 150 MPa in Fig. 20(a) show first of all
surface layers, because the macro residual cially with regard to the development of mean a quasi-elastic incubation interval, followed by
stresses are relaxed very soon by cyclic plastic considerable cyclic softening within some cy-
deformation (see the article Stability of Resid- cles. Subsequently, within some further cycles,
ual Stresses in this Handbook). This relaxation cyclic work hardening occurs to such an extent
of macro residual stresses is shown in Fig. 19(a)
Plastic strain amplitude (a,p), % 0.20 that extremely low plastic strain amplitudes re-
250
for shot peening residual stresses in the notch a in MPa sult. For ra 200 MPa, the compressive stress
root of a normalized SAE 1045 steel (Ref 30, 0.16 peak | rm ra |, which is higher than the yield
31) under the loading conditions of Fig. 17(a). 125 strength, induces plastic deformation in the first
The dislocation structures in the ferrite after the 0.12 cycle. This procedure is followed by a rapid cy-
mechanical surface treatment are not stable and 150 clic work hardening in such a manner that at cy-
change during cyclic loading in energetically 0.08 cles above 100 extremely low ea,p values are ob-
more favorable arrangements. The formation of 350 served. As a consequence of the constant
typical fatigue-induced dislocation structures is 0.04 compressive mean stress, the specimens shorten
200 100
combined with cyclic softening effects as pre- for all investigated stress amplitudes, as proved
0
sented in Fig. 13(a), 14(a), and 17(a). The small 1 10 102 103 104 105 106
by Fig. 20(b). For ra 200 MPa, the mean
plastic strain amplitudes of the shot peened or Number of cycles, N
strains increase considerably and continuously.
deep-rolled conditions and the resulting in- (a) However, for ra 200 MPa the ea,p values sat-
crease in fatigue life are caused by the re- urate above 20 cycles.
3
100 150 125 200
0
3
Influence of Residual Stresses on
250 the Crack Initiation
0 9
n,a = 220 MPa
Characteristic Examples. Crack initiation
350
occurs as a consequence of microstructural
rs
200 15 changes in metallic materials during cyclic load-

a in MPa
400 ing. Different mechanisms are responsible for
n,a = 150 MPa 450 their formation (e.g., Ref 33). If it is accepted
400 21
1 10 102 103 104 105 106 that for given materials states at comparable load
Number of cycles, N amplitudes increasing amounts of plastic strain
(b) amplitudes lead to decreasing numbers of cycles
600
to crack initiation Ni, it follows that residual
0 1 10 102 103 104 105 106 Fig. 20 Plastic strain amplitude (a) and plastic mean
stresses may extend, shorten, or leave unchanged
Number of cycles, N strain versus number of cycles (b) for axial
stress-controlled cyclic loading with mean stress rm 300 the number of cycles to crack initiation. How-
(a) MPa for specimens of the normalized SAE 1045 steel. ever, experimental investigations concerning the
Source: Ref 32 influence of macro and micro residual stresses
n,a = 200 MPa on crack initiation are scarce. This is due to the
300
difficulties connected with the observation of the
formation and the propagation of small cracks.
rs
100
0 A recently published investigation gives a re-
A Untreated
port on the influence of mechanical surface treat-
Ratio of cycles N/Nf, %
300 80 B Deep rolled

ments on crack initiation and crack propagation
C Shot peened
in push-pull loading of steels (Ref 28). In un-
600 60 Macrocracks
(>750 m) treated materials, crack initiation normally takes
Short cracks place at positions of high localized slip, for ex-
900 40 (200-750 m) ample, at extrusions and intrusions that are con-
0 1 10 102 103 104 105 106 Microcracks nected with persistent slip bands. However, as
Number of cycles, N 20 (>200 m)
(b) shown in Fig. 21 in shot peened and deep-rolled
No damage
A B C marks
conditions of the austenitic steel AISI 304, crack
Fig. 19 Residual stress relaxation during stress-con- 0 formation occurs later than in the untreated state
trolled push-pull loading of notched specimens due to the consequence of numerous obstacles
(notch factor Kt 3.0) for (a) normalized SAE 1045 in shot Fig. 21 Influence of mechanical surface treatments on
peened conditions and (b) quenched-and-tempered (400 the damage evolution of the push-pull loaded
for slip (dislocations, grain and twin boundaries)
C/2 h) SAE 1045 in cut-milled and shot peened conditions. austenitic steel AISI 304. ra 320 MPa; R 1; A, Nf in the work-hardened surface layer that impede
Source: Ref 30, 31 3859; B, Nf 4445; C, Nf 20,265. Source: Ref 28 localized slip. In these surface-work-hardened
conditions, no persistent slip band is observed at compressive residual stresses near the surface is literature. If the corresponding crack length
all. Furthermore, crack propagation is slower high enough. Characteristic results are presented amounts to only some grain diameters, then Ni
than in the untreated state due to the effect of in Fig. 23 for shot peened bending specimens in is determined by shear-stress-controlled pro-
microstructure and compressive residual a hardened state of the steel SAE 1045 with the cesses in stage I of crack propagation. However,
stresses. Similar results are found in Ref 28 for bending fatigue strength Rf 960 MPa after if crack lengths of several hundred microns ap-
the normalized steel SAE 1045, in Ref 34 for the shot peening with the shot size d 0.3 mm and pear (stage II of crack propagation), Ni will be
plain carbon steel SAE 1080, and in Ref 35 and Rf 1050 MPa with d 0.6 mm, respectively determined by normal-stress-controlled pro-
36 for a high-strength spring steel AISI 6150 (Ref 38, 39). For stress amplitudes ra Rf, crack cesses. In the last case, stable macro residual
(German grade 50 CrV 4). initiation was observed directly at the surface. stresses may have a considerable influence on
However, as reported in Ref 1, the crack ini- However for ra Rf, subsurface cracks occurred the Ni values.
tiation time of shot peened specimens is some- as shown in Fig. 24. If the centers of the rosettes The experimental results achieved until now
times shorter than that of unpeened specimens on the scanning electron micrographs (SEMs) for crack formation directly at the surface with
despite increased lifetimes. One example is are considered to be the crack initiation points, an appropriate consideration of the Ni definition
given in Fig. 22 for the quenched-and-tempered it is obvious that the crack initiation depth in- show increasing numbers of cycles to crack ini-
steel SAE 1045 in the case of bending fatigue creases with decreasing stress amplitude (Ref tiation, if the surface area:
tests in seawater (Ref 37). With the exception of 39). At stress amplitudes that result in a fatigue
Becomes work hardened by mechanical sur-
high stress amplitudes, the cracks are formed life Nf above 107 cycles, crack initiation is lo-
face treatment
earlier in shot peened specimens than in ground cated approximately 0.3 mm below the surface.
Bears additional compressive macro residual
ones. This finding is attributed to an enhanced These findings stimulated the development of a
stresses
crack initiation at micronotches resulting from concept of the local fatigue strength (see the par-
Is smoothed by polishing or deep rolling
shot peening, which is obviously supported by agraphs on experimental results in the section
corrosion pittings in the case of seawater envi- Influence of Residual Stresses on S-N curves However, decreasing Ni values are observed,
ronment. However, the number of cycles to fail- in this article). if in the surface area:
ure of the shot peened conditions are higher than Evaluation of Experimental Results. The def-
The roughness is increased, for example, by
that of ground conditions. inition of the number of cycles to crack initiation
Residual stresses may have a remarkable in- Ni and particularly the establishment of the af- shot peening
Tool marks or material overlaps from shot
fluence on the location of crack initiation. In the filiated crack length is of decisive meaning for
case of bending fatigue, for example, cracks may the evaluation of the influence of different pa- peening or deep rolling exist
Tensile macro residual stresses occur that fa-
start below the surface, if the magnitude of the rameters on Ni from experimental results from
vor interface cracks between matrix and hard
second phases.
800 In this context, an investigation of the fatigue

(a) crack initiation in double-edge notch specimens
Fracture
of SAE 1080 steel with a fine-grained, spheroid-
Crack initiation
600 200 m ized microstructure shows considerable effects
of the macro residual stresses (Ref 34). In a
(b) press-fitted condition, large compressive resid-
400
ual macro stresses occur that remained relatively
200 m stable throughout the fatigue life and thus greatly
200 increased the numbers of cycles to crack initia-
Shot peened
Ground (c) tion Ni. With reference to the Basquin-relation-
0 ship, Ni is estimated from the following relation-
104 105 106 107 200 m ship:
Number of cycles, N
1/b;
r (r r )
(d) 2ra
Stress amplitude versus number of cycles to Ni (Eq 13)
Fig. 22 i a
rs
crack initiation and to failure of a quenched-
and-tempered SAE 1045 steel under bending fatigue load- 200 m
ing in seawater. Source: Ref 37 where Ni is defined as the number of cycles at a
(e) crack length of a 0.1 mm, rrs is the macro
residual stress, ra is the applied stress amplitude,
0.4 200 m and ri 2315 MPa and bi 0.197 are ma-
terial constants.
(f)
0.3
200 m
0.2 the Crack Propagation
Site of
macrocrack
(g)
0.1 initiation Characteristic Examples. During cyclic
Shot size 0.3 mm 200 m
loading, the lifetime of components is deter-
Shot size 0.6 mm mined significantly by the stage of crack prop-
0
agation, especially in the case of existing macro
800 1000 1200 1400
Fig. 24 Scanning electron micrographs of fractured residual stresses. Crack propagation as a conse-
Stress amplitude (a), MPa specimens of hardened and shot peened SAE quence of fatigue loading without mean stresses
1045 at different stress amplitudes. (a) ra 1300 MPa. (b)
Crack initiation sites versus stress amplitude of ra 1250 MPa. (c) ra 1200 MPa. (d) ra 1100 MPa.
can be described, with the exception of the crack
Fig. 23 initiation and the near-fracture stage, by the Paris
a hardened SAE 1045 steel in different shot (e) ra 1000 MPa. (f) ra 950 MPa. (g) ra 900 MPa.
peened conditions. Source: Ref 38, 39 Source: Ref 39 equation (see Eq 1):
da these descriptions imply that a propagating crack sidual stress component rrs y , which acts perpen-
C(DK)m (Eq 14)
dN itself is surrounded by a typical residual stress dicular to the crack flanks, shows maximum
field as shown in Fig. 25(a) for a high-strength compressive residual stresses of approximately
where DK is the stress intensity range and C and structural steel of the European grade S690QL1 350 MPa at the crack tip. The alteration of this
m are constants. Mean stresses are taken into ac- (Ref 40, 41). A crack was produced by cyclic distribution after application of 20 overload cy-
count by the Foreman equation: loading up to a stress intensity range of DKI cles with an overload ratio k 2 (DKI 94.8
47.4 MPa m. The distribution of the macro re- MPa m) is given in Fig. 25(b). In front of the
da C(DK)m crack tip, a larger maximum value and a larger
(Eq 15) area with compressive residual stresses com-
dN (1 R)Kc DK
pared with Fig. 25(a) are developed. The influ-
Crack propagation rate (da/dN), mm/cycle

103
ence of different overload cycles on the crack
where R is the stress ratio and Kc is the stress propagation rate is shown in Fig. 26 for k 2
intensity factor for plane stress. Both relation- and 3. For both overload ratios, a delayed retar-
ships are valid for crack propagation in materials dation of crack propagation occurs that is more
states without macro residual stresses. However, 104 As received pronounced for k 3 than for k 2 due to the
effect of overload-induced compressive residual
stresses. Thus, by sufficiently high overloads,
200 105 Autofrettaged crack arrest can be produced (Ref 42).
If a crack propagates into a macro residual
Residual stress (y ), MPa
stress field, the crack propagation behavior can

0
106 be considerably influenced by magnitude and
rs
0 0.2 0.4 0.6 0.8 1.0 distribution of the residual stresses. This is
Ratio a/W shown in Fig. 27, in which crack propagation
200 rates within an autofrettaged tube of SAE 4337
Fig. 27 Crack propagation rate da/dN versus ratio a/
W in an autofrettaged and an untreated tube of steel are compared with those in the untreated
the SAE 4337 steel. Source: Ref 43 material (Ref 43). As a consequence of the au-
400
tofrettaging process, a triaxial residual stress
state is created with very high compressive re-
12 8 4 0 4 8 12
sidual stresses near the inner surface of the tube.
Distance from crack tip, mm 10
(a)
150 bar In agreement with Eq 14, loading with a constant
stress intensity range results in a constant crack
200 8
Crack propagation rate
Untreated 75 bar propagation rate in residual-stress-free tubes.

(da/dN), mm/cycle
Residual stress (y ), MPa
However, if the crack propagates through the

6 225 bar
0
compressive residual stress field at the inner sur-
rs
face of the autofrettaged tube, considerably

4
smaller crack propagation rates occur.
200 Crack velocity is influenced by work harden-
2 ing as well as by residual stresses in mechani-
300 bar
cally treated surface layers. This is demonstrated
0
400 0 1 2 3 in Fig. 28 for differently surface-rolled AISI 304
Crack length (a), mm stainless steel. The crack propagation rate da/
12 8 4 0 4 8 12 dN, which was determined by analyzing stria-
Distance from crack tip, mm Fig. 28 Fatigue crack propagation rates da/dN in an- tions on cracked surfaces, increases with increas-
(b) nealed and with different rolling pressures ing rolling pressure and is considerably
deep-rolled steel AISI 304. Stress amplitude ra 320 MPa,
Residual stress component rrsy versus distance surface residual stresses rrs 200 MPa (75 bar), 350 diminished compared with untreated specimens
Fig. 25 (Ref 29).
from crack tip of the steel S690QL1 after a MPa (150 bar), 400 MPa (225 bar), and 300 MPa (300
mode I base load of DK 47.4 MPa m (a) and an over- bar). Source: Ref 29 Finally, the influence of welding residual
load of DK 94.8 MPa m (b). Source: Ref 40, 41
stresses at the steel European grade EN S355 is
compared with the behavior of the same steel in
a stress-relieved condition in Fig. 29 in a da/dN
versus DK diagram (Ref 44). The crack propa-

103
102 gation rate in the heat-affected zone is consid-
erably lower in the as-welded state than in the
=2 stress-relieved state due to the distribution of
103 104 Stress relieved welding compressive residual stresses.
Evaluation of Experimental Results. For
104 =3 practical purposes, it is very important to know
105 As welded that crack propagation through residual stress
fields can be modeled quantitatively by intro-
105
ducing an effective stress intensity range DKeff.
106 This can be seen in Fig. 30, which shows crack
106 5 10 20 30 40 60 80 propagation rates da/dN in welded and un-
8 4 0 4 8 12 Stress intensity range (K), MPa m welded specimens of SAE 1019 steel (Ref 45).
Crack length (aol), mm
Exactly at the welding seam, tensile residual
Fig. 29 Crack propagation rate da/dN versus stress in-
Crack propagation rate da/dN versus crack tensity range DK in the heat-affected zone of
stresses of about 340 MPa exist that disappear
Fig. 26 in a distance of 10 mm. Figure 30 presents crack
length a0l for overloads with k 2 and 3. EN S355 steel in an as-welded condition and after a stress-
Source: Ref 40, 41 relief heat treatment. Source: Ref 44 propagation rates in the unwelded base material
as a function of DK for different stress ratios R. with high tensile residual stresses, individual
103
As expected, with increasing R values, higher curves for each R value used are observed. For
crack propagation rates are observed. It is im- R (pulsating compression), first increas-
portant to note that a mode I crack can only grow ing and then decreasing crack propagation rates
0.1 0 0.5 1.0 during that portion of loading cycle where the are observed indicating the influence of the ten-
104 0.2
crack is open. This portion is influenced by the sile residual stress field. However, also in this
R = 0.4
2.0 R value itself and the near-crack-tip residual case, the crack propagation behavior can be de-
stress distribution. The effective stress intensity scribed by a single, relatively narrow scatter
105 range can be determined quantitatively as the band if the influence of the welding residual
difference between the maximum stress intensity stresses on the DK values appearing at the crack
and the stress intensity where the crack opens: tip is taken into account (see Fig. 30d). In this
106 way, the crack propagation behavior in macro
6 10 20 30 40 50 60 DKeff Kmax Kop (Eq 16) residual stress fields can be quantitatively de-
Stress intensity range (K), MPa m scribed if crack propagation data of macro resid-
(a) If the influence of the residual stress contribution ual-stress-free materials are available and the re-
on Kop is known, DKeff can be estimated and used sidual stress distribution is known.
to predict the fatigue crack growth. Thus, the

103 double logarithmical plot of the crack propaga-
tion rate da/dN versus the effective stress inten- Influence of Residual Stresses on
R=0 sity range DKeff in Fig. 30(c) shows that all mea- S-N Curves
0.5
104 1.0 sured data points form a narrow scatter band. In
welded specimens, the (da/dN)/DK relations are
completely changed (e.g., Fig. 30a and b). Ob-
viously, for small DK values the crack propa- Characteristic Examples
105 2.0
gation behavior is entirely controlled by the
welding residual stress state, which leads to Low-Strength Steel. Figure 31 shows S-N
identical crack propagation rates irrespective of curves for alternating bending of normalized
106 the R ratio. However, outside the volume areas SAE 1045 steel (German grade Ck 45) (Ref 47
6 10 20 30 40 50 60
49). The notched specimens had a stress-con-
Stress intensity range (K), MPa m centration factor kt 2.5. The stress gradient at
(b) the notch root dr/dz related to the maximum
300 stress r (normalized stress gradient g):

103 Upcut milling

z0
1 dr
rs = 234 MPa g (Eq 17)
200 r dz
Annealed
rs = 0 MPa
104 was 5 mm1. All data are nominal stress ampli-
Downcut milling tudes and are valid for a failure probability of
100
rs = 242 MPa 50%. The bending fatigue strength was evalu-
105
kt = 2.5 ated at an ultimate number of cycles Nu 107.
=5
By downcut milling and upcut milling, surface
0 residual stresses of 242 and 234 MPa, respec-
104 105 106 107
tively, were generated. The corresponding S-N
106 Number of cycles to failure, Nf
6 10 20 30 40 50 60 curves are almost identical. A third batch of
Effective stress intensity range (Keff), MPa m Alternating bending S-N curves of notched specimens was annealed 2 h at 700 C after
Fig. 31 downcut milling. The annealing results in a re-
specimens of normalized plain carbon SAE
(c) 1045 steel after annealing, downcut milling and upcut mill- duction of bending fatigue life and bending fa-
ing. Source: Ref 4749 tigue strength (Ref 4749).
103
The alternating bending fatigue strengths of
milled smooth and notched specimens with dif-
300 ferent geometries are plotted in Fig. 32 as a func-

=1 = 0.4 tion of the surface residual stresses (Ref 4652).
104 = 0.1 Again, all data are given for a failure probability
kt = 1.7, = 2
200
of 50%, and the bending fatigue strengths are
nominal stress amplitudes at Nu 107. With
105 kt = 2.5, = 5 increasing stress-concentration factor and de-
creasing stress gradient, the bending fatigue
100 kt = 4.4, = 15
kt = 2.5, = 2 strength decreases. The influence of the stress-
106 Smooth concentration factor is clearly visible from a
6 10 20 30 40 50 60 Notched comparison of the specimens with the same
Effective stress intensity range (Keff), MPa m 0 value g 2 mm1, but different values kt
750 500 250 0 250 500 750
(d) rs
1.7 and 2.5, respectively. On the other hand, the
Surface residual stress (l ), MPa increase of g from 2 to 5 mm1 at specimens
with kt 2.5 results in a significant increase of
Fig. 30 Crack propagation rate da/dN versus stress in- Fig. 32 Alternating bending fatigue strength of milled
tensity range DK in the base material (a) and (c) smooth and notched specimens of normalized
bending fatigue strength. It is also interesting to
and versus effective stress intensity range DKeff (b) and (d) plain carbon SAE 1045 steel versus surface residual stress. note that specimens with kt 4.4, g 15 have
in the welded zone of the SAE 1019 steel. Source: Ref 45 Source: Ref 4752 a somewhat higher strength than specimens with
Stability of Residual Stresses / 65
conventionally peened samples relax for ra,s (70 or 555 F), the stability of the residual MPa (50 ksi). After N 1000, the |rrs| value is
700 MPa (100 ksi). With increasing stress am- stresses was investigated in detail (Ref 47, 48). 150 MPa (20 ksi). The depth where the residual
plitude, an increasing relaxation is observed. The depth distribution of the residual stresses stresses change their sign is not significantly af-
The reduction of the half-widths and, hence, of and the half-widths in the region close to the fected. As shown in Fig. 24(a), a shot peening
the micro residual stresses is much more pro- surface was determined at different numbers of treatment at 290 C (555 F) considerably delays
nounced for the samples peened at room tem- cycles at a surface stress amplitude 1000 MPa the relaxation of residual stresses. During the
perature compared to the other peening variant. (145 ksi). The curves for the conventionally first cycle, the initial absolute value of the resid-
For the warm-peened states, the measured val- peened samples in Fig. 24(a) show that the com- ual stress at the surface, |ra,s| 660 MPa (95
ues after cycling are often a bit higher than the pressive residual stresses in the region close to ksi), is reduced only by about 140 MPa (20 ksi).
initial values. Only for ra,s 900 MPa (130 the surface are strongly reduced with increasing After N 1000, |ra,s| 380 MPa (55 ksi) is
ksi) and N 104 can a significant decrease be number of cycles. During the first cycle, the ab- measured. The affiliated depth distributions of
seen. solute value of the residual stress of the surface the half-widths of the conventionally peened
For the same samples peened at 20 or 290 C decreases from about 600 MPa (90 ksi) to 350 condition in Fig. 25(a) verify that with increas-
ing number of cycles, reductions of the half-
widths and consequently of the micro residual
stresses occur due to larger rearrangements of
mobile dislocations in the surface layers. In op-
position to this finding, under the same loading
1.0 conditions the warm-peened condition shows
practically no relaxation of the micro residual
stresses. Obviously, the dislocation arrange-
ments in the warm-peened condition under cy-
a,s, MPa clic loading are considerably more stable than in
0.9
300
the conventionally peened condition. This is due
to dynamic and static strain aging effects that
400 occur during and after warm peening (Ref 47,
HWs/HWs,0
48). Dynamic strain aging results in a more dif-

0.8 500
fuse and stable dislocation structure caused by
600 pinning of dislocations by solute carbon atoms
and formation of extremely fine carbides.
700
The effect of stabilized residual stresses on fa-
0.7 800 tigue behavior is illustrated in Fig. 26, with S-N
curves at alternating bending of the convention-
900
ally peened and two warm-peened conditions in
1000 comparison with the ground condition. The S-N
curves for a failure probability of P 50% were
0.6 determined in each case from approximately 30
1 10 102 103 104 105 106 107
tests after the arcsin P procedure (Ref 49). Shot
Number of cycles, N
(a) peening at room temperature increases the fa-
tigue strength Rfb for about 90 MPa (13 ksi) from
440 MPa (65 ksi) to 530 MPa (80 ksi) compared
to the ground condition. Compared to that, peen-
1.0 ing at 200 and 290 C (390 and 555 F) increases
the fatigue strength to 590 and 640 MPa (85 and
95 ksi), respectively.
a,s, MPa
0.9
400 Resistance to Residual Stress Relaxation
500 The cyclic relaxation of macro residual
stresses can be divided into four phases (Ref 16,
HWs/HWs,0
600
17, 50):
0.8 700
Quasi-static relaxation during the first half of
800 the first cycle, which is caused by quasi-static
deformation processes
900 Quasi-static relaxation during the second half
0.7 of the first cycle, which is influenced by the
1000
load reversal
Cyclic relaxation at 1 N Ni (Ni num-
ber of cycles to crack initiation) due to cyclic
0.6 deformation processes, which usually leads to
1 10 102 103 104 105 106 107 a linear reduction of the residual stresses as a
Number of cycles, N function of the logarithm of the number of
(b) cycles according to Eq 21 due to cyclic creep
Cyclic relaxation at Ni N Nf (Nf num-
Fig. 23 Ratio of half-width at the surface versus number of cycles during alternating bending tests of quenched and
tempered AISI 4140 (450 C, or 840 F, for 2 h) at different surface stress amplitudes. (a) Conventionally shot- ber of cycles to failure) for sufficiently high
peened condition (Tpeen 20 C, or 70 F). (b) Warm-peened condition (Tpeen 290 C, or 555 F) stress amplitudes at the surface, which is
fluence on finite fatigue life. Figure 37(b) com- grinding. Again, in the range of finite fatigue life, MPa) at the surface than the latter ones (221
pares S-N curves of notched specimens which the influence of the different manufacturing pro- MPa).
were milled, ground, and shot peened after cesses is almost negligible. The relative increase Figure 38 shows plots of the alternating bend-
of the bending fatigue strength by shot peening ing fatigue strengths evaluated from Fig. 37 as a
is more pronounced compared with smooth function of the surface residual stresses. The ar-
specimens. It is interesting to note that milled rows mark the shift in bending fatigue strengths
400
specimens have a higher bending fatigue and surface residual stresses produced by shot
strength than ground ones, even though they peening. Additionally, data points of ground
Smooth
= 0.4 have lower compressive residual stresses (159 specimens with negligible or tensile residual
300 stresses shown in Fig. 36 are included. In the
case of notched specimens, all data points lie on
200 a common line with the slope 0.154 except for
800

ground specimens with compressive residual
Notched
100
kt = 1.7 stresses at the surface. Regarding smooth spec-
=2 600 imens, the influence of tensile residual stresses
0 on the bending fatigue strength is much more
750 500 250 0 250 500 750 pronounced than the influence of compressive
rs 400 residual stresses.
Maximum residual stress (l ), MPa Notched Smooth
Figure 39 shows S-N curves for alternating
Fig. 38 Alternating bending fatigue strength of 200 bending of smooth specimens (g 1 mm1) of
quenched-and-tempered (600 C/2 h) plain
carbon SAE 1045 steel versus surface residual stress eval-
blank-hardened AISI 5115 steel (German grade
uated from Fig. 36 and 37 0
16 MnCr 5) determined in the unpeened and
0 1000 2000 3000 4000 5000 various shot peened states including one with
Deep-rolling force, N electrolytically removed surface layer (Ref 54
56). The corresponding depth distributions of re-
Fig. 41 Bending fatigue strength smooth and notched sidual stresses are given in Fig. 40. From the
specimens made from quenched-and-tem- comparison of both figures, it becomes clear that
pered SAE 5135 steel versus deep-rolling force. After Ref
57 the surface residual stress is not a suitable pa-
rameter for the assessment of the influence of the
various treatments on the fatigue behavior.
The influence of the deep-rolling force on the
600 rotating bending fatigue strength of smooth and

notched specimens made from quenched-and-
500 rs = 400 MPa tempered SAE 5135 steel (German grade 37 CrS
4) is shown in Fig. 41 (Ref 57). In both cases, a
400
9 maximum of the fatigue strength occurs at a cer-
300 tain force. However, the increase of the fatigue
strength of notched specimens (kt 2) by deep
200 rolling is much more pronounced than that of
Fig. 39 Alternating bending S-N curves of smooth 923
specimens made from blank-hardened AISI smooth specimens. In the end, the optimal bend-
5115 steel in the as-blank-hardened and with different con- 100 kt = 1.7
ing fatigue strength of notched specimens
ditions shot peened states including one with a subse- =2
0 which is a nominal stress amplitudeis higher
quently electropolished surface. 1, as-blank-hardened; 2, 104 105 106 107
shot velocity v 23 m/s, coverage c 100%, mean di- than the bending fatigue strength of smooth
Number of cycles to failure, Nf specimens.
ameter of the shot d 0.6 mm; 3, v 53 m/s, c 100%,
d 0.3 mm; 4, v 53 m/s, c 100%, d 0.6 mm; 5, High-Strength Steels. S-N curves for alter-
v 81 m/s, c 600%, d 0.6 mm; 6, v 53 m/s, c Fig. 42 Alternating bending S-N curves of notched
specimens made from quenched plain carbon nating bending of notched specimens of
100%, d 0.6 mm, 100 lm surface layer electrolyti-
cally removed. After Ref 5456 SAE 1045 steel after different grinding processes. Source: quenched SAE 1045 steel in differently ground
Ref 4749 conditions are compared in Fig. 42 (Ref 4749).
The grinding parameters (final feed, cutting
speed) and the resulting depth distributions of
400
residual stresses are given in Fig. 43. Similar to
1000
1 ground quenched-and-tempered specimens, the
200
2 15 m, 30 m/s fatigue behavior of specimens with very small or

0 compressive residual stresses (which have a very
rs
500 small penetration depth) hardly differ. Tensile

rs
200 3
2 9 m, 15 m/s
4 residual stresses, however, not only cause a
400 5 strong reduction of bending fatigue strength, but
600 0 also of finite fatigue life.
800 In Fig. 44, the bending fatigue strength that
1000 2 3 m, 15 m/s was evaluated from Fig. 42 and corresponding
0 0.1 0.2 0.3 0.4 0.5 data from tests on smooth specimens are plotted
500
Distance from surface, mm 0 0.1 0.2 as a function of the surface residual stresses. The
Distance from surface, mm negative influence of tensile residual stresses on
Fig. 40 Depth distribution of the residual stress in spec- the bending fatigue strength of smooth speci-
imens made from blank-hardened AISI 5115 Fig. 43 Depth distribution of the residual stresses in
steel in the as-blank-hardened (1) and in different condi- notched specimens made from quenched plain
mens is even more pronounced compared to
tions of the shot peened state (3), (4), and (5) corresponding carbon SAE 1045 steel and ground with the two steps of notched specimens. The influence of compres-
to Fig. 39. After Ref 5456 final feed and cutting speed indicated. Source: Ref 4749 sive residual stresses generated by grinding is
much smaller than the influence of tensile fatigue life, which comes up to one and a half crease of finite fatigue life. Additionally, the S-
stresses. orders of magnitude at high stress amplitudes. N curve of milled specimen is included. Finite
In Fig. 45(a), the S-N curves of smooth spec- The S-N curves of notched specimens of the fatigue life and bending fatigue strength of these
imens in the ground state and after additional same steel state after grinding and after addi- specimens are lower compared to shot-peened
shot peening are compared (Ref 4649). Similar tional shot peening with shot of different hard- ones, even though they contain very high surface
to quenched-and-tempered specimens (see Fig. ness are shown in Fig. 45(b). Compared to compressive residual stresses of 1200 MPa.
37), shot peening produces a significant increase smooth specimens, shot peening produces a In Fig. 46, the bending fatigue strength data
of the bending fatigue strength. Contrary to the much stronger increase of the bending fatigue already plotted in Fig. 44 are complemented by
results of the medium-strength steel, however, strength. Again, there is also a remarkable in- data evaluated from Fig. 45. The arrows mark
there is also a very pronounced increase of finite the shift in bending fatigue strengths and surface
residual stresses produced by shot peening.
Similar to the discussion of Fig. 39 and 40, it

800
Smooth
becomes obvious that the magnitude of surface
800 residual stress is not a suitable parameter for the

= 0.4
Smooth 600 assessment of the influence of shot-peening-in-
600 = 0.4 duced residual stresses on the fatigue strength.
400
400 Evaluation of Experimental Results
Notched Ground Notched
200
kt = 1.7 Shot peened kt = 1.7
200 Low-Strength Steels. Regarding Fig. 31 to
=2 Milled =2
0 33, different machining processes or process pa-
0
1000 500 0 500 1000 rameters were applied to the specimens investi-
rs
1000 500 0 500 1000 1500 Surface residual stress (l ), MPa gated producing different surface topographies.
rs
Surface residual stress (l ), MPa
In Fig. 47, the ratio DRf /DRh, which gives the
Fig. 46 Alternating bending fatigue strength of smooth change of the alternating bending fatigue
and notched specimens made from quenched strength of differently treated SAE 1045 and
Fig. 44 Alternating bending fatigue strength of ground plain carbon SAE 1045 steel with different surface condi-
smooth and notched specimens of quenched tions versus surface residual stress AISI 5115 steels per lm increase of roughness
plain carbon SAE 1045 steel versus surface residual stress. height is plotted as a function of the hardness at
Source: Ref 4749
the surface (Ref 58, 59). As is well known from
many other investigations, the susceptibility of
100
the bending fatigue strength to roughness in-
creases with increasing hardness. For the steel
Ratio Rf/Rh, MPa/m
SAE 1045
1000 40 AISI 5115 states investigated, a value of 2 MPa/lm can

900 Shot peened serve as a guide. Since the roughness height of
10 the specimens did not vary by more than 2 lm,
800 the results plotted in Fig. 31 and 32 are hardly
influenced by surface topography. It should be
700 4
kept in mind, however, that a large increase of
Ground
600 surface roughness will significantly decrease the
1 fatigue strength even in low-strength material
500 200 400 600 800 states.
Surface hardness, HV 5 In low-strength steels, cyclic plasticity ap-
400
104 105 106 107 pears if the cyclic loading approaches the fatigue
Fig. 47 Changes of alternating bending fatigue strength strength. Extensive cyclic plasticity occurs in the
Number of cycles to failure, Nf DRf relative to changes of surface roughness
height DR h versus surface hardness HV 5 for different heat
range of finite fatigue life, being combined with
(a)
treated SAE 1045 and AISI 5115 steels. After Ref 58, 59 cyclic softening and/or hardening processes (see
the section Some Aspects of Fatigue of Steels
1000 in this article). Cyclic plasticity results in macro

900 residual stress relaxation, which is more rapid
0
5458 HRC the higher the cyclic loading is (see the article
800 n,a = 360 MPa Stability of Residual Stresses in this Hand-

200 book). Figure 48 (Ref 49) shows the relaxation
rs
700 4650 HRC Shot peened 325 of the surface residual stresses during alternating
600 bending fatigue in notched upcut milled speci-
Milled 400 280 men made from normalized SAE 1045 steel
500
Ground
200 starting at an initial value of 590 MPa. The
400
bending fatigue strength amounts to 190 MPa
600 (see Fig. 32). During loading with an amplitude
104 105 106 107 185
Number of cycles to failure, Nf of 185 MPa just below the fatigue limit, the
(b) 0 1 10 102 103 104 105 106 107 change of the macro residual stresses is almost
Number of cycles, N negligible. During all other fatigue loadings, ex-
Fig. 45 Alternating bending S-N curves of specimens tensive residual stress relaxation occurs. There-
made from quenched plain carbon SAE 1045 Fig. 48 Surface residual stress in notched (kt 1.7) fore, almost no influence of macro residual
steel. (a) Smooth specimens after grinding and after addi- upcut milled specimens made from normal-
tional shot peening. (b) Notched specimens after grinding, ized plain carbon SAE 1045 steel during alternating bend-
stresses is found in Fig. 31 and 32 (Ref 4752).
milling, and grinding with additional shot peening with ing fatigue at different nominal loading amplitudes versus The amount of cyclic plasticity, which occurs
shot of the indicated hardness. Source: Ref 4649 number of cycles. Source: Ref 49 during cyclic loading resulting in a given finite
fatigue life or which corresponds to the fatigue cycles to crack initiation and decreasing the imen roughness, corrosion, oxidation) on the
limit, decreases with increasing strength of the propagation rate of short cracks (Ref 60, 61). crack initiation. Secondly, if crack initiation
steel. This results in decreasing residual stress Therefore, as is evident from Fig. 31, a residual occurs at the surface, the influence of the work-
relaxation rates and finally in stable macro resid- stress relief heat treatment that eliminates the hardened zone may also be rather small, be-
ual stresses. On the other hand, in a low-strength machining-induced work hardening reduces the causeat a given loadinga stress redistribu-
steel, local work hardening may occur during finite fatigue life and the fatigue limit of nor- tion may occur from the softer core region of the
manufacturing processes such as milling, turn- malized SAE 1045 steel. At rather high loading specimen to the work-hardened zone. This effect
ing, or grinding. In other words, the micro resid- amplitudes, this influence vanishes because then is combined with cyclic plasticity in the core re-
ual stress state is changed, mainly by the increase the cyclic deformation behavior is almost en- gion and, hence, with rather high loading ampli-
of the dislocation density. As discussed in the tirely governed by cyclic softening and harden- tudes. The first effect predominates in the range
article Stability of Residual Stresses in this ing processes during the fatigue loading (see the of the fatigue limit, where cyclic plasticity is
Handbook, the resistance of the micro residual section Cyclic Deformation Behavior in this small, and the second one in the range of finite
stress state against cyclic relaxation is much article) irrespective of initial variations of the lo- fatigue life. On the other hand, during rotating
higher compared to that of the macro residual cal work-hardening state. bending (Fig. 33b) with a distinct stress gradient,
stress state. So one may assume that macro re- A smaller influence of the micro residual crack initiation always occurs at the surface. If
sidual stresses that exist in a part of a component stress state appears in Fig. 33(a) and a somewhat the work-hardened zone is thick enough, there is
that has undergone work hardening by manufac- stronger one in Fig. 33(b). Here, it becomes clear no stress redistribution from the core region
turing processes are more stable than expected that even in a rather soft material state such as which is then purely elastically loadedto the
from the basic strength of the material. Looking normalized SAE 1015 steel, an improvement of work-hardened zone. Again, at very high loading
at Fig. 32, this relationship may be responsible the fatigue behavior can be obtained from local amplitudes, the cyclic softening/hardening pro-
for the small reduction of the bending fatigue work hardening. In this case, the depth of the cesses produced by the cyclic loading itself push
strength by tensile residual stresses that occurs surface layer of the smooth specimens influenced the influence of the initial work-hardening state
in some of the specimen series investigated. by deep rolling is relatively large compared to into background.
A much more important consequence of the the milled specimens, which are the basis of Fig. In Fig. 49, the ratio DRf /DHV, which gives
change of the micro residual stress state by local 31 and 32. Nevertheless, push-pull loading (Fig. the increase of alternating bending fatigue
work hardening is the direct alteration of the lo- 33a) without stress gradient reveals a small in- strength per unit hardness, is plotted as a func-
cal fatigue behavior. Increasing strength reduces fluence of deep rolling, because of two major tion of the hardness itself (Ref 58, 59). The di-
the local cyclic plastic deformation at a given effects. First, the crack initiation site may be agram shows that the sensitivity of the fatigue
external loading, thus increasing the number of shifted below the work-hardened zone. Then, the strength to the hardness decreases with increas-
small increase of the fatigue strength mirrors the ing hardness. Taking into account that the resis-
benefit of omitting surface effects (such as spec- tance of the macro residual stress state against
3 cyclic relaxation is low in low-strength steels, it
becomes clear from Fig. 49 thatbesides the
600 change of the surface topographythe altera-
Ratio Rf/HV 5
Smooth tion of the micro residual stress state is the gov-

2 = 0.4
erning parameter for the assessment of the influ-
rs
n,a = 200 MPa

ence of machining on the fatigue behavior of
Rh = 3 m
400 components made from low-strength steel.
1 Notched Medium-Strength Steel. A detrimental effect
kt = 1.7, = 2 of tensile grinding residual stresses appears in
Rh = 15 m
200 n,a = 150 MPa Fig. 34 and 36 on alternating bending fatigue
0 strength, being more pronounced for smooth
0 200 400 600 800 1000 kt n,a = 255 MPa than for notched specimens. Therefore, the fa-
0
Surface hardness, HV 5 tigue notch factor decreases with increasing re-
0 1 10 102 103 104 105 106 107 sidual stress, as shown in Fig. 50. There is re-
Fig. 49 Changes of alternating bending fatigue strength Number of cycles, N
DRf relative to changes of surface hardness laxation of surface residual stresses during
DHV 5 versus surface hardness HV 5 for different surface (a) bending fatigue loadings of smooth and notched
roughnesses heights Rh. After Ref 58, 59 specimens, which results in lifetimes of approx-
imately 2 million cycles, as shown by Fig. 51(a).

600 The stress relaxation in the notched specimens
Smooth
rs
2.5 = 0.4 is significantly more pronounced than in smooth

400 n,a = 400 MPa ones. An elastic estimation of the stress in the
notch root r* kt rn,a yields a much higher
Fatigue notch factor, kf
kt = 2.5 =2 value than the stress amplitude in the smooth

2.0
200 specimens. Even though r* is only an upper
Notched
kt = 1.7 n,a = 350 MPa bound for the true stress at the notch root, it be-
=5 =2 kt n,a = 595 MPa
comes clear that it is the higher local cyclic load-
1.5 0
ing in notched specimens that causes the stronger
kt = 1.7
0 1 10 102 103 104 105 106 cyclic stress relaxation and, hence, the smaller
=2 Number of cycles, N residual stress sensitivity of the bending fatigue
1.0 strength compared to smooth specimens. Re-
400 200 0 200 400 600 (b)
rs
garding the relatively high loadings indicated in
Surface residual stress (l ), MPa Surface residual stress in smooth and notched Fig. 51(b), stress relaxation in notched specimen
Fig. 51
specimens made from quenched-and-tem- is almost complete at the end of fatigue life, and
Fig. 50 Fatigue notch factor kf of specimens made from pered (600 C/2 h) plain carbon SAE 1045 steel versus
quenched-and-tempered (600 C/2 h) plain number of cycles (a) at a lifetime of approximately 2 106
therefore only a small influence of initial macro
carbon SAE 1045 steel versus surface residual stress. cycles and (b) at a lifetime of approximately 105 cycles. residual stresses on fatigue life at high loadings
Source: Ref 4749 Source: Ref 4749 is expected. This is shown in Fig. 34.
Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 71
of hydrogen in iron becomes unstable (Ref 17). ing elements. The energy of hydrogen interac- micron size zone of maximal three-axis stresses,
Thermodynamic data of H diffusion in iron at tion with different structural components varies where hydrogen dissolved in the metal lattice
high temperatures are well reproducible in vari- in a narrow interval (0.10.4 eV per atom). In diffuses and its concentration in steel at equilib-
ous works (Ref 1820) that cannot be told about particular, the one with dislocations in iron was rium conditions attains maximal values as:
the data obtained below 200 C (392 F). Dif- evaluated as about 1.6 1020 J (0.1 eV per
fusion mobility of hydrogen in iron at low tem- atom) (Ref 25).
peratures varies in a wide range and depends on The Role of Stresses. Hydrogen atoms interact C rmax C0 exp (1.9 103 ry) (Eq 10)
imperfection of the crystal lattice and the content with any anisotropic strain field, similar to its
of impurities. For example, Ref 2124 there interaction with dislocations. If concentration of
Therefore, in steel having the yield strength ry
were obtained values of the diffusion coefficient hydrogen atoms is insignificant, then distribution
of approximately 1725 MPa (250 ksi) the equi-
at 25 C (77 F) varying from 109 up to of the dissolved ones in a strain field of a crystal
librium concentration of hydrogen in the zone of
105cm2 /s. When studying diffusion in pure lattice can be found using:
maximal tensile stresses exceeds its content in
iron by intensity of hydrogen emission out of
volume by 26 times (Ref 28) (Fig. 3).
massive samples, it was found that its diffusion C C0 exp (U/kT) (Eq 7) At absence of a crack or any other concentra-
mobility is sharply depressed at lower than 200
tor, the stresses are localized in front of a dis-
C (392 F) (Fig. 2). Above 200 C (392 F) the where C is a concentration of hydrogen in a cer- location pile-up, where considerable enrichment
diffusion coefficient is the following: tain point of the field, C0 is an average concen- with hydrogen also can be observed. Both fac-
tration, k is the Boltzmann constant, T is the kel- tors, concentration of tensile stresses and dis-
D 1 4 103 exp (3200/ kT) cm2 /s (Eq 5) vin temperature, and U is the interaction energy solved hydrogen, initiate nucleation of cracks
of hydrogen atoms with the strain field in the and promote its propagation.
Below 200 C (392 F) that is: place of a defined concentration, C. Hydrogen Effect on Structure and Phase
Accounting for only hydrostatic components Transformations in Steel. The basic conse-
D 0.12 exp (7820/ kT) cm2 /s (Eq 6) of the field, the interaction energy, U, makes: quence of hydrogen presence in iron and steels
at solidification is the development of porosity,
Just as impurities forming interstitial solid so- U p dV (Eq 8) due to a gas-eutectic transformation (Ref 29)
lutions, hydrogen interacts with various crystal
similar to the well-investigated eutectic one. To-
defects, creating nonuniform solid solutions. where p is an average hydrostatic pressure, that tal amount of pores is proportional to those of
Presence of microdeformation near the crystal is, p 13(rxx ryy rzz), and dV is the lattice dissolved hydrogen and is inversely proportional
imperfections increases hydrogen solubility volume alteration under the influence of hydro- to the pressure of crystallization. Hydrogen in
there. Therefore, the solubility of hydrogen in gen. steel stabilizes austenite and decreases the criti-
steel rises with an increase in density of defects. From these equations it follows that at a con- cal point A3, the temperature of martensite trans-
When diffusing inside the crystal, hydrogen at- stant temperature the following condition is formation, and the critical rate of cooling for
oms are retained by the lattice imperfections, and valid:
its effective diffusion coefficient essentially de- quenching (Ref 29). This is the cause of marten-
creases. This results in sharply diminishing dif- site formation even in a carbon-free iron at stan-
fusion mobility of hydrogen in iron at low tem- ln (C/Co) A 13(rxx ryy rzz) (Eq 9) dard rates of cooling. Unlike a carbonic marten-
peratures. Defects retaining hydrogen are known site, at low temperatures of tempering there
as traps. Its concentration controls an excessive where A kT/dV. arises a hydrogen-free martensite and a gaseous
hydrogen solubility, compared with the lattice According to (Eq 9), hydrogen in the crystal hydrogen escaping from a sample or accumulat-
one (i.e., in an ideal lattice). Moreover, the num- lattice is redistributed under stress influence. ing in micropores, creating high pressure and mi-
ber of places capturing hydrogen is inversely These deductions were confirmed with experi- crocracks like floccules (Ref 29).
proportional to the value of the effective diffu- ments (Ref 26, 27). It is settled that the effective States of Hydrogen in Steel. Hydrogen ab-
sion coefficient. diffusion coefficient of hydrogen essentially de- sorbed by metal can be present in various states:
The role of traps can be played by edge dis- creases, and its solubility increases under load-
ing the metal in a macro-elastic interval (below An interstitial solid solution
locations, boundaries of mosaic blocks or grains,
single pores uniformly distributed in crystals, in- yield strength). Thus, stresses promote nuclea- A segregating one on imperfections of the
clusions of a second phase, and atoms of alloy- tion of new reversible hydrogen traps, disap- crystalline structure
pearing after elimination of an external stress. Adsorbing one on the surface of micropores
Similar sites arise near the crack tip, in a several and particles of second phases
T, C
800 400 200 100 25
107
1 1
107 2
D, cm2/s
107 H
H
H H
HH H
H2 HH H2 H
H H H
107 H2 HH H2 H H
H
H2 HH H2 H
H H
H
107 H H
0.8 1.2 1.6 2.0 2.4 2.8 3.2 3.6 H
H
1000/T, K1
Fig. 2 Diffusions of hydrogen in pure annealing iron.

Source: Ref 1825 Fig. 3 Influence of hydrogen on crack propagation. Source Ref 28
almost compensated (state 4) or overbalanced crack propagation, resulting in crack arrest at or stop the propagation of microcracks existing
(state 5) by a slower rate of crack propagation stress amplitudes increasing with the deep-roll- after crack initiation.
due to the larger penetration depth andin the ing force. At relatively high forces, however, the The extrapolated bending fatigue strength ver-
case of state 5the higher amount of the com- bending fatigue strength decreases, because then sus surface residual stresses curves in Fig. 44
pressive residual stresses. Since the surface the impairment of the surface zone by the strong cross in the range of tensile residual stresses at
roughness, the surface work-hardening state and increase of the surface roughness and micro- 1125 MPa. This means that the fatigue notch
the surface residual stress state (see Fig. 40) of cracking as well as an unfavorable residual stress factor becomes unity. On the other hand, at neg-
the material states 2 to 5 do not differ much, they state at the surface enhances the formation of ligible or compressive residual stresses, the fa-
have similar resistance to crack initiation at the rather long initial cracks that only arrest at re- tigue notch factor approaches the stress-concen-
surface. Hence, the different fatigue strength ap- duced stress amplitudes. The bending fatigue tration factor, as shown in Fig. 54. Qualitatively
pearing in Fig. 39 is determined by the apper- strength of smooth specimens increases only similar to the quenched-and-tempered state, the
taining resistance to microcrack propagation, weakly with increasing rolling force. Regarding influence of tensile residual stresses is stronger
which, in turn, depends on the depth distribution the maximum value, an increase of only 15% is than that of compressive residual stresses and the
of the compressive residual stresses. This is dis- achieved, compared to 120% in the case of residual stress sensitivity of notched specimens
cussed in more detail in the section Propagating notched specimens. Since the stress gradient is is smaller than that of smooth ones. However,
and Nonpropagating Cracks in this article. rather small in smooth specimens, there is some this cannot be explained by different residual
A very interesting example of the interaction speculation (Ref 56, 57) that the crack initiation stress relaxation so far. Careful x-ray analyses
of changing surface roughness as well as micro site is shifted below the surface by deep rolling. prove that in notched specimens loaded with a
and macro residual stress state in a medium- Then, the small increase of the fatigue strength stress amplitude of 450 MPa and in smooth spec-
strength steel are given in Fig. 41. The strong mirrors the benefit of omitting surface effects imens loaded with 750 MPa (corresponding to
increase of the rotating bending fatigue strength (such as specimen roughness, corrosion, oxida- the fatigue limit of each) the relaxation of com-
of notched specimens by deep rolling is clearly tion) and the effect of a decreasing local stress pressive residual stress is small and of equal
attributed to the generation of micro- and macro- amplitude on the crack initiation. This mecha- amount. This is not astonishing, since an elastic
stresses with a rather large penetration depth. It nism is discussed in detail in the section Haigh estimation of the stress amplitude in the notch
is interesting to note that the resistance to micro- Diagram in this article. At high rolling forces, root (r* kt r 765 MPa) yields almost the
crack initiation is hardly influenced by the deep- however, the crack initiation occurs at the sur- same value as the stress amplitude of the smooth
rolling treatment (Ref 57), and the increasing face again, where it is enhanced by a high rough- specimen. No corresponding measurements for
bending fatigue strength is almost entirely com- ness, an increased roughness sensitivity due to smooth and notched specimens with tensile re-
bined with an increasing resistance to micro- work hardening, and an unfavorable residual sidual stresses were performed. However, since
stress state. Therefore, the bending fatigue the fatigue limit is reduced by tensile residual
strength decreases, and there is no improvement stresses, it is clear that their relaxation is negli-
2.5 by deep rolling at all. In the end, the maximum gible.
bending fatigue strength of the notched speci- A comparison of Fig. 45(a) with Fig. 37(a)
mens (remember, evaluated as nominal stress shows that the shot peening treatments per-
Fatigue notch factor, kf
amplitude) is higher than the maximum bending formed increases the bending fatigue strength of
2.0 fatigue strength of the smooth specimens. These smooth specimens in the quenched state less
kt = 1.7 results show that the gradients of the micro and than in the quenched-and-tempered state. In
=2 the macro residual stresses in comparison to the view of the different residual stress states and
1.5 gradient of the loading stresses are of great im- their different stabilities in both heat treating
portance, and this will become even more evi- states, this finding is rather astonishing. In Fig.
dent in the next section. 55, the depth distribution of residual stresses in
1.0 High-Strength Steels. The S-N curves of shot peened quenched specimens before fatigue
500 0 500 1000 quenched SAE 1045 steel in Fig. 42 prove that loading and after 107 cycles at the fatigue limit
rs there is a detrimental effect of tensile grinding is shown. In the range of specimen scatter, the
residual stresses on bending fatigue strength and, results are identical. Contrary to quenched-and-
Fig. 54 Fatigue notch factor kf of specimens made from contrary to the quenched-and-tempered state (see tempered specimen (see Fig. 52), the shot peen-
quenched plain carbon SAE 1045 steel versus Fig. 34) also on finite fatigue life. This is because ing residual stresses are much higher and much
surface residual stress. Source: Ref 4749
there is only a weak relaxation of the initial re- more stable in quenched specimens. However,
sidual stresses even at rather high stress ampli- in the former, crack initiation occurs at the sur-
tudes. Similar to quenched-and-tempered speci- face. Hence, the shot-peening-induced changes
0 mens, compressive grinding residual stresses of the micro and the macro residual stress state
Before loading with very small penetration depth (
20 lm, see have a strong influence on the measured bending
Fig. 43) have almost no effect on bending fatigue fatigue strength. In smooth quenched specimens,
500 n,a = 750 MPa strength and finite fatigue life. Therefore and cyclic loading at the fatigue limit initiates cracks
rs
N 107 since in the quenched state the compressive re- below the surface. Therefore, the influence of the
sidual stresses are retained to the largest part dur- shot-peening-induced changes of the residual
1000 ing fatigue loading in the range of the fatigue stress state have a rather small influence on the
limit, one may expect that crack initiation occurs measured bending fatigue strength. This is
below the surface. Analogous to the quenched- treated more detailed in the section Modeling
1500 and-tempered state, this could not be proved def- the Influence of Residual Stresses on Fatigue Be-
0 0.1 0.2 0.3 0.4 0.5 initely (Ref 49). Since in the quenched state a havior. Contrarily, in the range of finite fatigue
Distance from surface, mm grinding-induced work softening occurs close to life, crack initiation in both states occurs at the
the surface and an influence of the surface rough- surface, and there is a strong influence of shot
Fig. 55 Residual stress of smooth ground and addi- ness always exists, it is very probable that crack peening regarding quenched specimens and a
tional shot peened specimens made from
quenched plain carbon SAE 1045 steel before loading and
initiation occurs at the surface. Then, one must very small one regarding quenched-and-tem-
after 107 cycles versus distance from surface. Source: Ref conclude that compressive residual stresses with pered specimens. This finding is directly corre-
4649 a penetration depth of only 20 lm do not retard lated with very different residual stress relaxa-
tion. While surface residual stress relaxation is duces a strong increase of both fatigue limit and after
107 cycles. In this case, a significant re-
definitely complete in quenched-and-tempered finite fatigue life. Milling, which may generate laxation and redistribution of the residual
specimens after 50,000 cycles at a stress ampli- rather high compressive residual stresses, is less stresses occur.
tude of 570 MPa, there is hardly any change of effective. In all cases, crack initiation was ob-
the surface residual stresses in the quenched served at the surface. However, as evident from
specimens after the same number of cycles even Fig. 46, the surface residual stress state is not an Modeling the Influence of Residual
at 1200 MPa (Ref 49), although there may be appropriate parameter to assess bending fatigue Stresses on Fatigue Behavior
some residual stress relaxation below the sur- life in the presence of compressive residual
face. stresses. In Fig. 56, the bending fatigue strength
Regarding notched specimens, a different pic- is plotted as a function of the maximum residual Haigh Diagram
ture appears (compare Fig. 45b with Fig. 37b). stresses. Again, the arrows mark the shift of the
Now, shot peening of quenched specimens pro- residual stresses and bending fatigue strength Basic Relationships. One obvious way to ac-
obtained from shot peening. Now, the data of count for the influence of (macro) residual
ground notched specimens with tensile or neg- stresses on the fatigue behavior is to treat them
ligible residual stresses and of notched speci- as local mean stresses. In doing so, one has to
800
mens peened with shot of different hardness are realize that there are several important differ-
Smooth described satisfactorily by one common line ences between (loading) mean stresses and re-
600 = 0.4 covering a residual stress range of 2350 MPa. sidual stresses, as discussed in the section Com-
The data points of ground and those of milled parison between Loading Stresses and Residual
400
specimens bearing compressive residual stresses Stresses in this article. Figure 58 shows a Haigh
fall below this line, which has the slope 0.214. diagram for smooth and notched specimens
Ground In Fig. 56, it becomes even more clear than in made from a medium-strength steel (Ref 1, 62).
200 Notched
Shot peened kt = 1.7 Fig. 46 that the improvement of the bending fa- The Goodman approximation (see Eq 9) is used
Milled =2 tigue strength of smooth specimens by shot to account for the influence of residual stresses
0 peening is very limited. As a consequence, the on the fatigue strength. If the amount of the min-
1500 1000 500 0 500 1000 notch effect on bending fatigue strength is com- imum stress or the maximum stress in smooth
rs
Maximum residual stress (max ), MPa pletely eliminated at high compressive residual specimens does not exceed the critical stress am-
stresses. plitude ra,crit, which is a function of the cyclic
Fig. 56 Alternating bending fatigue strength of smooth
and notched specimens made from quenched It is interesting to look at the stability of very yield strength (see the article Stability of Re-
plain carbon SAE 1045 steel with different surface condi- high compressive residual stresses. As already sidual Stresses in this Handbook), the residual
tions versus surface residual stress shown in Fig. 55, fatigue loading of smooth stresses do not relax, and the line AB gives the
specimens in the range of the fatigue limit does influence of the residual stress on the fatigue
not cause any significant change of the residual strength. Then, all combinations of residual
0 stress state. As shown in Fig. 57(a), the same stress and stress amplitude inside the shaded area
holds for notched specimens peened with shot of result in neither residual stress relaxation nor fa-
Before loading relatively low hardness, which have a very simi- tigue failure. However, if the amount of the min-
lar depth distribution of the residual stresses. imum stress or the maximum stress exceeds the
500 n,a = 640 MPa
rs
Elastic calculation of the minimum stress 70 lm critical stress amplitude, it is assumed that the
N 107 below the notch root (at the maximum of the residual stresses relax to the value given by the
compressive stresses) yields the value 2035 points A and B, respectively, and the fatigue
1000 MPa. This stress value may occur more than 107 strength remains constant at the value given by
times without effecting any change of the resid- these points. In the case of notched specimens,
ual stress state. As shown in Fig. 57(b), notched the cyclic yield strength and the notch fatigue
1500 specimens peened with shot of higher hardness strength (both in terms of nominal stress ampli-
0 0.1 0.2 0.3 0.4 0.5 bear even higher compressive residual stresses. tudes) are less than the respective values of
Distance from surface, mm In this case, elastic calculation of the minimum smooth specimens. However, the ultimate tensile
(a)
stress in a depth of 100 lm yields the initial strength of notched specimens is larger than that
0 value 2475 MPa and the value 2130 MPa of smooth ones in such a material state because
Before loading
500
rs
n,a = 760 MPa

1000
N 107
1500
0 0.1 0.2 0.3 0.4 0.5
(b)
Fig. 57 Residual stress of notched ground and addi-

tional shot peened specimens made from
quenched plain carbon SAE 1045 steel before loading and
after 107 cycles versus distance from surface. (a) Shot
peened with shot of a hardness of 46 to 50 HRC. (b) Shot
peened with shot of a hardness of 54 to 58 HRC. Source: Fig. 58 Haigh diagram. Bending fatigue strength Rf of smooth and notched specimens made from a medium-strength
Ref 4649 steel versus residual stress. After Ref 1, 62
high-strength steel Fe-0.3C-2Ni-Cr-Mn-Si (Ref cess of initiation and growth of a crack when tion, the microstress relaxation process com-
79). testing on a delayed fracture in a freshly hard- pletes in a time of no more than 10 to 20 h since
Some Specific Cases of Delayed Fracture. ened state is quite the same as that in the grain quenching. In this state a material still possesses
In the scientific literature, including the educa- boundaries. The typical initiating crack found in the sensitivity to delayed fracture. In the process
tional one, it was a widespread opinion that de- the stress concentrator top is shown in Fig. 9. of holding samples at room temperature, the evo-
layed fracture of steels can develop involving no The work has been methodically performed in lution (desorption) of hydrogen from them into
hydrogenthat is, under the effect of only struc- the following way. First, regularities of the ini- the atmosphere has been found to occur. The
ture factors (Ref 28, 54, 80). In particular, the tiation and crack growth have been studied thor- sensitivity to delayed fracture is just concur-
question about the nature of the enhanced sen- oughly by methods of mechanical tests in con- rently with termination of hydrogen desorption
sitivity to delayed fracture of steels in the so- junction with the acoustic emission. In (i.e., about 70 h after quenching has been
called newly quenched state is long discussed. particular, the effect of the deformation-rate in- elapsed). According to the data of the laser spec-
Cases of quenched products cracking, which are hibition of the crack growth has been estab- troscopy, the amount of desorbent hydrogen over
met in practice of thermal processing (Ref 52, lished, durations of the incubation period, si, un- the period of holding comes to approximately 2
54), have been associated with the development der different conditions of loading have been 106 at.% (Ref 84).
of delayed fracture of untempered martensite. determined and so on. Second, the simulation of The source of diffusive-mobile hydrogen in
Initiation and growth of crack provoking delayed the newly quenched state has been performed. the structure of the quenched steel is inner hy-
fracture occurs mostly over the boundaries of For this purpose, after approximately 70 h ex- drogen, whose amount at conventional process
primary austenitic grains. The short-term tem- posure at room temperature (to eliminate the sen- of melting makes up no less than 2 to 3 104
pering or resting of quenched samples at room sitivity to delayed fracture) quenched samples at.%. The lattice solubility of hydrogen increases
have been hydrogenated by the special proce- from approximately 107 at 20 C (68 F) to 4.4
temperature enhances resistance to delayed frac-
dure. 104 at.% at 860 C, (i.e., by about 3 orders
ture; therefore, its development calls for further
Subsequent tests have shown that all the char- of magnitude), as a result of heating to the aus-
hydrogenation. Within the span of more than 50
acteristics of delayed fracture of quenched tenization temperature. A reverse decrease of
years of investigations, alternate hypotheses for steelsthe threshold stress, rth, the duration of solubility in the process of the fast quenching
explaining this phenomenon have been pro- the incubation period, si, and so on, as well as results in a part of hydrogen being kept for some
posed. The structure hypothesis based on the the mechanism of fracture, are analogous with time in the oversaturated state in the -solid so-
prevailing role of residual microstresses inherent the case of delayed fracture caused by hydrogen. lution and has the increased diffusive mobility
in the untempered martensitic structure has re- Therefore, it is beyond the reason to consider and the property of localizing in the region of
ceived the most acceptance (Ref 79, 80). The that in the case of the untempered martensite maximal tensile stresses. High interior micro-
role of internal hydrogen, which is always pres- structure a certain different type of delayed frac- stresses inherent of the quenched steel structure
ent in steel as an inevitable impurity, has not ture that is not connected with the presence of make the process of the crack initiation and the
been discussed practically in the literature. hydrogen in steel takes place. The fact that the crack growth easier but are not the factors that
The phenomenon of delayed fracture of kinetics of relaxation of interior microstresses in control kinetic parameters of delayed fracture.
quenched steels has been studied in detail in Ref the process of resting at room temperature does Another interesting case is delayed fracture of
8183. Steels Fe-0.3C-Cr-Mn-Si and Fe-0.4C- not correspond to the kinetics of the change of high-strength maraging steels, which develops
Cr-Mn quenched in oil at 860 C (1580 F) have the threshold stress, rth, bears witness to this over the certain temperature interval of aging
been chosen as objects of investigation. The pro- also. Judging by the change of the interior fric- 400460 C (Ref 85). The development of de-
layed fracture in these steels requires no special
hydrogenation. Therefore, within a long period
of time this phenomenon was also connected
80
only with the peculiarities of the structure state
forming at indicated aging temperatures. Fur-
3 thermore, this problem is urgent because aging
60
in the indicated interval provides for obtaining
the maximum elastic limit of steel. However,
, %
40 owing to the low resistance to delayed fracture,

1 this mode of aging usually is not practiced. An
20 analysis of data in hand has shown that the key
question in explaining the phenomenon of de-
2 layed fracture of maraging steels is a question on
0 the role of the testing environment (air, vacuum)
2500 as well as the role of titanium (Ref 85).
3 The investigations have been carried out with
2000 steels Fe-16Ni-10W-Mo-Ti and Fe-18Ni-9Co-
5Mo-Ti (Ref 86, 87). The tests have been per-
B, MPa
1500
formed under static loading at the reduced rate
2
of e 2.8 105 s1. Dependencies of the me-
1 chanical properties of steel Fe-18Ni-9Co-5Mo-
1000 Ti on the aging temperature when testing in the
air and in vacuum are presented in Fig. 10. A
500 crevasse in curves of the change of mechanical
340 380 420 460 500 540 properties on tests in the air (curves 1,1) cor-
T, C responds to the aging temperature of 420 to 460
C. Plastic properties of steels in this range come
Fig. 9 Nucleating grain boundary crack revealed at the Fig. 10 Influence of testing media on delayed failure of
top of the stress concentrator on testings of steel Fe-18Ni-9Co-5Mo-Ti. 1,1 testings in the
practically to the zero level. An effect of delayed
quenched steel Fe-0.3C-Cr-Mn-Si for delayed failure. air, u 4045%; 2.2, the same, u 6570%; 3,3, fracture for steel Fe-16Ni-Mo-10W-Ti is ob-
1100. Source: Ref 81 vacuum testings, P 1.3 Pa. Source: Ref 86 served within a more narrow temperature inter-
strength steel in the section Evaluation of Ex- pressive grinding residual stresses. The same in shot peened as well as deep-rolled conditions
perimental Results, there is a detrimental effect holds for notched specimens with kt 2.5, g in comparison with the untreated states. For each
of a very high surface roughness. The second 5. The data points of shot peened specimens fall steel, a unique curve is obtained for the three
arrow illustrates the correction, which is based above the expected relationship as a conse- material conditions. Hence, concerning these
on Fig. 47, for this effect. Compressive residual quence of pronounced work hardening, which steels the quantities that are included in the SWT
stresses produced by grinding show some relax- increases both fatigue strength and resistance of parameterthe maximum stress and the total
ation, although their initial value is inside of the the compressive residual stresses against relax- strain amplitude (see Eq 11)form a reliable
border lines. This finding is consistent with the ation. basis for the assessment of the influence of re-
consideration given so far, since work hardening From the relationships shown in Fig. 60, the sidual stresses on the fatigue life.
is almost negligible in this specimen. Moreover, following conclusions can be drawn for a me-
the data point corresponding to the relaxed com- dium-strength steel:
pressive grinding residual stresses still falls be- Concept of Local Fatigue Strength
Residual stress relaxation plays a significant
low the Goodman line. This finding was already
role for the influence of residual stresses on Basic Relationships. As shown in the previ-
attributed to the low penetration depth of the
fatigue behavior. ous section, in the paragraphs on applying the
grinding residual stresses.
Residual stress relaxation depends on the Haigh diagram to high-strength and medium-
The residual stress sensitivity of notched spec-
work hardening produced by the various strength steels, the use of the Haigh diagram for
imens with kt 1.7 is significantly smaller than
manufacturing processes. Not only the the assessment of the effect of residual stresses
that of smooth specimens, even though the con-
amount, but also the penetration depth of on the fatigue behavior has serious limitations.
sideration is based on the relaxed residual
work hardening is important. As a conse- Regarding, for example, smooth specimens
stresses. Therefore, the different residual stress
quence, even for one initial material state made from a high-strength steel, shot peening
sensitivity of the fatigue strength of smooth and
there are no unique borderlines for the onset produces much less improvement in fatigue
notched specimens, respectively, is not solely
of residual stress relaxation. strength than expected from the residual stress
based on different residual stress relaxation, and
If comparable work-hardening states (or mi- state. This finding is combined with subsurface
the third conclusion given previously for a high-
cro residual stress states) are concerned, the crack initiation. Regarding medium-strength
strength steel is also valid for a medium-strength
influence of relaxed residual stresses on the steel, difficulties arise because not only the
steel to some extent. From an extrapolation of
bending fatigue strength corresponds satisfac- (macro) residual stress state is changed by manu-
the Goodman line plotted, an ultimate tensile
torily to the Goodman approximation. This facturing processes, but also the micro residual
strength of 1133 MPa is obtained, which is sig-
means that the relaxed residual stress sensi- stress state. The latter influences the fatigue
nificantly higher than the ultimate tensile
tivity and the mean stress sensitivity of the strength at zero mean stress and the resistance of
strength of smooth specimens. Again, this find-
bending fatigue strength is almost the same. the residual stress state against relaxation. There-
ing results from the triaxial stress state in the
In this formalism, the different initial residual fore, it is appropriate to look for the local fatigue
interior of the notched specimens and is consis-
stress sensitivity of smooth and notched spec- strength, which depends on the local micro re-
tent with data measured on other medium-
imens, which causes a reduction of the fatigue sidual stress state, the local macro residual stress
strength steels (Ref 63, 64). Regarding material
notch factor with increasing residual stress, is state, and (as far as crack initiation at the surface
states with compressive residual stresses, the
related to both the different residual stress re- is concerned) on the topography of the surface
data point of milled specimens comes rather
laxation and the different stress states in of the component. Strictly speaking, the local re-
close to the Goodman line. No measurements
smooth and notched specimens via the dif- sistance against fatigue crack initiation is con-
were done concerning the stability of this resid-
ferent ultimate tensile strengths. cerned, as shown later.
ual stress state. Since the data point falls inside
of the border lines, the residual stress state The concept of the locally effective fatigue
should be stable. Contrarily, there is some relax- Damage Parameters strength, which has its origin in Ref 38 and 39,
ation of the compressive residual stresses in enables quantitative predictions of the effect of
ground specimens even though their initial value As discussed in the section Lifetime Behav- the depth distributions of residual stresses on the
falls inside of the border lines, too. Again, this ior, there are some so-called damage parameters locus of crack initiation as well as on the fatigue
is a consequence of different micro residual that correlate fatigue life with loading parame- strength. The basic assumption of the concept is
stress states. Similar to smooth specimens, the ters. The well-known Manson-Coffin relation- that a crack can only be initiated at or below the
data points fall below the Goodman line as a ship (Eq 5) is not applicable to material states surface if the local loading stress exceeds the lo-
result of the small penetration depth of the com- with residual stresses, because it does not ac- cal fatigue strength. Especially in the case of
count for mean stresses. On the other hand, the relatively hard materials, for example, hardened
Ostergren parameter (Eq 12) and the Smith-Wat- steels, this concept yields to a good estimation
son-Topper parameter (Eq 11) include the mean of the corresponding properties. For that pur-
1000
stress via the maximum stress. With the limita- pose, it is necessary to have a good knowledge
800 SAE 1045
of the depth distributions of the fatigue strength
SWT parameter, MPa
tions already outlined in the previous section,

600
one could try to use these parameters to assess in the residual-stress-free condition R0f (z) as well
the effect of residual stresses on fatigue life. as of the macro residual stress rrs(z) and the re-
400
AISI 304 sidual stress sensitivity m(z). The locally effec-
300 However, the application of the Ostergren pa-
rameter requires the knowledge of the local tive fatigue strength Rf(z) as a function of the
plastic strain amplitude, which in turn needs so- distance x from the surface is calculated by the
200
Untreated
phisticated modeling of the local cyclic elastic- relationship:
Shot peened
Deep rolled plastic deformation behavior. This seems not to
100 be a useful approach. However, the Smith-Wat- Rf(z) R0f (z) m(z) rrs(z) (Eq 18)
103 104 105 106 107 son-Topper parameter (SWT parameter) is easier
Number of cycles to failure, Nf to evaluate and was used in Ref 28 to account where the residual stress sensitivity m(z) ap-
for surface treated steels (normalized SAE 1045 proaches the mean stress sensitivity M of the
Fig. 61 Smith-Watson-Topper parameter versus num-
ber of cycles to failure for specimens made
and AISI 304). Figure 61 shows characteristic Goodman relationship (e.g., Eq 9) if the residual
from normalized SAE 1045 and AISI 304 steel in different plots of the SWT parameter versus the number stresses are stable. Then, the residual stress sen-
surface conditions. After Ref 28 of cycles of stress-controlled tests on both steels sitivity is determined approximately by m(z)
R0f (z)/Rm(z) (Ref 39). However, if residual stress sitivity m again approaches the mean stress sen- measured depth distributions of the hardness
relaxation occurs, the residual stress sensitivity sitivity M as shown in the paragraphs applying (see e.g., Ref 65).
m is smaller than the mean stress sensitivity M, the Haigh diagram to medium-strength steels in Application to High-Strength Steels. In a
if the initial residual stress distribution is used the previous section. The depth distributions of high-strength steel, manufacturing processes
(Ref 39, 62). However, if the relaxed residual the tensile strength Rm(z) and of R0f (z) can be may generate very large (macro) residual
stress distribution is used, the residual stress sen- estimated from appropriate correlations with stresses, as shown by several examples in the
paragraphs on high-strength steel in the section
Characteristic Examples. Contrarily, the
changes of the micro residual stress state are
Smooth Notched rather small. Therefore, the local fatigue strength
0 0 is almost entirely determined by the initial ma-
Residual stress, rs
Residual stress, rs
terial state and the depth of the (macro) residual
stresses. Figure 62(a) and (b) show depth distri-
butions of compressive residual stresses in
smooth and notched bending specimens pro-
duced by shot peening. In Fig. 62(c) and (d), the
resulting depth distributions of the fatigue
strength for infinite life and for one arbitrarily
chosen finite life are plotted together with the
(a) Distance from surface, mm (b) Distance from surface, mm corresponding depth distributions of the loading
N f = 104 stress. It becomes clear from this figure that the
improvement of the fatigue strength for infinite
N f = 104 life of smooth specimens (low stress gradient)
a and Rf,loc
a and Rf,loc
by shot peening is small because crack initiation

occurs below the surface in a depth with vanish-
Nf =
ing residual stresses. Contrarily, with increasing
stress amplitude, the crack initiation site is
shifted toward the surface, and the shot-peening-
Local fatigue strength induced stresses influence crack initiation and
Nf =
Loading stress
early fatigue crack growth. Hence, there is a
0 Distance from surface, mm 0 Distance from surface, mm large influence of shot peening on the low-cycle
(c) (d) fatigue strength and a small influence on the
high-cycle fatigue strength. This is shown in Fig.
Fig. 62 Distribution of residual stress (a) and (b) and distribution of loading stress and local fatigue strength for loadings 45(a). Contrarily, crack initiation in notched
in the range of finite and infinite lifetime (c) and (d) for smooth (a) and (c) and notched (b) and (d) specimens specimens (high stress gradient) occurs always
made from a high-strength steel
at the surface and both low-cycle and high-cycle
fatigue strength are improved, as shown in Fig.
45(b).
The assumption of the local fatigue concept
Propagating crack
1200 Not propagating 1200 that fatigue life determining cracks initiate only
crack in places where the loading stress exceeds the
d = 0.3 mm local fatigue strength is verified by several ex-
a and Rf,loc, MPa
a and Rf,loc, MPa
d = 0.6 mm
1000 1000 perimental results (e.g., Ref 38, 39, 62). Figure
63 presents for two series of specimens of the
Rf Rf aforementioned investigations from Ref 38 and
800 Loading 800 39 on hardened and shot peened SAE 1045 steel
stresses graphs of the depth distribution of the local fa-
tigue strength (see Fig. 63a and b). Rf,loc can be
600 600 calculated from the compressive residual stress
0 0.1 0.2 0.3 0.4 0 0.1 0.2 0.3 0.4 distributions (Fig. 63c and d) under the assump-
Distance from surface, mm Distance from surface, mm tion of uniform hardness. The closed circles
(a) (b)
mark the initiation sites of damage-relevant
400 400 cracks for each load stress distribution, which
0 0 could be taken from SEM of the fracture surface
(see Fig. 24). As can be seen, the actual crack
l, MPa
l, MPa
400 400 initiation positions agree with the expectation af-

rs
rs
800 800 ter the concept of the local fatigue strength. For
high stress amplitudes (1150 MPa), the cracks
1200 1200 that determine fatigue life can initiate at the sur-
0 0.1 0.2 0.3 0.4 0 0.1 0.2 0.3 0.4 face. For lower stress amplitudes (1150 MPa),
Distance from surface, mm Distance from surface, mm the damage behavior is changed. Of course,
(c) (d) stress amplitudes between 1000 and 1100 MPa
are able to initiate cracks at the surface (open
Fig. 63 Distribution of the local fatigue strength and the loading stress for different stress amplitudes with marking of
the locus of crack initiation (a) and (b) and distribution of residual stress (c) and (d) for specimens made from
circles in Fig. 58a and b). However, these stress
a quenched SAE 1045 steel after shot peening with shot with a mean diameter of 0.6 mm (a) and (c) and 0.3 mm (b) and amplitudes are too small to propagate the cracks
(d), respectively. After Ref 38, 39 into greater depth because of the high compres-
Those additions in steel have dissimilar influ- streaks. Sulfide streaks have S:Fe:Mn ratio of heat-hardenable steel (0.4% C, 1.0% Cr, 0.37%
ence on the resistance to different kinds of frac- 2:1:1, which comply with the formula (FeMn)S; Mo, Fe-bal) to hydrogen-sulfide cracking, and it
ture. If its content does not exceed an optimal their thickness is 10 to 15 nm, and they are has been shown that increasing its content from
value (Table 1), resistance to all kinds of brittle- mainly located at the boundaries of original aus- 0.009 to 0.06% lowers the threshold stress from
ness increases (Ref 143). At higher contents, the tenite grains (Ref 149). The sulfide-matrix inter- 518 MPa (75 ksi) to 140 MPa (20 ksi). Such an
resistance of steel to hydrogen is increased, but faces are sites for the accumulation of diffusion- effect of phosphorus is attributed, first, to the fact
it is reduced to other kinds of brittle fracture. mobile hydrogen atoms, which at subsequent that it activates the hydrogen absorption process
Carbide-non-forming elements affect steel re- stages cause hydrogen blistering in low-alloy and, second, that it changes the shape and dis-
sistance to a ductile, brittle, and intergranular ferritic-pearlitic steels due to hydrogen mole- tribution of carbides. Phosphorus or manganese
fracture. Addition of 0.1 % Si, Mn, Co or Al in cules formation from its ions and greater (than segregation can be formed at a pearlite band in
a solid solution of an improved engineering steel the yield strength) planar pressure. Under load- low-alloy steels (Ref 154). Such formation
reduces its fracture resistance; the transition tem- ing conditions the hydrogen also will accumulate causes structural changes, an increase of steel
perature, T50 rising by 5; and the impact strength at the sulfide-matrix boundaries and other sites occlusive capacity by 2 times, and a decrease of
at decreasing by 0.07MJ/m2. Nickel is an excep- where there is a high stress level and will cause the time for failure under load in a hydrogenating
tion; 0.1% of it makes T50 lower by 4 to 10. sulfide stress cracking, which is characteristic medium by 2 times.
Similarly, these elements influence hydrogen re- both to mild and alloy high-strength steels (Ref The adverse effect of phosphorus on steel re-
sistance of steel. Thus, manganese, aluminum, 150, 151). Shape modification of sulfide inclu- sistance to brittle fracture is comparable with the
silicon, and cobalt decrease the time for failure, sions from plate-like to globular lowers the sen- favorable effect of nickel and molybdenum:
st, and increase the loss of plasticity, Fw, under sitivity of steels to hydrogen cracking, since the Each 0.01% lowering of phosphorus content in
hydrogenation. Nickel increases steel resistance globules are less favorable to hydrogen accu- steel is equivalent, in its influence on the T50
to hydrogen. mulation than plates are. Calcium and rare-earth level, to steel alloying with 1% nickel or 0.1%
Thus, when these elements are added in a solid metals are suitable for shape modification of in- of molybdenum.
solution, the direct dependence between the hy- clusions (Ref 152). Antimony and Tin. The resistance of engi-
drogen and brittleness resistance characteristics, Thus, the nonmetallic inclusions, especially neering steels to brittle fracture depends, to a
T50, ac, is observed. sulfides, enhance accumulation of hydrogen in large extent, on its cleanliness with regard to an-
Impurities such as sulfur, phosphorus, anti- steels and increase the susceptibility of steels to timony and tin impurities. These impurities are
mony, tin, and other elements have great influ- hydrogen embrittlement. Therefore, in order to brought into steel in considerable quantities
ence on the resistance of engineering steels to lower the sensitivity of steels to hydrogen em- (0.010.03%) during melting when using scrap.
hydrogen embrittlement. Their action is mani- brittlement, it is necessary to decrease the sulfur Both elements increase the cold-shortness
fested via weakening of grain-boundary binding content in them and to modify the shape and type threshold and lower the impact strength level
(temper-embrittlement processes) and via non- of sulfide inclusions. (Ref 155). The degree of its influence may vary
metallic inclusions formation. According to ex- Sulfur, therefore, is a harmful impurity in with the steel alloying system to a great extent.
isting opinions (Ref 144), loaded grain junctions steels, lowering their resistance to fracture and In low-alloy steels with ferritic-pearlitic struc-
can be zones for the origination of three-axial hydrogen embrittlement. In mild steels with fer- ture, the addition of antimony, which is a more
stress state. These grain junctions are energeti- ritic-pearlitic structure, the sulfur, forming man- electro-positive noble element than iron, im-
cally preferable for the accumulation of hydro- ganese sulfides of plate-like shape (stringers), proves the corrosion resistance in hydrochloric
gen atoms having a low chemical potential enhances hydrogen blistering, which is mani- and sulfuric acids, assumed to be due to a film
value. It is assumed that hydrogen decreases the fested even at 0.001% S. Sulfide (hydrogen) containing antimony forming on the steel sur-
cohesive forces between iron atoms at grain stress cracking of such steels is sharply reduced face. The surface layer inhibits penetration of hy-
boundaries (Ref 145). Segregation of impurities with the decrease of sulfur content below drogen into steel (Ref 156).
(phosphorus, antimony, tin, etc.) at boundaries 0.007%. An effective way for prevention of blis- To a greater extent, antimony and tin lower
of original austenite grains results in recurring tering and hydrogen stress cracking is modifi- the steel resistance to brittle fracture: Each ad-
temper embrittlement, which further weakens in- cation of engineering steels with rare-earth ele- ditional 0.01% Sb or Sn raises the T50 by an av-
tergranular cohesive forces. These considera- ments (0.10.3%), especially with cerium erage of 18 C (32 F). Their adverse effect in
tions have been proved by direct experiments spheroidizing sulfide inclusions. this respect is comparable with the favorable in-
(Ref 146). The results indicate that hydrogen Phosphorus, Antimony, and Tin. The adverse fluence of nickel and molybdenum.
does not interact with impurities or segregations effect of these elements on steel properties is It is possible to assume that at an antimony
at grain boundaries (i.e., the grain-boundary em- well studied. Impurities enriching grain bound- content above 0.3%, the effect of lowering steel
brittlement actions of impurities and of hydrogen aries during tempering cause reversible temper resistance to brittle and ductile fracture will pre-
mutually supplement each other). brittleness. This phenomenon has a considerable vail over the effect of lowering the quantity of
Published data indicate that steel improving effect on the level of steel resistance to fracture. absorbed hydrogen. Hence, additional alloying
with impurities and gases cleanliness enables it Phosphorus in engineering steels greatly low- with approximately 0.20 to 0.30% antimony is
to boost its fracture resistance (Ref 147). The use ers brittle and ductile fracture. Phosphorus fa- advantageous for low-alloy steels to be used in
of metallurgical refining and remelting processes cilitates steel hydrogen embrittlement by en- hydrogen-sulfide media. The associated reduc-
greatly increases hydrogen-embrittlement resis- hancing temper brittleness development and tion in the level of toughness properties is insig-
tance due to the removal of nonmetallic inclu- establishing chemical and structural heteroge- nificant as compared with the improvement in
sions from the steel, especially sulfides and neity. the resistance to hydrogen embrittlement by 2
stringer oxide inclusions (Ref 148). Quantitative relationships have been found for times.
Improving the quality of heat-hardenable en- the embrittling effect of phosphorus, tin, and an- With respect to these considerations the fol-
gineering steels (unalloyed with molybdenum timony on steel: Each 0.01% of the impurities lowing conclusions can be drawn:
and tungsten) enables them to boost by 2 to 3 increases brittle fracture temperature, T50, by 20 Antimony and tin impurities lower the resis-
times their resistance to brittle and ductile frac- to 23 C; (3641 F), decreases crack-develop- tance of structural steels to brittle and ductile
ture. ment energy, Ap, by 10 J/cm2; and increases fracture: Each 0.01% increase in antimony or
Sulfur is present in steel mainly in the form of plasticity loss value during hydrogenation by tin raises T50 of heat-hardenable steels by 18
manganese sulfides. Nonmetallic inclusions of 8%. C (32 F), and each 0.01% increase in anti-
this type are very ductile and, hence, during roll- Reference 153 describes a study on the influ- mony raises T50 of low-alloy steels by 1 to 5
ing are rolled out in the form of elongated ence of phosphorus content on the resistance of C (1.89 F).
146. M. Vornet, Mem. Sci. Rev. Met., Vol 74 150. J. Hirth, Corrosion, Vol 32 (No. 1), 1976, 154. H. Gondo and M. Iino, Nippon Steel Cor-
(No. 5), 1977, p 307316 p 3437 poration Studies on Materials for Steel
147. A.P. Guliaev, Clean Steel, Metallurgia, 151. Z. Szklarska-Smilowaska, Werkst. Kor- Pipes for Service in Wet Sour Gas Me-
Moscow, 1975, p 184 (in Russian) ros., Vol 32 (No. 11), 1982, p 478485 dium, Technical Report B2 (No. 11), Nip-
148. V.G. Starchak, A.B. Kuslitsky, U.A. 152. G.M. Itskovich, Deoxidation of Steel and pon Steel Corporation, 1979, p 71
Kliachko, and I.A. Tamarina, Metal. Ter- Modification of Nonmetallic Inclusions, 155. E. Stephenson, Metall. Trans. A, Vol 11
moobrabotka, No. 4, 1977, p 1113 (in Metallurgia, Moscow, 1981, p 296 (in (No. 3), 1980, p 517524
Russian) Russian) 156. S. Shichi, M. Takeshi, and D. Utaka, Jap-
149. A. Joshi, Corrosion, Vol 34 (No. 2), 1978, 153. E. Snape, Corrosion, Vol 24 (No. 9), 1968, anese Application kl 12A41 (C23Fg/02),
p 4752 p 261282 No. 54, 1979
69. It becomes obvious that a crack, once initi- between 300 and 200 lm below the surface and tiate a crack. Again, similar to the quenched state
ated, can propagate. Regarding crack propaga- finally crack arrest. However, in this stage of (see Fig. 66), DKeff has a local maximum in a
tion toward the surface, the simple model pre- crack propagation the crack extension will be depth of 70 lm, and up to a depth of 150 lm the
dicts very slow crack growth in the range large compared to the depth of the compressive residual stress field increases significantly DKeff
residual stresses. Therefore, loading stress redis- as compared with the loading of a specimen
tribution will occur, as will relaxation of the without residual stresses (dotted line).
8 compressive residual stress field in the process The corresponding relationships for shot
With residual zone ahead of the crack front. The crack will peened notched specimens with the residual
stresses continue to propagate toward the surface causing stress distributions shown in Fig. 53 are given in
6
final failure. Then, the fatigue limit is correlated Fig. 71. The loading stress amplitude ra 310
Keff, MPa m
with the maximum stress amplitude that does not MPa which corresponds to the bending fatigue
4 Without residual stresses
cause crack initiation below the surface. There- strength, is considered. From Fig. 60 it becomes
fore, the improvement of the fatigue strength of clear that crack initiation at the notch root occurs
smooth specimens by shot peening is limited, as under such loading conditions because the cor-
2
shown in Fig. 45(a). However, Fig. 69 illustrates responding data point (open square) falls signifi-
Range of Kth,eff that the overall value of DKeff and, hence, the cantly above the Goodman relationship. On the
0 driving force for crack propagation is rather basis of the initial residual stress distribution,
0 0.05 0.1 0.15 0.2 0.25 0.3 small (compare, for example, Fig. 69 with Fig. there is no driving force for the propagation of
Distance from surface, mm 66 in view of the very different loading stress such a crack up to a distance of 170 lm from
amplitudes). Therefore, already in the transition the notch root. However, if the distribution of
Fig. 70 Range of the effective stress intensity factor
DKeff with and without consideration of the re- from infinite to finite fatigue lifewhere crack the relaxed residual stresses is considered, DKeff
sidual stresses versus distance from surface for ground initiation still occurs below the surface (see Fig. comes close to the threshold in depths ranging
notched specimens made from a quenched-and-tempered 63)there is a strong influence of shot peening from 30 to 200 lm. Therefore, the fatigue limit
(600 C/2 h) SAE 1045 steel at cyclic bending loading (kt on fatigue life, as shown also in Fig. 45(a). The corresponds to a loading condition where cracks
1.7, g 2)
influence of shot peening on finite fatigue life that initiate at the notch root may propagate or
increases with increasing stress amplitude, be- not.
cause the crack initiation site is shifted toward In the case of smooth shot peened specimens
20 the surface, as discussed in the paragraphs on with the residual stress distributions shown in
Without residual
stresses high-strength steel in the section Concept of Fig. 52, it is difficult to determine on the basis
15 Initial residual
Local Fatigue Strength. of the concept of the local fatigue strength
Keff, MPa m
stresses Application to a Medium-Strength Steel. In whether crack initiation occurs below or at the
Relaxed a medium-strength SAE 1045 steel, the threshold surface, if the loading approaches the fatigue
10
residual value Kth,eff ranges from 2.3 to 3.3 MPa m (Ref limit (see paragraph on medium-strength steel in
stresses 67). In the following, ground notched specimens the section Concept of Local Fatigue Strength
5 Range of Kth,eff (kt 1.7, g 2) with tensile residual stresses and Fig. 65b). Actually, crack initiation at the
(see Fig. 35, curve with open circles), are treated. surface is observed that is favored by the rather
0
The interaction of this initial residual stress state high roughness. Figure 72 gives the depth dis-
0 0.1 0.2 0.3 0.4 with the loading stress amplitude ra 143 tribution of DKeff for the loading stress amplitude
Distance from surface, mm MPawhich corresponds to the fatigue ra 414 MPa, which corresponds to the bend-
strengthresults in the depth distribution of ing fatigue limit. Regarding the initial residual
Fig. 71 Range of the effective stress intensity factor DKeff shown in Fig. 70. At a depth of 15 lm, stress state, the longest nonpropagating crack
DKeff without and with consideration of the ini- DKeff exceeds the range of threshold values. would have a length of 250 lm. Due to stress
tial and the relaxed, respectively, residual stresses versus
distance from surface for ground and additional shot
Therefore, a crack that initiates at the notch root relaxation, this value is reduced by 50%. Still,
peened notched specimens made from a quenched-and- will always propagate into the interior of the rather long cracks have to be formed during the
tempered (600 C/2 h) SAE 1045 steel at cyclic bending specimen, and the fatigue limit corresponds to initiation stage to be able to propagate into the
loading (kt 1.7, g 2) the maximum stress amplitude that does not ini- interior of the specimen.
The difference between the minimum loading
stress amplitude for crack initiation at the root
of notched specimen and the maximum loading
Relaxed residual
stress amplitude at which crack arrest is ob-
16 1200
stresses R m = 1650 MPa
Without residual
Final failure served may be very large in deep-rolled speci-
mens, which have rather small or even tensile
Keff, MPa m
12 stresses Transition range

1000 1400 MPa residual stresses at the notch root, but large com-
No final
8 failure
pressive residual stresses down to a relatively
Initial residual 800 1150 MPa great depth below the surface. Then, the length
stresses of an arrested crack will strongly depend not
4
only on the depth distribution of the residual
Range of Kth,eff 600 stresses, but also on the loading stress amplitude.
0 This is proved by Fig. 73 concerning notched
0 0.1 0.2 0.3 0.4 0.5
400 specimens (kt 2) made from differently heat
0 0.2 0.4 0.6 0.8 1.0 1.2 treated SAE 5135 steel with the ultimate tensile
Length of arrested crack, mm strength indicated (Ref 66). The diagram gives
Fig. 72 Rangewithout
of the effective stress intensity factor
and with consideration of the ini- the length of arrested cracks as a function of the
DKeff
tial and the relaxed, respectively, residual stresses versus Fig. 73 Influence of the nominal bending stress ampli- nominal stress amplitude. The higher the
distance from surface for ground and additional shot tude on the length of arrested cracks in deep-
peened smooth specimens made from a quenched-and- rolled notched specimens (kt 2) made from SAE 5135
strength of the material state, the less the crack
tempered (600 C/2 h) SAE 1045 steel at cyclic bending steel with the ultimate tensile strengths indicated. After Ref length increases with increasing stress amplitude
loading (g 0.4) 66 because the amount and the stability of the com-
pressive residual stresses produced by deep roll- removed electrolytically, resulting in a shift of fatigue limit, but higher finite fatigue lives than
ing increase with increasing hardness. From this the maximum compressive residual stresses into the specimens corresponding to curve 6. Apply-
figure it becomes clear that the large increase of the surface. Taking the slope of the straight line ing the same procedure with the aid of Fig. 36
the notch fatigue strength visible in Fig. 41 is for smooth specimens, g 0.4, in the range of as above to the surface residual stress state, an
almost entirely based on an increase of the re- (initial) tensile residual stresses in Fig. 36 as a increase of the bending fatigue limit of 220 MPa
sistance against crack propagation produced by rough approximation, one would expect a dif- compared to ground specimens is expected. Ac-
deep rolling. ference of both specimen series of 316 MPa tually, a difference of 279 MPa is determined.
In view of the relationships presented so far, caused by the different residual stresses. On the This finding means that the bending fatigue limit
it is interesting to look again at Fig. 39 and 40. other hand, on the basis of the Goodman line in is not determined by crack initiation at the sur-
The lowest bending fatigue limit was determined Fig. 60, one would expect a much higher differ- face, but by the largest amplitude at which crack
with ground specimens having low tensile resid- ence of 429 MPa. This shows that stress relax- arrest below the surface occurs. These relation-
ual stresses at the surface (curve 1 in both fig- ation occurs in this medium-strength steel state, ships become more clear in Fig. 74. There, DKeff
ures). An increase of 324 MPa (curve 6 in Fig. as expected. Anyway, the bending fatigue limit for surface cracks developing in conditions 5 and
39) was achieved with specimens that were shot of both specimen series is determined by crack 6 at nominal stress amplitudes corresponding to
peened according to curve 4 in Fig. 40 and from initiation at the surface. The specimens corre- the bending fatigue strength are plotted as a
which a surface layer of 100 lm thickness was sponding to curve 5 in both figures have a lower function of the distance from the surface. Re-
garding the initial residual stress distribution,
cracks smaller than 320 lm (condition 5) or 100
lm (condition 6) would not be able to propagate.
30
Without residual stresses Actually, stress relaxation occurs, the extent of
which, however, is not given in Ref 54 to 56. If
n,a = 640 MPa
n,a = 600 MPa it is assumed that the residual stresses relax by
Initial residual
stresses 50%, one gets the curves for the relaxed residual
stress state in the figure. Now, one can see that
20
Keff, MPa m
a crack once initiated in condition 6 will con-

Condition 6 tinue propagation. Hence, the bending fatigue
n,a = 640 MPa strength of this condition is determined by the
Condition 5 resistance against crack initiation, as stated
Assumed n,a = 600 MPa
relaxed above. Contrarily, in condition 5 the bending fa-
10 residual tigue strength corresponds to the maximum
stresses nominal stress amplitude at which crack arrest
Range of Kth,eff below the surface occurs.
From these considerations, it becomes clear
that the depth distribution of relaxed residual
0
0 0.1 0.2 0.3 0.4 0.5 0.6 stresses must be taken into account to gain a re-
liable assessment of the influence of residual
stresses on the fatigue behavior of medium-
Fig. 74 Range of the effective stress intensity factor DKeff without and with consideration of the initial and the relaxed, strength steel. Frequently, these data are not
respectively, residual stresses versus distance from surface for (corresponding to Fig. 39) shot peened smooth known. Then, the use of initial tensile residual
specimens made from a blank-hardened AISI 5115 steel at cyclic bending loading
stresses for the dimensioning of components is
a conservative procedure, because their detri-
mental effect on the fatigue behavior of a com-
ponent will be reduced by residual stress relax-
ation. However, the beneficial effect of
compressive residual stresses will be overesti-
mated by using the initial values, and this results
in a nonconservative dimensioning. Therefore, it
rs ls is important to estimate the remaining residual
kt Smooth stresses conservatively, for example with the ar-
Fatigue strength, Rf
Rh ticle Stability of Residual Stresses in this

Handbook.
rs
micro
rs
ls
Summary and Recommendations
kt
Rh
Notched Notched Some important conclusions that can be
drawn from this article are illustrated by Fig. 75,
Smooth
Smooth
in which the fatigue strength Rf is plotted as a
rs
micro ls kt Rh function of the macro residual stress. The fol-
lowing parameters are regarded:
Notched
The material strength; a low-strength steel
(for example, a normalized steel, lower band
Residual stress ,rs in the figure), a medium-strength steel (for
Influence of the macro residual stress and some other parameters on the fatigue strength of smooth and notched
example, a quenched-and-tempered (at a me-
Fig. 75 dium temperature) steel, middle band in the
specimens made from a low-strength steel (lower band), a medium-strength steel (middle band), and a high-
strength steel (upper band) figure), and a high-strength steel (a quenched
or quenched-and-tempered (at a low tempera- plitudes. However, the micro residual stress state (see Fig. 62a and c, 63, and 64c) and the im-
ture) steel, upper band in the figure) are con- may be changed significantly by the processes provement of the fatigue strength even by high
cerned that generate the macro residual stress. Hence, compressive residual stresses is limited (see Fig.
The depth distribution of the macro residual in a medium-strength steel the local resistance to 45a, 46, and 56). With increasing stress ampli-
stress rrs, characterized by its sign, magni- residual stress relaxation may be quite different tude and hence loading stress gradient, the crack
tude, and gradient grs even if the same initial material state is con- initiation site is shifted to the surface. Therefore,
The depth distribution of the micro residual cerned, and unique borderlines for the onset of the finite fatigue life is much more improved
stress rrs
micro residual stress relaxation do not exist (see Fig. than the fatigue strength (see Fig. 62a and c, 63,
The notch factor kt (smooth and mildly 60). A significant benefit from compressive re- and 45d). In notched specimens, the loading
notched specimens are regarded in the figure) sidual stresses is only obtained if their penetra- stress gradient is larger than in smooth ones. If
The gradient of the loading stress gls tion depth is sufficiently high and/or their gra- high compressive residual stresses with a suffi-
The surface topography, characterized by the dient is sufficiently low as compared to the cient depth and/or a small gradient exist, crack
roughness height Rh gradient of the loading stresses. Therefore, com- initiation will occur in the notch root resulting
pressive residual stresses produced by grinding in a strong improvement of the fatigue strength
do hardly influence the fatigue strength of (see Fig. 64a and b, 45b, 46, and 56). However,
Low-Strength Steel smooth and notched specimens (see Fig. 36). if the penetration depth of the compressive re-
Contrarily, compressive residual stresses gener- sidual stresses is low and therefore the gradient
In a low-strength steel, there will be no or very
ated by deep rolling or shot peening increase the of the local fatigue strength highfor example,
little influence of the macro residual stress, be-
notch fatigue strength (see Fig. 38, 39, and 41). after grindingthe improvement of the notch
cause it is relaxed more or less completely if the
The fatigue strength of smooth specimens is less fatigue strength will be small (see Fig. 44 and
cyclic loading approaches the fatigue strength
improved, if subsurface crack initiation occurs. 59). Frequently, after shot peening or deep roll-
(see Fig. 32 and 48). A change of the micro re-
Then, the fatigue strength of notched specimens ing, maximum compressive residual stresses oc-
sidual stress state by work hardening may sig-
may even be higher than corresponding values cur below the notch root. Then, the fatigue
nificantly increase Rf since the resistance against
of smooth specimens (see Fig. 41). This means strength may not be determined by the maximum
cyclic plastic deformation and hence, crack ini-
that the fatigue notch factor kf becomes less than cyclic loading, which does not result in crack
tiation increases (see Fig. 31). Then, also the re-
unity. At vanishing residual stresses, kf comes initiation, but by the maximum cyclic loading at
sistance against macro residual stress relaxation
rather close to kt if the loading stress gradient is which crack arrest below the surface is possible
is raised resulting in a certain sensitivity of the
small, but is significantly less at higher gls val- (see Fig. 67, 68, and 73). As a consequence of
work-hardened zone to macro residual stress.
ues. With increasing tensile residual stresses, the all these relationships, the fatigue notch factor
This may be detrimental or beneficial (see Fig.
fatigue notch factor is reduced again, as expected may vary strongly in the presence of compres-
33b) for Rf depending on the sign and the mag-
on basis of the Goodman relationship for smooth sive residual stresses regarding one-notch ge-
nitude of the macro residual stress. The influence
and notched specimens (see Fig. 58 and 60). ometry and may take values ranging from less
of the surface topography is rather small in a
There is a considerable influence of the surface than unity to the notch factor kt, as sketched in
low-strength steel (see Fig. 47). The fatigue
roughness on the fatigue strength, as shown in Fig. 75. In fact, regarding smooth and notched
notch factor kf is significantly smaller than the
Fig. 47. specimens, Fig. 44 and 54 prove that kf of ground
notch factor kt because cyclic plastic deforma-
specimens with compressive residual stresses
tion and stress redistribution occur in the notch
High-Strength Steel produced by grinding approaches kt. From Fig.
root (see Fig. 32). With increasing loading stress
56 it can be deduced that kf of shot peened spec-
gradient at a given kt, the fatigue strength in-
In high-strength steels, stress relaxation dur- imens approaches unity. At vanishing residual
creases due to the decrease of the highly stressed
ing cyclic loading in the range of the fatigue stresses, kf comes close to kt as expected in a
volume of the component or specimen (compare
strength only occurs in notched specimens bear- high-strength steel. With increasing tensile re-
kt 2.5, g 2 with kt 2.5, g 5 in Fig.
ing very high compressive residual stresses. sidual stress, the fatigue notch factor is reduced
32).
Then, the resulting fatigue strength is also high, and finally approaches unity (see Fig. 44 and 54).
and during corresponding cyclic loading very Again, this finding is in correspondence with the
Medium-Strength Steel high magnitudes of the minimum stress occur, Goodman relationship for smooth and notched
which leads to some residual stress relaxation specimens (see Fig. 58 and 59). The surface
In a medium-strength steel, there is a signifi- (see Fig. 57b). Contrarily, in the range of high roughness has principally a large influence on
cant influence of the macro residual stress on Rf tensile residual stresses and cyclic loadings that the fatigue strength of high-strength steel, as
since only a small part of rrs relaxes during cy- lead to infinite life or to technically relevant life- shown in Fig. 47. On the other hand, in practice
clic loading in the range of the fatigue limit (see times the occurring maximum stresses are much the roughness height of hard steel is rather low
Fig. 36, 38, 51a, and 52). However, in the low- lower and no residual stress relaxation is ob- even after mechanical surface treatments such as
cycle fatigue range, relaxation becomes more served even in the range of low-cycle fatigue. shot peening.
complete with increasing amplitude, and the in- Consequently, the residual stress sensitivity and
fluence of the macro residual stress vanishes (see the mean stress sensitivity of Rf are identical (see Recommendations
Fig. 34, 37, 39, 51b). Tensile residual stresses Fig. 59), and the fatigue strength is strongly re-
are always detrimental to Rf. Therefore, in the duced with increasing tensile residual stress. From all of these relationships, some recom-
presence of large tensile residual stresses a me- This is also true for the finite fatigue life (see mendations may be deduced. In medium- and
dium-strength steel may have equal or even Fig. 42). In the range of compressive residual high-strength steels tensile macro residual
lower fatigue strength than a low-strength steel stresses, complex relationships exist. A strong stresses must strictly be avoided since they al-
(compare Fig. 32 with 36). If relaxed tensile re- effect of rrs will only occur if cracks are initiated ways promote crack initiation and crack propa-
sidual stresses are concerned, the residual stress at the surface. However, in thick smooth speci- gation and are detrimental to the fatigue strength
sensitivity m of the fatigue strength approaches mens or components cyclically loaded in the andat least in higher strength steelto finite
the mean stress sensitivity M (see Fig. 60). In range of the fatigue strength, the loading stress fatigue life. In a low-strength steel, the influence
material states of similar hardness loaded in the gradient is usually lower than the gradient of the of tensile macro residual stresses is usually small
range of the fatigue limit, compressive residual local fatigue strength, which depends on the or negligible, and the change of the micro resid-
stresses relax stronger than tensile ones simply depth distribution of the residual stresses. Con- ual stress state by work hardening is much more
because of the different corresponding stress am- sequently, cracks are initiated below the surface important. In most cases, work hardening will be
Deflection Methods to Estimate Residual Stress / 91
carbon steel (e.g., electric arc discharge) may re- face during peening. Peening is continued until quench distortion is the Navy C-ring test (Ref 5
sult in a level of triaxial residual stress close to the material has reached saturation; that is, when 7). The amount of distortion (deflection) of a
the cohesive strength of the material, possibly the lift height increases by no significant amount quenched test piece is measured by the change
leading to immediate or delayed cracking. and the compressive stress in the surface layers in the gap width (Fig. 9).
Although the stress may be multidirectional, corresponds closely to the elastic limit of the
hoop stress that arises at several stages of man- steel strip (Fig. 6).
ufacture is the primary cause of many of the Consider the residual stress distribution Methods for Measuring Residual
problems. When a length of tube is parted off through the Almen strip. Deflection of the strip Stresses from Deflection Data
and slit in a longitudinal direction, any hoop occurs in order to relieve some of the high sur-
stress present tends to open the slit (Fig. 5). face compressive stress. The peened surface area Sectioning to allow relaxation of residual
Opening of the slit indicates compressive stress endeavors to expand by bowing in order to nul- stress in actual components where stresses are
in the inside diameter (ID) of the tube and tensile lify the compressive stress. The magnitude of thought to be present can be performed by sev-
stress on the outside diameter (OD). On rare oc- bowing is limited by the restraint of the remain- eral methods, from simple saw cutting to the
casions, the slit may close, indicating the reverse der of the material, and equilibrium is reached more sophisticated compliance method (Ref 8
condition. The stress is not always uniform along when the remaining compressive stress is in bal- 10). In the latter method, the residual stress pro-
the length of the tube. Stress measurements have, ance with the elastic compressive stress devel- file is calculated from the strains caused by in-
on occasions, indicated a cyclic variation corre- oped in the lower surface. The depth and inten- troducing a cut of progressively increasing depth
sponding to differences in cooling of areas in sity of the compressive layer is proportional to into the component. The strains are measured by
contact with the cooling bed cross ties. the lift height at saturation. The Almen strips are using suitably positioned strain gages cemented
Shot peening intensity is monitored by using primarily used to ensure that the process is in to the surface adjacent to the cut. The cutting is
a method developed by J.O. Almen of General control (shot condition, uniformity in applica- performed by using various techniques, how-
Motors Company. In this method, 75 mm long tion, impeller operation, etc.). A photograph of ever, electrical discharge machining is the pre-
by 18.75 mm wide (3.00 by 0.75 in.) strips of three typical strips is shown in Fig. 7. ferred method. Usually, two computer-based ap-
1070 spring steel are quenched and tempered to Metal Improvement Company, Inc., in col- proaches are used to analyze the data. These are
a deep-blue oxide finish (blue tempered) for a laboration with ENSAM, a French advanced en- the forward and inverse solution. The forward
hardness of 45 to 50 Rc and exposed on one side gineering school, has developed a software pro- solution derives the measurable strains (compli-
to the same shot intensity as the component un- gram called PeenStress (Metal Improvement ance functions) that develop from introducing a
dergoing treatment (Ref 3). Three different Co., Inc., Paramus, NJ) that is used to assist in successively deeper slot into a part containing an
thicknesses are used: N, 0.79 mm (0.031 in.); shot peening callouts (Ref 4). The user selects a arbitrary known stress distribution. The inverse
A, 1.30 mm (0.051in.); and C, 2.38 mm material from a library of about 80 materials, solution develops the original residual stress dis-
(0.0938 in.) to allow for differences in degree then selects a shot size and shot intensity and tribution that best matches the actually measured
and shot peening required and materials being inputs some basic geometry considerations. Fig- strains.
treated. For example, peen forming of an alu- ure 8 is a curve generated on a chromium-silicon Similar methods based on drilling small holes
minum alloy requires considerably less peen in- spring wire shot peened with a hardened, 0.023 in the stressed material have been around for
tensity than a carburized gear tooth. During treat- in. shot to a 10 A intensity. A 10 A intensity some years. Strain relaxation is measured using
ment, the Almen strip assumes a concave shape. equates to a 0.25 mm (0.010 in.) arc height on strain gages or photoelastic coatings. Strain
The lift height is proportional to the level of the A-strip. gages have been used to measure strain relaxa-
compressive stress developed in the upper sur- One of the older standard tests for evaluating tion in bevel gears following successive removal
of layers by electrochemical machining (Ref 11).
Saw cutting or slitting is an easy quality con-
trol test that gives a global overview of the state
of residual bulk hoop stress in rings. Interest-
Ar3 ingly, such a technique was used recently to val-
Ar1 idate the measurements of residual stress levels
in railway wheels using electromagnetic-
Austenite acoustic transducers (Ref 12).
Ferrite
Pearlite Mathematical Derivations for

Core Simple Cases Based on the Saw-Cut
Temperature
Methods
Bainite
Surface Definitions of the symbols used in the follow-

ing derivations are given in Table 1.
To develop the mathematical algorithms for
Martensite interpreting deflection measurements after slit-
ting a simple shape (plate, round bar, or tube),
simple beam theory is used (Fig. 10).
The basic formula for the state of affairs at
any point (x) along a beam is (Ref 13):
M r E
Time, T
(Eq 1)
I c R
Fig. 3 Schematic representation of the relative transformation at the surface and in the core of the mild steel plate. At
time, T, the core is still austenitic while the surface has already transformed to a ferrite-pearlite structure. Ar3 where M is the bending moment to which the
and Ar1, upper and lower transformation temperatures, respectively, on heating (refroidissant) a hypoeutectoid steel beam is subjected at x. Bending moment M is
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Karlsruhe (TH), 1989 40. S. Jaegg, Dr.-Ing. Thesis, University GH erauch, Arch. Eisenhuttenwes., Vol 49,
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Nr. 123, VDI-Verlag, Dusseldorf, 1987 Ed., Eng. Mater. Adv. Services Ltd ley-VCH, Weinheim, Germany, 2000, p
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GH Kassel, 2000 43. A. Stacey and G.A. Webster, Materials Re- 57. K.-H. Kloos, B. Fuchsbauer, and J. Adel-
29. I. Altenberger, B. Scholtes, U. Martin, and search Society Proc., Vol 22, 1984, p 215 mann, J. Fatigue, Vol 9, 1987, p 3542
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1999, p 116 ments, A. Niku-Lari, Ed., Pergamon Press, techn., Vol 14, 1983, p 109115
30. G. Kuhn, Dr.-Ing. Thesis, University Karls- Oxford, 1987, p 455482 59. P. Starker, Dr.-Ing. Thesis, University
ruhe (TH), 1991 45. K.J. Kang, J.H. Song, and Y.Y. Earmme, Karlsruhe (TH), 1981
31. G. Kuhn, J.E. Hoffmann, D. Eifler, B. Fatigue Fract. Eng. Mater. Struct., Vol 12, 60. A. Navarro and E.R. de los Rios, Philos.
Scholtes, and E. Macherauch, ICRS 3, H. 1989, p 363376 Mag. A, Vol 57 (No. 1), 1988, p 1536
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sevier Applied Science, London, 1991, p auch, Proc. ICSP3, H. Wohlfahrt, R. Kopp, havior of Short Fatigue Cracks, Mechanical
12941301 and O. Voehringer, Ed., Garmisch-Parten- Engineering Publications Limited, London,
32. A. Glaser, D. Eifler, and E. Macherauch, kirchen, DGM Verlag, Oberursel, Germany, UK, 1986
Mater.wiss. Werkst.tech., Vol 22, 1991, p 1987, p 631638 62. B. Scholtes, Structural and Residual Stress
266274 47. J.E. Hoffmann, D. Loehe, and E. Macher- Analysis by Nondestructive Methods: Eval-
33. H. Mughrabi, Fatigue Behavior of Metallic auch, Residual Stresses in Science and uation, Application, Assessment, V. Hauk,
Materials, D. Munz, Ed., DGM-Informa- Technology, Proc. ICRS 1, E. Macherauch Ed., Elsevier Science B.V., Amsterdam,
tionsgesellschaft Verlag, Oberursel, 1985, p and V. Hauck, Ed., Vol 1, DGM Verlag, Ob- 1997
738, in German erursel, Germany, 1987, p 801808 63. W. Backfisch and E. Macherauch, Arch. Ei-
34. J.D. Almer, J.B. Cohen, and B. Moran, Ma- 48. J.E. Hoffmann, D. Eifler, and E. Macher- senhuttenwes., Vol 50, 1979, p 167171
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35. H. Berns and L. Weber, Residual Stresses surement, Assessment, E. Macherauch and of Strength, A. Kroener Verlag, Stuttgart,
in Science and Technology, E. Macherauch V. Hauck, Ed., Vol 2, DGM Verlag, Ober- 1969, in German
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sellschaft Verlag, Oberursel, 1987, p 751 man Vol 21, 1990, p 378389
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36. H. Berns and L. Weber, Shot Peening, ICSP Karlsruhe (TH), 1984 bility, H. Nowack, Ed., Deutscher Verband
3, H. Wohlfahrt, R. Kopp, and O. Voehrin- 50. B. Syren, H. Wohlfahrt, and E. Macherauch, fur Materialforschung und-pruefung e.V.,
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Verlag, Oberursel, 1987, p 647654 735739 67. J. E. Hoffmann and D. Loehe: to be pub-
37. R. Herzog, Dr.-Ing. Thesis, University 51. B. Syren, H. Wohlfahrt, and E. Macherauch, lished
Braunschweig, 1997 Proc. Second Int. Conf. Mech. Behavior of 68. T. Fett and D. Munz, Stress Intensity Fac-
38. E. Macherauch and H. Wohlfahrt, Fatigue Materials (ICM2) (Boston), 1976, Ameri- tors and Weight Functions, Computational
Behavior of Metallic Materials, D. Munz, can Society for Metals, p 807811 Mechanics Publications, 1997
Stability of Residual Stresses

D. Lohe and O. Vohringer, Institut fur Werkstoffkunde I, Universitat Karlsruhe, Germany
RESIDUAL STRESSES are generated in creep (Ref 1617). If these processes occur to Relaxation of Residual Stresses by
structural components during manufacturing only a limited extent or not at all, relaxation of Annealing
processes such as forging, machining, heat treat- residual stresses is also conceivable by crack for-
ing, shot peening, and many others. These mation and propagation. Relaxation of residual
If a pure metal is annealed for several hours
stresses are always a consequence of inhomo- stresses in the real case occurs by complex in-
at a temperature of
geneously distributed dimensional changes due teraction of a large number of factors. It depends
to inhomogeneous plastic deformations, ther- not only on the residual stress state itself but also Ta 0.5 Tm [K] (Eq 1)
mochemical treatments, and/or phase transfor- on the material state, loading condition, geom-
mations. They can be either beneficial or detri- etry, and environment of the component under where Tm is the melting or solidus temperature,
mental to component behavior in service, consideration. and then cooled slowly to room temperature, al-
depending on the materials state as well as the The best known and most important tech- most total relaxation of the residual stresses aris-
sign, magnitude, and stability of the residual niques for inducing residual stress relaxation are ing from forming, machining, heat treatment, or
stresses, mechanical loading, and environmental annealing (tempering), uniaxial deformation joining operations can be achieved. The neces-
conditions (Ref 115). Compressive macro re- (drawing, stretching), and cyclic deformation sary annealing time depends essentially on the
sidual stresses in the surface region of materials (Ref 1618). Relaxation can also be caused by workpiece dimensions and the material state.
with medium and high hardnesses increase the thermal cycling, quenching, neutron bombard- Since an annealing temperature of 0.5 Tm cor-
fatigue life and the fatigue limit at cyclic loading ment, the effect of alternating magnetic fields (in responds to the recrystallization temperature of
compared to materials states that are free of re- the use of ferromagnetics), vibration, and partial ferritic steels, complete relaxation of macro re-
sidual stresses. This improvement is caused by damage. As discussed in other articles in this sidual stresses can be expected. In the case of
an increased resistance against crack initiation Handbook, residual stresses can be differentiated pearlitic steels, macro residual stresses are com-
and, to a certain extent, against crack propaga- by their technological origins (i.e., whether they pletely eliminated during the pearlite-austenite
tion if the residual stresses are sufficiently stable transformation above the A1 temperature. Micro
were produced during forming, machining, heat
in the areas of highest loading (in most cases, the residual stresses are considerably reduced but
treatment, joining, coating, or casting).
component surface areas). Moreover, compres- not entirely removed, since lattice defects (par-
Before the effect of applied thermal or me-
sive macro residual stresses can increase the re- ticularly dislocations) and, in the case of hetero-
chanical energy on the residual stress state can
sistance of certain materials against corrosion fa- geneous materials, the different expansion co-
be assessed, the latter must be determined quan-
tigue and stress corrosion cracking. They can efficients of the various phases are always
titatively. In the case of mechanical methods, the
also improve the wear resistance. Therefore, in responsible for some micro residual stresses. Re-
many cases compressive macro residual stresses necessarily large number of measurements in-
volve considerable expenditure of both time and sidual stress relaxation by annealing is brought
are intentionally generated in near-surface re- about by so-called thermally activated processes
gions by controlled heat treatments or by post- money. Most investigations have thus employed
x-ray methodsfor example, the sin2w method for which the annealing temperature and the an-
treatments such as shot peening or deep rolling. nealing time are interchangeable within certain
The stability or relaxation behavior of these (Ref 19) with CrK radiation on the {211}-in-
limits. In order to achieve comparable residual
residual stresses at purely thermal or mechanical terference plane of the ferrite, as well as
stress relaxation at a lower annealing tempera-
loadings as well as superimposed thermal and interference-profile analyses (e.g., Ref 20, 21).
ture, the annealing time must be increased cor-
mechanical loadings is thus of decisive impor- In this article, current knowledge about resid- respondingly (Ref 16, 17).
tance for the service behavior of components and ual stress relaxation of steels is presented in a Thermal residual stress relaxation is funda-
hence of great interest from a scientific as well condensed and, as far as possible, systematic mentally affected by the residual stress state it-
as a practical point of view (Ref 1618). If re- form. The abundance of available experimental self and by the material state. This is convinc-
sidual stresses are relaxed by annealing or me- data nevertheless necessitates a limited scope. ingly demonstrated by the findings presented in
chanical treatment, they naturally have little if Thus, the findings of residual stress relaxation Fig. l and 2 (Ref 16, 17), which show the effect
any influence on subsequent component failure. by annealing, tensile loading, compressive load- of 1 h anneals on surface macro residual stresses
Residual stresses can be reduced or coming, and cyclic loading will be taken as examples of a variety of origins in a variety of steels in-
pletely relaxed by the application of mechanical to demonstrate universally valid rules. Shot vestigated using x-ray methods. Figure 1 is a bar
and/or thermal energy. The elastic residual peening residual stresses are particularly suitable chart showing the macro residual stresses present
strains, ee, that are associated with the residual for such investigations due to their sign and their in the original state and after the normal indus-
stresses via Hookes law can be converted into relatively large absolute value. Possible formulas trial stress relieving for hardened components of
micro plastic strains, ep, by suitable deformation that can be used to quantify residual stress relax- 1 h at 200 C (390 F). The materials deformed
processes. For example, this transformation can ation are discussed, and the underlying micro- in tension have undergone negligible residual
be achieved by dislocation slip, dislocation structural as well as micromechanical mecha- stress relaxation. The greater the original com-
creep, grain-boundary sliding, and/or diffusion nisms are considered. pressive residual stresses, the greater the residual
stress relaxation produced by annealing of hardening micro residual stresses are relaxed at and thus, from the hardness of the material (Ref
surface-machined specimens: 11% for a plain lower temperatures, such as those produced by 25). The macro residual stresses (left-hand side
carbon steel with 0.45 wt% Carbon, SAE 1045 machining; likewise, machining micro residual of Fig. 3) and the micro residual stresses (right-
(Fig. 1C); 17% for SAE 1045 (Fig. 1D); and stresses are relaxed at lower temperatures, such hand side; characterized by the half-width ratio
19% for the rolling bearing steel AISI 52100 as those produced by deformation in tension. In DHW/DHW0), yield with the hardness increasing
(Fig. 1E). The most pronounced relative residual comparable steel states, micro residual stresses from the normalized to the quenched and tem-
stress relaxation, however, is observed in the are relaxed only after a longer period or at a pered and to the hardened condition, greater re-
hardened materials: 25% for plain carbon steel higher temperature than macro residual stresses laxation rates. Figure 3 also illustrates the delay
with 0.22 wt% C, SAE 1023 (Fig. 1F); and 37% (Ref 16, 17). For example, in order to achieve of the relaxation of the micro residual stresses,
for SAE 1045 (Fig. 1G). 50% micro residual stress relaxation in tensile- which was mentioned above in comparison with
Figure 2 shows the relative residual stresses deformed SAE 1045 annealed for 1 h, the an- the macro residual stresses. Further experimental
rrs(Ta)/rrs(293 K) for the same steels as a func- nealing temperature must be 100 C (180 F) investigations of the macro and micro residual
tion of the homologous annealing temperature, higher than that needed to achieve the same destress relaxation of metallic materialstemper-
Ta /Tm. It can be seen that a 1 h anneal at 0.5 Tm gree of macro residual stress relaxation. ing steel AISI 4140 (Ref 2628), titanium alloy
(about 600 C, or 1110 F) results in complete Data pertaining to the thermal relaxation of Ti-6Al-4V (Ref 29), and several CuZn alloys and
relaxation of the macro residual stresses in every micro residual stresses for hardened steels are AlMg alloys (Ref 30, 31)lead to similar re-
case. Characteristic, material-specific stress- available by analyzing x-ray interference lines of sults.
temperature curves are obtained. Clearly, resid- different steels in (Ref 2224). The mean lattice Materials with surface residual stresses pro-
ual stresses produced by hardening are relaxed distortions e21 / 2, which are proportional to the duced by grinding, milling, deep rolling, or shot
at lower temperatures, machining residual micro residual stresses according to peening frequently show different residual stress
stresses at medium temperatures, and deforma- relaxation behavior when comparing the surface
micro E110 e
rrs 2 1/2
tion residual stresses at higher temperatures. In (Eq 2) layer with subsurface areas. In most cases, this
order to achieve the same degree of residual behavior is connected with work-hardening gra-
stress relaxation, (e.g., 50%) in 1 h in hardened E110 is the Youngs modulus of iron in the 110 dients, where an increasing work hardening due
and in deformed SAE 1045, a temperature dif- direction, increase with growing carbon content to increasing dislocation densities causes grow-
ference of 150 C (270 F) is necessary. Fur- mainly due to the increasing dislocation density ing mean strains and greater half-width values.
thermore, according to Fig. 1, larger initial re- and, secondarily, to the increasing number of Characteristic examples of depth distributions
sidual stresses result in a shift of the rrs versus solute carbon atoms in octahedral sites of the of the macro residual stresses and the half-width
T curve to lower annealing temperatures in the tetragonal martensite lattice. Usually, it can be values in SAE 1045, which were produced after
case of hardened or machined materials. assumed that with increasing carbon content the different heat treatments and electrolytical re-
Micro residual stresses and their relaxation be- temperature for the onset of residual stress relax- moval of thin material layers, are shown Fig. 4
havior can be determined directly from the half- ation is lowered and the recovery rate increases. and 5 (Ref 25). Normalized SAE 1045 samples
width values (HW) of the x-ray interference However, it must be remembered that with the in the ground, milled, or shot-peened condition
lines, which are a measure of the microstructural annealing-induced formation of carbides on dis- result in typical depth distributions that depend
work-hardening state as well as the dislocation locations, which leads to their pinning, the re- on the heat treatment (Fig. 4). In this case, the
density. The change of the HW values are ap- laxation procedure slows. relaxation behavior of the macro residual
proximately proportional to the changes of the The relaxation behavior of residual stresses stresses (left-hand side), and of the half-widths
micro residual stresses (DHW Drrs micro). depends for a similar surface treatment, as for (right-hand side), is more pronounced at the sur-
Again, the micro residual stresses in steels are example by shot peening, as shown in Fig. 3 for face than in deeper layers. After selected an-
more effectively relaxed at a higher temperature the plain carbon steel SAE 1045 with 0.45 wt% nealing treatments, this behavior holds to com-
and, like macro residual stresses (see Fig. 2), C, from the heat treatment before shot peening pletely relaxed shot peening residual stresses in
the near-surface layers in contrast to the interior,
where remaining residual stresses exist (see Fig.
4, bottom row, left, after annealing 30 min at 550
400 Ck45 C, or 1020 F).
Ck22 G The relaxation behavior of normalized SAE
F 1045 in the shot-peened condition is reproduced
Ck45 Ck22 Ck45 Ck45 100Cr6
A B C D E
0
Ta, C
Hardened 0 100 200 300 400 500 600
1.0
Normalized
rs, MPa
+5% deformed ta = 1 h
rs(Ta)/rs(293 K)
400 0.8
in tension C
Normalized B
0.6
+ ground A
E
0.4
800 F D
G
0.2
Untempered Hardened + 0
shot peened 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.50
200 C/1 h tempered
1200 Ta/Tm, K
Fig. 2 Macro residual stress ratio versus homologous

Fig. 1 Macro residual stress (rrs) of different steels before and after annealing for 1 h at 200 C (390 F). Ck 45 SAE annealing temperature of different steels (see
1045; Ck 22 SAE 1023; 100 Cr 6 AISI 52100 Fig. 1) after annealing for 1 h
Measurement of Residual Stresses / 103
was then measured at each core depth until the removing thin slices parallel to the original sur- from the surface of the plate and measuring the
core was milled completely through the plate. face and from the bisected block as shown in the strains existing at each layer. The process as-
The cored plug was then assumed to be com- upper part of Fig. 4. sumed that the stress perpendicular to the surface
pletely free of residual stress. The measured dis- The change in strain of the blocks is measured was zero. It should be noted that in order for this
tances were then used to reconstruct the original using shallow holes or dimples in the original procedure to be valid, the areas measured by
biaxial stress condition of the plug at each cored surfaces of the component. These gage points are XRD would have to be free of plastic deforma-
depth. The mechanical measuring gage used in located along the long axis of the block on the tion caused by layer removal (see Sectioning
this technique was similar to that used in Gun- original faces of the plate (see Fig. 4). The dis- and Material-Removal Methods).
nerts first technique (Ref 31). tance between these gage marks is measured be- Triaxial Conditions. In reality, in most com-
Another approach to measuring residual fore and after removal of the blocks from the ponents in which residual stresses have been in-
stresses that has a broader application with re- plate and after each sectioning of the block (Ref duced, usually due to manufacturing processes,
spect to the shape of the component and the 33). the stress field is triaxial and varies from point
stress-field distribution was proposed by Rosen- This procedure assumes a constant biaxial to point (element to element) in all three direc-
thal and Norton (Ref 33). It is applicable to stress field over the length of the blocks, which tions. Thus, a number of destructive procedures
plates and plate-shaped weldments. is not the case in welded plates in the direction and stress-field condition assumptions have been
applied in order to measure the three-dimen-
The procedure involved cutting two narrow transverse to the weld. The far side of the block
sional residual-stress-field condition existing in
blocks having the full thickness of the plate, each in Fig. 4 shows a sectioning procedure that
most components of practical engineering inter-
with its long axis parallel to one of the assumed would reveal the stresses parallel to the weld
est. Two of these are described in this section.
biaxial principal, residual-stress directions in the along a gradient transverse to the weld. The far
Chen (Ref 34) revised Rosenthal and Nortons
surface of the plate (see the near side of Fig. 4). side of the block in Fig. 4 shows a sectioning approach to deriving the triaxial residual-stress
Thus, the long axes of the blocks are perpendic- procedure that would reveal the stresses parallel condition (Ref 33) as follows. The typical
ular to each other and parallel to the face, the to the weld along a gradient transverse to the method of residual-stress measurement is by me-
largest area surface of the plate. The smallest weld. Also, electrical-resistance strain gages chanically removing part of a body and measur-
dimension of the block should be several times could be used instead of measuring the distance ing the change of stress in the rest of the body.
smaller than the plate thickness and its largest between shallow holes or dimples. The method of Rosenthal and Norton instead
dimension at least twice the thickness. The block Another approach to a constant biaxial stress deals only with a small element that has been cut
then can be further sectioned in order to deter- field in a flat plate, varying only through thick- free from a plate. The sectioning procedure con-
mine the biaxial stress variation through the ness, was described by Moore and Evans (Ref sists of removal of a narrow block from a plate
thickness of the component. This proceeds by 2). They relied on XRD for the measurement of with gages attached, followed by splitting the
first cutting the block at the location representing the strains from which the stress was calculated, block in half with gages attached on the top and
the midthickness of the component plate, then and the procedure consisted of removing layers bottom surface of the block, and then successive
slicing of both halves from the midsection to the
outer surface, as shown in Fig. 4.
When the half-block is sliced to a thickness of
0 0.1 in., gages are removed and stresses are mea-
sured (at least two points) on the surface by
40 10 20 20 20 50 XRD. The basic assumptions are:
Partial stress relief occurs in the direction of
the long axis of the block and a total stress
relief occurs in the direction transverse to the
long axis.
90 The small amount of stress relaxed in the re-
Initial
sectioning
mainder of the block follows a linear law
through the thickness when a thin slice of
270 metal is removed.
Variation of transverse stress along the axis
Weld of the weld is small in the middle portion of
the plate weldment.
45
10 Saw cut
10 Fine cutter 180
(i.e., green abrasive saw 0.5 mm thick) Gage
5 Further
5
sectioning
10 Weld
Final
sectioning 10
10
10 Rosette gage
Fig. 4 Welded steel plate, the near side of which shows

Fig. 3 Residual-stress measurement of a girth-welded pipe by strain gaging and sectioning. Note that strain gages the two narrow blocks suggested in Rosenthal
shown in the final sectioning should be placed on the pipe prior to initial sectioning; and for a more complete and Nortons procedure (Ref 33). The far side shows several
analysis several of the layer sections detailed in the final sectioning step should be strain gaged and sectioned. Dimensions blocks sectioned to reveal the stresses parallel to the weld
given in mm with a gradient transverse to the weld.
yields DH 3.3 eV, m 0.122, and B 1.22 rrs(Ta, ta)/rrs0 in Eq 4. The new algorithm was AISI 4140 in normalized as well as quenched
1021 min 1 for the surface values of the macro used to determine the material parameters DH and tempered states.
residual stresses. The curves in Fig. 8(a) were 2.64 eV, m 0.096, and B 5.32 1012 In order to obtain some information about the
calculated using these constants in Eq 4 and 5. min1, which allow description of the measured relaxation behavior of macro residual stresses in
They describe the time and temperature depen- values as shown in Fig. 8(c). subsurface layers, the values of the residual
dence of the relaxation process very well. Comparison of these relaxation data in Ref 26 stresses after the annealing processes of AISI
The alterations of surface half-widths by an- and 27 shows that the relaxation of macro resid- 4140 mentioned above were measured for dif-
nealing at temperatures between 250 and 450 C ual stresses at the surface of the shot-peened state ferent distances from the surface (Ref 26, 27).
(480 and 840 F) for different annealing times is a bit faster than the relaxation of half-widths The evaluated parameters of the Avrami ap-
are shown in Fig. 8(b) for the same steel. The and mean strains; this corresponds with the fact proach vary only at the surface itself from those
reductions of the HW values are similar to the that the constant B differs by nearly nine orders values measured below the surface. There, the
relaxation of the macro residual stresses pre- of magnitude (see Table 1). The reason for the evaluated data show no significant tendency and
sented in Fig. 8(a). Again, the Avrami approach differences in the relaxation rate is that for the amount to the mean values DH 2.99 eV, m
is used to describe the relaxation of half-widths, relaxation of macro residual stresses, dislocation 0.172, and B 6.09 1017 min1. As
applying the new iterative method to the differ- movement is sufficient. For a distinct relaxation shown in Fig. 9, the dependence of the macro
ences between the half-widths after annealing of micro residual stresses, however, additional residual stresses after different annealing times
and the value HW 1.65 of a normalized spec- dislocation annihilation is necessary. The expo- at 450 C (840 F) on the distance from surface
imen related to their starting values instead of nents m show no significant alterations, and the can be described quantitatively using the surface
the ratio rrs(Ta,ta)/rrs
0 in Eq 4. The curves in Fig. activation enthalpies approach the values of the material properties and the mean values for all
8(b) were calculated by means of the material activation enthalpy of self-diffusion of iron: DHS subsurface layers. The agreement between mea-
properties DH 2.48 eV, m 0.116, and B 2.8 eV. Additional data for the same steel in sured values and modeled curves is very good.
1.09 1013 min 1 and agree well with the mea- a normalized and another quenched and tem- During heating to sufficiently high annealing
sured values. The dependence of the relaxation pered state in Table 1 (with exception of the temperatures, a distinct relaxation of macro re-
of mean strains e21 / 2 and micro residual hardened state) confirm this statement (Ref 28). sidual stresses occurs. An attempt was made to
stresses rrs
micro, respectively, on the annealing Accordingly, volume diffusion-controlled dis- model this behavior by extending the Avrami ap-
time was measured in the temperature range be- location creep in the residual stress field that is proach to nonisothermal stress relaxation (Ref
tween 250 and 450 C (480 and 840 F). The dominated by climbing of edge dislocations 27). The transient relaxation of the macro resid-
data can also be modeled by the Avrami ap- should be the rate-controlling process for the re- ual stresses was calculated for specimens that
proach using e2(Ta, ta)1/2/e201/2 instead of laxation of the shot peening residual stresses of were immersed up to 90 s in a salt bath at 450
C (840 F). The temperature at the specimen
surfaces developed according to the T(t) curve
shown in Fig. 10. For calculation of the relaxa-
tion of residual stresses, the real T(t) relationship
3.0 was partitioned into a staircase curve with small
400 Ground
equidistant steps and isothermal sections. Cal-
350 C/22 min culation of the relaxation was determined by a
2.5 numerical integration after the so-called stress-
200 transient method (Ref 27) under the application
of the Avrami quantities DH, m, and B (Table 1)
2.0
which are valid for the surface state. The mag-
nitudes of the macro residual stresses measured
0 after interruption of the heating and cooling
0 down to room temperature are marked with tri-
Milled angles. It becomes evident that the stress-
2.4
350 C/22 min
transient method describes the measured values
rs, MPa
HW, 2
100 in an excellent manner. Figure 10 also shows the

2.2 isothermally calculated relationship between
heating time and absolute values of residual
2.0 stresses. While there are distinct differences dur-
200
ing the first stage of heating time of approxi-
mately 20 s, the curves calculated isothermally
0 0.1 0.2 0 0.1 0.2 and by the stress-transient method closely ap-
proach at long annealing times.
0 A similar discussion of thermally activated
Shot peened
3.0
processes was carried out for other steels (Ref
400 C/30 min 16, 17, 28, 30, 31) and for AlMg alloys and
500 C/30 min CuZn alloys (Ref 30, 31) with surface residual
200
550 C/30 min 2.5
stresses originating from a variety of processes.
In the case of these steels, the activation enthalpy
DH depends on the state of the material and lies
400 2.0 in the range of 1.1 to 2.6 eV. DH is lowest for
relaxation of residual stresses due to hardening
0 0.1 0.2 0.3 0 0.1 0.2 0.3 and highest for those due to deformation in soft
annealed states. That proves unequivocally that
residual stress relaxation in steels can occur by
Macro residual stress and half-width of the x-ray interference line versus distance from surface before and after several processes.
Fig. 4 Characteristic structural changes occur during
annealing of ground, milled, and shot-peened SAE 1045 samples in a normalized state
the deformation, machining, or hardening of case of randomly distributed dislocations or tan- is required in a component without significant
steels. Typically, an increase in the dislocation gles of extremely high density, qt for example, change in yield strength or tensile strength, the
density and a change in the dislocation arrange- in hardened steels where qt 1012 cm2 (Ref annealing temperature and time must be chosen
ment are observed. In the case of hardening, the 23, 24)residual stress relaxation is expected to correspond with the recovery stage and not
concentration of solute interstitial atoms differs to involve dislocation-core diffusion-controlled with recrystallization.
from the equilibrium value, and this, together climb by edge dislocations. Predominantly vol-
with the presence of dislocations, has a decisive ume diffusion will determine recovery if the dis- Resistance to Residual Stress Relaxation
influence on the residual stress fields. If a single location configurations are relatively stable and
heat treatment is carried out in the temperature consist of plane arrangements, cell walls, or sub- Residual stress relaxation by heat treatment is
range corresponding to recovery (T 0.5 Tm), grain or low-angle grain boundaries. This recov- fundamentally impossible if in a predominantly
the dislocations adopt arrangements of lower en- ery process probably occurred in the investigated uniaxial residual stress state rrs is smaller than
ergy by elementary processes such as glide and shot-peened quenched and tempered steels and the creep yield strength. This resistance for the
cross slip by screw dislocations and glide and normalized steels as well as nonferrous alloys. onset of plastic creep deformation, designated in
climb by edge dislocations. In the case of hard- In view of the activation energies, the residual the following by Rce, is characterized by the
ened material, diffusion of carbon atoms depen- stress relaxation in the hardened steels can prob- creep strain limit at vanishingly small plastic de-
dent on the annealing temperature and accom- ably be classified between these two extremes formation. As shown schematically in Fig. 11,
panied by the formation of characteristic and occurred by two recovery mechanisms in Rce decreases with increasing temperature and
carbides is superimposed on these processes. competition with each other. load time. In contrast to relevant times regarding
The rate-determining process, with the exception Up to now, discussion has centered on resid- the creep condition of a high-temperature com-
of the early stages in the annealing of hardened ual stress relaxation at temperatures Ta 0.5 ponent at service, only very short times are nec-
steels (Ref 36), is clearly the thermally activated Tm that is, those temperatures brought about essary for residual stress relaxation by creep pro-
climb of edge dislocations (Ref 17). If diffusion by typical recovery processes. In this case, me- cesses (dislocation creep, grain-boundary glide,
of matrix atoms occurs along the edge disloca- chanical parameters such as hardness and yield or diffusion creep). With increasing T and/or t,
tions to the dislocation core, the activation en- strength are not significantly altered. During a Rce approaches a localized residual stress peak
thalpy should be DH 0.5 DHS, where DHS is recrystallization anneal at Ta 0.5 Tm, the dis- of magnitude rrs. For T Tti, rrs equals Rce
the activation enthalpy of self-diffusion. If vol- location density rapidly takes very small values associated with the localized onset of creep de-
ume diffusion predominates, the DH value for as a result of the growth of new grains. This leads formation. Further increases in temperature or
time result in an increasing and measurable mi-
climb is determined by DHS. In the real case, to complete removal of macro residual stresses
croplastic creep strain. As illustrated in Fig. 11,
both processes occur simultaneously but to dif- and to small micro residual stresses, but is as-
residual stress relaxation begins at higher tem-
ferent degrees. The dislocation density and ar- sociated with pronounced changes in mechanical
peratures (Ti) the smaller the load time (ti) or the
rangement are of considerable importance. In the properties. If extensive residual stress reduction residual stress (rrs) and the greater the creep re-
sistance (Rce) of the material. Changes in Rce can
be achieved by deliberate alterations in the state
0
Shot peened
400 C/30 min
400 3
500 C/30 min
550 C/30 min
800 Ta,4
Normalized 2
Normalized Ta,3
log ln (0/rs)
Ta,2
0
rs
6 Ta,1
Shot peened
rs, MPa
400 300 C/60 min

HW, 2
5 m
Ta,1 < Ta,2 < Ta,3 < Ta,4

Quenched and tempered 4
800 log ta
Quenched and tempered 3
0
6
400 5
log ta
4 Ha/ln10
Shot peened
800
Hardened Hardened 300 C/60 min 3
0 0.2 0.4 0 0.2 0.4

Distance from surface, mm 1/kTa
Fig. 5 Macro residual stress and half-width versus distance from surface before and after annealing of shot-peened Fig. 6 Schematic of conventional determination of
SAE 1045 samples in normalized, quenched and tempered, and hardened states Avrami approach parameters
N
condition can be filled and the measurement can 2x vx
be fit using an approximate method, such as the rxy
x2

n1
exy
y
(Eq 52)
least-squares method. If this can be performed
Cnx[(nb sinh ny ny cosh ny) one obtains:
sufficiently accurately, these trial solutions are
close to the exact solution, since it has been (1 nb coth nb)ny sinh ny]cos nx (Eq 48)
v(1 v)

y2
shown that the solution is uniquely determined vx(x, y) Cx C0xy
by the stated boundary conditions. 2x
N E 2
sxxy Cnx 1v
N

2
For the loading case Tx(x): xy n1

E
Cnx nby sinh ny 2b
[2nby sinh ny (1 nb coth nb) n1
N
y3 y2 Cnx v
x(x, y) Cx
6
C0x
2

n1 n
2
(sinh ny ny cosh ny)]sinh nx (Eq 49) cosh ny
1v
nby sinh ny
Since plane strain has been assumed xz can be

[nb(sinh ny ny cosh ny)
(1 nb coth nb)ny sinh ny]cos n (Eq 46)
calculated from: (1 nb coth n y cosh ny
1 v
xz m(rx ry) (Eq 50) sinh ny
n 1v
is valid where n np/a and 2a and 2b are the
cos x
width and thickness of the plate after removing where m is the Poissons ratio. Further, the strain 1
exy can be obtained from: sinh ny y cosh ny n (Eq 53)
material. n
Equation 39 gives:
1 m2

m A similar treatment is used for the loading case
exy ry rx (Eq 51) r
T (x). In that case, the solution is given by:
E 1 m
N
2x
rxx
y2
Cxy C0x Cnx[(nb(coth
n1 where E is the elastic modulus. y(x, y) Cy
y3
C0y
y2

N
Cny
Since the condition for compatibility is satis- 6 2 n1 n2
bb 1)(2 cosh ny ny sinh ny) nb
fied, the displacement in the y-direction is [(1 nb coth nb)(sinh ny ny
(sin hny ny cosh ny)]coshnx uniquely determined, excepting rigid body dis-
(Eq 47) placements, from the relationship: cosh ny) 2n by sinh ny]cos nx (Eq 54)
from which are obtained:

N
2y
y yx
y2
Cy C0y
n1
Cny[2nb cosh ny 2n by sinh ny

(1 nb coth nb) (sinh ny
Removed layer
ny cosh ny)]cos nx (Eq 55)
N
2y
x
yy
x2

n1
Cny
x(x)
Ty (x) T (x ) [(1 nb coth nb)(sinh ny ny
y cosh ny) 2nby sinh ny]cos nx (Eq 56)
Internal forces Tx(x)
2 y N
syxy
xy

n1
Cny[nb sinh ny n2by cosh ny)

(1 nb coth nb) ny
x
x(x) sinh ny]sin nx (Eq 57)
Finally, the displacement is given by:

x(x)corr
v(1 v)

y2
y vy(x, y) Ey C0yy
E 2
N
1 v

2

E n1
Cny b sinh ny
v
nby cosh ny
1 v
x
(x) (b sinh ny nby cosh ny)
x(x)
x(x)
(1 coth nb) y sinh ny
2 v
cosh ny
Fig. 6 Residual-stress distributions, forces, and distortion of a plate before and after layer removal. Top: residual-stress n 1 v
distribution in the x-direction in the center of the plate in the x-z plane; center: same as top after removal of a
layer with the forces Ti(j) caused by the residual stresses tending to distort the plate; bottom: same as center with the
distortion displacement shown (Ref 25) y sinh ny cos nx (Eq 58)
cannot, however, be compared directly to a creep nation of the two expressions that increasing re- Residual Stress Relaxation by
test. It is much more like a stress relaxation ex- sidual stress values lead to a more effective re- Uniaxial Deformation
periment. In the latter case, the total strain residual stress relaxation. As a result of the greater
mains constant while elastic strain is converted driving force, shorter times and/or lower tem-
into plastic strain. With a homogeneous stress peratures are necessary. This is in agreement In certain cases in practice, uniaxial defor-
distribution over the cross section of a specimen, with the experimental results presented. mation is often employed in addition to stress-
the following expression would be valid: The influence of the magnitude of the residual free annealing to relieve residual stresses. In the
stresses can also be illustrated by describing the case of forming, for example, the residual
r residual stress relaxation with the Norton ap- stresses can be reduced by a second forming
et constant ep ee ep (Eq 11) proach, which is known from high-temperature stage using a smaller reduction in the cross-
E
creep. The total strain rate as the sum of elastic sectional area. This can be achieved by redraw-
and plastic strain rate must vanish according to ing, restretching, rerolling, repressing, and
However, macro residual stresses are inhomo- straightening (Ref 16, 17). However, these tech-
geneously distributed over the cross section, and niques can be used only on simply shaped com-
e t e p e e 0 (Eq 13)
for the residual stress relaxation in a localized ponents with a uniform cross section. In the case
area the following relationship holds true: of welded seams, a uniaxial load is applied to
Thus, the Norton law and Eq 13
reduce or redistribute macro residual stresses.
rrs
0
rs
r When a critica1 value of the applied loading
constant ep r rs
E E e p C*(T) (rrs)n e e (Eq 14) stress is exceeded, directed dislocation move-
E ment converts the elastic strain associated with
0 r )
(rrs rs
ep (Eq 12) the macro residual stress into micro plastic
E
give a proportionality between the elastic and strain.
plastic strain rates, and between the residual re- Several typical examples will serve to illus-
Regarding real values of the residua1 stresses, laxation rate and the actual residual stress to the trate the relaxation of residua1 stresses due to
plastic strains of several tenths of a percent max- power of the Norton exponent n, respectively. joining and shot peening by uniaxial deforma-
imum are produced by complete residual stress The experimental data shown in Fig. 12 reveal tion. In an evaluation of the effect on the strength
relaxation (rrs 0); that is, the deformation is strain rates that present a strong dependency on of macro residual stresses set up during welding,
in the microcreep range. temperature and residual stress values (Ref 26). it is important to know the stability of these
Equations 10 and 11 form the basis for quan- Furthermore, the data reveal strain rates that are stresses on loading the weld. Figure 13 illustrates
titative estimates of the residual stress relaxation. typical for creep processes. This finding supports the considerable reduction in macro residual
Multiaxial and inhomogeneous residual stress the conclusion drawn above that diffusion- stresses accompanying tensile loading of joints
states are neglected or excluded. Although Eq 10 controlled dislocation creep in the residual stress
cannot be substituted directly in Eq 11 on ac- field should be the rate-controlling process for
count of the variable value of the stress (r the relaxation of residual stresses in steels.
rrs), it can be seen qualitatively from a combi-
Creep yield strength, Rce
650
200 rs+ ls
t1, 1
T( t ) 500

0 550 t2, 2
Tsalt = 450 C 400
ta = 6000 min rs
Ta = 450 C
rs, MPa
T, C
rs, MPa
200 450 Surface data 300 t2 >> t1

60 min
2 1
>>
400 200
Measured Transient relaxation 0 T 1 T2 T1
Calculated 350
6 min 100 Temperature, T
600
Isothermal relaxation
0 min 250 Fig. 11 Creep yield strength versus temperature at dif-
800 0 20 40 60 80 100 ferent creep times and strain rates
0 0.1 0.2 0.3 0.4 t, s
Fig. 10 Absolute values of macro residual stress after
Fig. 9 Measured and calculated macro residual stress short-time immersion in a salt bath at 450 C 105
at Ta 450 C (840 F) and different annealing (840 F) versus time. Comparison is made with curves cal-
times versus distance from the surface of shot-peened AISI culated with the stress-transient method using the occurring 106
4140 in a quenched and tempered condition (450 C, or T(t) dependence and with modeling for isothermal anneal-
Strain rate p, s1
840 F, for 2 h) ing. 107

T = 450 C
108
Table 1 Material properties DH, m, and B of the Avrami approach determined for different 109 400 C
heat treatment conditions of the shot-peened steel AISI 4140
350 C
1010
Heat treatment Measuring property DH, eV m B, min1 300 C 250 C
Normalized Macro residual stress 3.30 0.080 1.40 1018 1011
60 100 200 400 600 1000
Quenched and tempered rs, MPa
650 C (1200 F) Macro residual stress 3.38 0.080 1.90 1021
450 C (840 F) Macro residual stress 3.29 0.122 1.22 1021 Plastic strain rate versus mean residual stress of
Half-width 2.48 0.116 1.09 1013 Fig. 12
shot-peened AISI 4140 in a quenched and tem-
Mean strain (micro rs) 2.64 0.096 5.32 1012 pered condition (450 C, or 840 F, for 2 h). Determined
Hardened Macro residual stress 2.33 0.110 1.20 1016 from the data of Fig. 8(a)
produced by electron beam welding and tungsten ual stresses directly after the onset of relaxation rrs at the surface of quenched and tempered AISI
inert gas (TIG) welding in a maraging steel (Ref occurs much more rapidly during tension than 4140 for different testing temperatures (Ref 40).
37). In the electron beam welded specimen, it during compression. After a total strain et The rrs versus rls course at 25 C (75 F) is the
begins at about 70% of the yield strength Re of 1% (rls 1250 MPa, or 180 ksi), the same as in Fig. 14. At higher temperatures (250
the unannealed weld. Residual stress relaxation surface residual stresses rrs are completely re- and 400 C, or 480 and 750 F), the initial macro
is not complete. In the case of the TIG weld, moved (see Fig. 15a). If et 1%, the sign of residual stresses are reduced by heating and
noticeable residual stress relaxation first occurs rrs changes. In the case of tensile loading, the waiting for temperature compensation due to
above Re. By the time the tensile strength Rm is residual stress relaxation, however, is incom- thermal residual stress relaxation. The values of
reached, residual stress relaxation is virtually plete. Thus, the relaxation behavior is different the critical loading stresses for the onset of re-
complete. and anisotropic during tensile and compressive sidual stress relaxation during tension and com-
Shot peening residual stress states under ten- loading. Combined with the relaxation of macro pression as well as the relaxation rate decrease
sile or compressive loading are unstable, and re- residual stresses, only a relatively small decrease clearly with increasing temperature.
laxation occurs when critical loading stresses are of the half-width values, which are a measure of The relaxation of macro residual stresses by
exceeded. Corresponding results of surface re- the micro residual stresses, is observed at the sur- uniaxial deformation begins at relatively small
sidual stresses of the quenched and tempered face. Figure 15(b) illustrates this behavior as a loads or plastic strains. It may be complete or
steel AISI 4140 are presented in Fig. 14 as a function of total strain. partial, both the degree and rate of residual stress
function of loading stress and in Fig. 15(a) as a The effect of different strengths on the relax- relaxation depending on the type and state of the
function of total deformation (Ref 38). At tensile ation behavior of shot peening residual stresses material as well as on the nature of the applied
loading, relaxation of the peening-induced com- at the surface of AISI 4140 due to uniaxial de- load.
pressive residual stresses in the surface of 540 formation is illustrated in Fig. 16. Results of Fig.
MPa (80 ksi) sets in at 95% of the yield 14 for specimens quenched and tempered at 450 Resistance to Residual Stress Relaxation
strength of the unpeened material (Re(t) Rp0.01(t) C (840 F) are compared with results for nor-
1180 MPa, or 170 ksi). In compression, re- malized specimens and for specimens quenched The deformation behavior and relaxation of
laxation starts at 45% of the yield strength of the and tempered at 650 C (1200 F) (Ref 39). The macro residual stresses in materials can be
unpeened material (Re(c) Rp0.01(c) 1300 MPa, courses of rrs versus rls are similar. However, roughly approximated in terms of a cylindrical
or 190 ksi). In the quenched and tempered con- the absolute values of the critical loading stresses rod with longitudinal residual stressesnamely,
dition of this material exists a typical strength- for the onset of residual stress relaxation in ten- constant compressive residual stresses (rrs s ) at
differential effect of Re(c) Re(t) 120 MPa (20 sion |rlscrit(t)|, and in compression, |rlscrit(c)|, in- the surface and constant tensile residual stresses
ksi) (Ref 38). The relaxation rate of macro resid- crease with increasing yield strength of this steel (rrsc ) in the core (Fig. 18). The surface is char-
in different heat treatment conditions. acterized by the yield strength Re,s and the core
Figure 17 represents the influence of loading by Re,c. Plastic deformation commences in the
200 stresses rls on the shot peening residual stresses core at the critical tensile loading stress:
Re
b
Rm
rlscrit(t) Re(t),c rrs
c (Eq 15)
0
Plastic deformation under compressive load first
rs, MPa
200
occurs in the surface region due to the superpo-
sition of loading and residual stresses at the criti-
200 a Re Rm 0 cal compressive loading stress:
rs, MPa
200 |rlscrit(c)| |Re(c),s| |rrs

s| (Eq 16)
400
0 400 800 1200
Residual stress relaxation does not occur during
ls, MPa 400 tensile loading for
Fig. 13 Welding residual stress versus tensile loading
stress of a maraging steel. (a) Transverse resid- 600 rls rlscrit(t) Re(t),c rrs
c (Eq 17)
ual stresses in the welding seam center of an electron beam 6 4 2 0 2 4
welded joint. (b) Transverse residual stresses 3 mm (0.12 t, %
in.) from the welding seam center of a TIG welded joint
and during compressive loading for
30
|rls| |rlscrit(c)| |Re(c),s| |rrs
s| (Eq 18)
15
The properties rlscrit(t) and rlscrit(c) thus have the
200
0 meaning of resistances against residual stress re-
laxation by uniaxial deformation.
HW, min
0 The critical compressive loading stress,

15
rs, MPa
rlscrit(c), can be determined experimentally from

200 30 corresponding loading and unloading tests. The
yield strength of the surface, Re(c),s, can be esti-
400 45 mated from Eq 16 with measurements of the sur-
face residual stresses and the knowledge of the
600 60 initial surface residual stress by this relationship:
6 4 2 0 2 4
1600 800 0 800 1600
t, %
ls, MPa |Re(c),s| |rcrit(c)
ls
| |rrs
s| (Eq 19)
Fig. 14 Macro residual stress at the surface versus load- Fig. 15 Influence of total deformation on (a) the macro
ing stress under tension and compression, re- residual stress and (b) the half-width change at
In the case of a multiaxial residual stress state,
spectively, of shot-peened AISI 4140 in a quenched and the surface of shot-peened AISI 4140 in a quenched and modified yield strengths of the surface occur.
tempered condition (450 C, or 840 F, for 2 h) tempered condition (450 C, or 840 F, for 2 h) Consideration of an isotropic biaxial surface re-
sidual stress state that is generated due to vertical presents the ratio HWs /HWc with values between Bauschinger effect dominates, however, the ratio
shot peening results on the basis of the von 1.05 and 1.58. Therefore, in all cases a peening- of the yield strengths is Re(c),s /Re(c) 1.
Mises hypothesis for the onset of residual stress induced microstructural work-hardening effect
relaxation at compressive loading to: appears. The smallest effect occurs at the 450 C Modeling of the Relaxation Behavior
(840 F) quenched and tempered condition. The
req |Re(c),s| other heat-treated states show a considerably A quantitative description of the relaxation
larger microstructural work-hardening effect. behavior of multiaxial macro residual stresses
(rlscrit(c))2 (rrs
s ) rcrit(c) rs
2 ls rs
(Eq 20)
These apparent contradictions become clear with known distribution over the specimen cross
with a more exact consideration of the conditions section under uniaxial deformation is possible
where req is the equivalent loading stress. This of the local deformation of the surface layers with the aid of finite-element modeling (Ref 28,
relationship leads to somewhat smaller yield during shot peening and the subsequent uniaxial 44). Isoparametric rectangular elements with
strengths, as with a uniaxial estimation (Ref 29, compression test. Besides a biaxial plastic plane strain behavior were applied for this pur-
41). The application of Eq 20 for the shot-peened stretch-forming of the surface area with maxi- pose. The corresponding depth courses of the
AISI 4140 in different conditions results in the mum flow stresses and work hardening direct at macro residual stresses as well as the initial parts
Re(c),s values summarized in Table 2. The corre- the surface, the peening-induced deformations of the stress-strain curves under tensile and com-
sponding critical loading stresses for initiation of include additional Hertzian stresses with maxi- pressive loading must be known and must be in-
macro residual stress relaxation rlscrit(c), the yield mum effects below the surface (Ref 42). Now, put with certain assumptions in a discrete form.
strengths of the unpeened conditions Re(c), the at the determination of the surface yield strength Figure 19 shows corresponding results of tests
ratio Re(c),s /Re(c), and the half-widths ratio of sur- Re(c),s under homogeneous compressive loading, at 25 and 400 C (75 and 750 F) for AISI 4140
face and core are also indicated. For the nor- the direct surface layer is deformed exactly in- in a quenched and tempered condition. There is
malized condition the relation verse to the deformation direction during shot a good agreement between experimental results
peening. In this case, the Bauschinger effect re- and finite-element modeling. An important find-
|Re(c),s| |Re(c)| lieves the deformations in the inverse direction ing is that besides the pure mechanical and ther-
and reduces the resistance of the work-hardened mal relaxation of macro residual stresses during
is valid. For the quenched and tempered condi- surface layers due to back stresses and an aniso- heating and waiting for temperature compensa-
tions, however, the yield strengths show with tropic mobility of dislocations. It is known that tion, no additional relaxation effects occur under
the Bauschinger effect appears especially dis-
|Re(c),s| |Re(c)| tinctive in quenched and tempered steels (Ref
43). Therefore, it is not surprising that the shot 200
a reverse behavior. The shot peening treatments peening treatments of quenched and tempered
thus generate in comparison with the core a AISI 4140 lead to values of Re(c),s /Re(c) 1. The 0
T = 25 C
work-hardened surface state in the normalized surface yield strengths are controlled not only by T = 250 C
condition and a work-softened surface state in the peening-induced surface work-hardening, 200 T = 400 C
rs, MPa
the quenched and tempered conditions. The final which is characterized by the half-width ratio
observations seem to be in contradiction with the HWs /HWc, but also by the Bauschinger effect. 400
work-hardening behavior obtained on the basis Obviously, the condition Re(c),s /Re(c) 1 is valid
of the measurements of the half-width values of if the peening-induced work-hardening has a
600
surface and core. The last column in Table 2 stronger effect than the Bauschinger effect. If the
1600 800 0 800 1600
ls, MPa
, Quenched and Fig. 17 Macro residual stress at the surface versus load-
tempered 450 C ing stress under tension and compression, re-
200 spectively, at different deformation temperatures for shot-
, Quenched and
peened AISI 4140 in a quenched and tempered condition
tempered 650 C
, (450 C, or 840 F, for 2 h)
Normalized
0
rs, MPa
Surface Core Surface

200 rs
rs Cross
c
section
area
0
400
srs
600
1600 1200 800 400 0 400 800 1200 1600
ls, MPa
Fig. 16 Macro residual stress at the surface versus loading stress under tension and compression, respectively, of shot- Fig. 18 Simplified distribution of longitudinal macro
peened AISI 4140 in different heat treatment conditions: normalized; quenched and tempered at 450 C (840 residual stress for residual stress relaxation due
F), for 2 h (qt 450); and quenched and tempered at 650 C (1200 F) for 2 h (qt 650) to uniaxial loading
quasi-static uniaxial loading at elevated tem- Residual Stress Relaxation by Cyclic residual stresses on the logarithm of N occurs
peratures. Deformation according to a logarithmic creep law:
rrs A(ra) m(ra) log N (Eq 21)

Behavior of Micro Residual Stresses The fatigue strength of steels can be greatly
influenced by macro and micro residual stresses.
Micro residual stresses behave in a complex Since in certain cases they can be considered as
fashion during the relaxation of macro residual locally variable mean stresses, they can lead to
stresses by uniaxial deformation. So far, only substantia1 increases in fatigue strength (cf. Ref 200
isolated experimental data based on x-ray profile 16, 17). The interaction of macro residual T = 25 C
analysis are available. 0
stresses with the cyclic deformation mechanism
When a material is formed or machined, both
during fatigue in the microcrack-free stage is of
rs, MPa
directed and inhomogeneous micro residual 200
stresses are set up. Those of the first type are the particular importance. Coupled with this is the
result of back stresses due to dislocation pileups stability or the cyclic relaxation of residual
stresses. Residual stress relaxation occurs when 400
at grain or phase boundaries and elastic strained
second phases of heterogeneous materials. If a critical value of the applied loading stress am-
plitude is exceeded and a cyclic directed dislo- 600 Calculated
these dislocations move in the reverse direction Measured
during localized plastic deformation, the back cation movement converts the elastic strain as-
stresses and hence the directed micro residual sociated with the macro residual stress into
micro plastic strain. 200 T = 400 C
stresses are initially reduced. Further deforma-
tion causes renewed buildup of back stresses in Numerous investigators have shown that the
the opposing direction associated with disloca- effect of macro residual stresses decreases with 0
tion multiplication and hardening, which must increasing stress amplitude and growing number
rs, MPa
once again increase the micro residual stresses. of cycles as a result of residua1 stress relaxation 200
Dislocation arrangements in a random distri- (cf. Ref 16, 17). This is illustrated in Fig. 20 for
bution or in tangles or cells give rise to inho- quenched and tempered AISI 4140 in a shot- 400
mogeneous micro residual stresses. Microplastic peened condition that has undergone a push-pull Calculated
Measured
deformation can lead to the rearrangement of fatigue test (Ref 28, 46). Figure 20(a) presents 600
dislocations into arrangements of lower energy cyclic deformation curves with a plot of the plas- 1600 800 0 800 1600
and thus bring about micro residual stress relax- tic strain amplitudes, ea,p, versus the number of ls, MPa
ation. If new dislocations are produced, a re- cycles, N, during stress-controlled cyclic loading
newed buildup of micro residual stresses is su- for different stress amplitudes, ra. Initially, the Fig. 19 Measured and calculated macro residual stress
perimposed on the relaxation process. at the surface versus loading stress under ten-
specimens show macroscopically a quasi-elastic sion and compression, respectively, at different deforma-
A reduction in the micro residual stresses in cyclic deformation behavior at 400, 500, and 600 tion temperatures for shot-peened AISI 4140 in a quenched
hardened steels is observed both on deformation MPa (60, 70, and 90 ksi). At loading with ra and tempered condition (450 C, or 840 F, for 2 h)
and on machining (Ref 16, 17, 32, 45). Two su-
700 MPa (100 ksi), small plastic strain ampli-
perimposed effects can operate here. After hard-
tudes occur from the beginning of the test. After
ening, a very high density of dislocations is pres-
enteither randomly distributed or in tangles. a distinct number of cycles for incubation, which
decreases with increasing stress amplitude, cy- 4
Microplastic deformation brings about a rear- a = 700 MPa
rangement of these dislocations into configura- clic work-softening occurs at all amplitudes.
tions with lower distortion energy and therefore This augmentation of plastic strain amplitude 3
a,p in 103
a reduction in the micro residual stresses. On the continues until specimen failure. The maximum
other hand, solute carbon atoms may be induced plastic strain amplitude observed just before fail- 2
to jump into the energetically more favorable oc- ure increases with increasing stress amplitude.
tahedral sites in the martensite lattice under the The alterations of the shot peening-induced
macro residual stresses at the surface rrs with the 1
influence of the stress field of the moving dis-
locations. This causes a reduction in the tetra- number of cycles are shown in Fig. 20(b). The 600 500
400
gonality and hence the lattice distortion due to residual stress values are strongly reduced in the (a) 0
solute carbon atoms (Ref 45). first cycle. Afterward, a linear dependence of the 0
700
600
200
rs, MPa
500
Table 2 Critical compressive loading stress rlscrit(c), yield strength Re(c) of unpeened condi-
tions, surface yield strength Re(c),s, yield strength ratio Re(c),s /Re(c), and ratio of half-width values
l
HWs /HWc of shot-peened AISI 4140 in different heat treatment conditions 400 a = 400 MPa
Temperature rlscrit(c) Re(c) Re(c),s

Heat treatment C F MPa ksi MPa ksi MPa ksi Re(c),s /Re(c) HWs /HWc
Normalized 25 75 275 40 345 50 480 70 1.39 1.58 600
250 480 300 45 300 45 496 72 1.65 1.33 10 1 102 104 106
400 750 340 49 275 40 516 75 1.87 1.28 (b) Number of cycles, N
Quenched and tempered Plastic strain amplitude and longitudinal macro

650 C (1200 F) 20 70 340 49 805 115 685 100 0.85 1.56 Fig. 20
residual stress versus number of cycles during
450 C (840 F) 25 75 600 85 1300 190 953 138 0.73 1.05 strain-controlled push-pull tests with different stress ampli-
250 480 400 60 950 140 758 110 0.79 1.05 tudes of shot-peened AISI 4140 in a quenched and tem-
400 750 360 52 830 120 606 88 0.73 1.05 pered condition (600 C, or 1110 F, for 2 h)
120 / Measurement and Prediction of Residual Stress and Distortion
equal and unequal principal stresses of the same for at least 1 h. The annealing temperature is coating in various stress states can be determined
sign, whereas Fig. 2(c) corresponds to a biaxial dependent on the substrate material. using Eq 8.
stress state with principal stresses of opposite Fourth, for coatings with an inherently smooth Biaxial Stress. At a free plane, the out-of-
signs. Using Fig. 2(a) as an example, the mea- surface, such as those produced by PVD and plane stress components rz, sxz, and syz are all
sured deflection, d, is equal to the wavelength of CVD, the deflection can be determined either by zero, at a free surface. Because the penetration
monochromatic light multiplied by the number interference fringe or microstylus profilometer depth of x-rays is very small, the resulting mea-
of light fringes (d 632.8 nm 17). measurements on the coated surface. For a coat- surements refer specifically to near-surface ma-
Figure 3 shows typical microstylus traces on ing with a relatively rough surface, such as those terial. Plane stress conditions, therefore, often
the titanium nitride coated surface of an AISI produced by thermal spraying and electroplat- apply to x-ray measurements, and Eq 8 is sim-
304 stainless steel disk, both before and after ing, the measurements can be made on the sur- plified to:
coating deposition. The curvature of the coated face that is opposite the coated surface.
uw (d uw d 0 /d 0 [(1 m )/E ]
ehkl hkl hkl hkl hkl hkl
surface was downward (convex), viewed from Significance and Use. The deflection mea-
the coated side. With the values of Es 193 surement method is recommended for determin-
ru sin2 w (m hkl/E hkl)(rx ry) (Eq 9)
GPa (28 106 psi), ms 0.28, ds 4.74 mm ing the average stress in the cross section of a
(0.186 in.), r 11.94 mm (0.4700 in.), dc 20 coating with a thickness ranging from several
lm (800 lin.), and the deflection Dd 6.3 hundred angstroms to several hundred micro- where ru rx cos2 u ry sin2 u is the ma-
106 m (2.5 104 in.), the stress in the tita- meters. Typically, the elastic constants of a thin crostress in the coating parallel to its surface at
nium nitride coating is 4.44 GPa (0.644 106 coating are much different from those of a bulk an angle u with the principal axis of the sample.
psi) in compression. The measurement errors material. Equation 3 provides a means for stress For a biaxial stress state, rx ry ru, and
from both the optical and the microstylus trace measurement on a thin coating without any at w 0:
setups are within one-half light band and 0.1 knowledge of its elastic constants. The measure-
u,w0 d 0 )/d 0 2m ru/E
(d hkl hkl hkl hkl hkl
lm (4 lin.), respectively. ment normally applies only to a test sample. The (Eq 10)
Practical Considerations. First, either strip disk deflection method is particularly useful for
or disk-shape substrate specimens should be par- the direct inspection of silicon wafers used in From Eq 9 and 10:
allel within 0.02 mm (0.001 in.) over their length solar cells or integrated circuits.
uw d u,w0 rud 0 [(1 m )/E ] sin w
d hkl hkl hkl hkl hkl 2
or diameter. Specimen edges should be free from
visible flaws and chips. In addition, the surfaces (Eq 11)
on which the deflection measurements (interfer- X-Ray Diffraction Method
ometer or profilometer) will be performed should In practice, high-angle diffraction peaks of an
be ground and lapped to a finish better than 0.08 (hkl) reflection are obtained from w to w at
Basic Principles. Stress measurement, using a given angle u. Lorentz polarization, absorp-
lm (3 lin.) Ra. the x-ray diffraction method, is based on the
Second, the dimensions of a strip of length L, tion, and background corrections are applied to
change in the interplanar spacing (strain) close the diffraction peak profile. The peak positions
width w, and substrate thickness ds should obey to the surface of the specimen material. The de-
L 10w 10 ds. The substrate thickness of a tails of the theory and interpretation of residual
are determined by profile fitting or other methods
strip or disk depends on the coating thickness to and are subsequently converted to interplanar
stress measurements are well described in the ar- spacing d hkl
be deposited. The thickness ratio of the substrate uw for stress analysis.
ticle X-Ray Diffraction Residual Stress Tech- In the linear plot of d hkl 2
to the coating, ds /dc, should be greater than 50 uw versus sin w, the
niques in Volume 10 of the ASM Handbook, as intercept is I d hkl , and the slope is M
to ensure the accuracy of the stress calculation well as in Ref 9 to 11. Consider an isotropic
u,w0
0 [(1 m )/E
rud hkl hkl hkl
from Eq 3. ]. The stress of the coating
material with a lattice parameter d hkl0 for un- can then be determined by:
Third, substrate specimens should be stress re- stressed material in the sample plane normal.
lieved before coating deposition. They should be The strain in a direction inclined by an angle y
placed between two stainless steel surface plates ru M/{d 0hkl[(1 m hkl)/E hkl]} (Eq 12)
to the surface normal of the coating and the stress
under at least an 8.8 kPa (1.3 psi) normal load, acting in the surface plane of the coating at an
at an annealing temperature, in a vacuum furnace Triaxial Stress State without Shear Stress. For
angle u with the principal axis of the specimen a material in a three-dimensional (triaxial) stress
are related by: state without shear stress, but with the stress
component rz having a finite value within the x-
uw (d uw d 0 )/d 0
ehkl hkl hkl hkl
ray penetration volume, Eq 8 becomes (Ref 9,
[(1 m hkl)/E hkl] 11, 12):
(rx cos2 u sxy sin2 u ry sin2 u rz)
uw (d uw d 0 )/d 0
ehkl hkl hkl hkl
sin2 w [(1 m hkl)/E hkl]rz (m hkl/E hkl)

[(1 m hkl)/E hkl](rx cos2 u ry sin2 u rz)
(rx ry rz) [(1 m hkl)/E hkl]
(sxz cos u syz sin u) sin w)
2
(Eq 8)
(rx ry rz) (Eq 13)
where h, k, and l are the indices of the Bragg Two data sets, u 0 and u 90, are needed
reflection; ehkl hkl
uw and d uw are the strain and inter- to obtain rx, ry, and rz. The slopes and intercepts
planar spacing of (hkl) in the direction of (u, w),
uw versus sin w at u
of a linear function of d hkl 2
respectively; m hkl and Ehkl are Poissons ratio and 0 and u 90 are given by:
Youngs modulus in (hkl) in the coating; rx, ry,
and rz are normal stresses; sxy, syz, and sxz are Mu0 d hkl
0 [(1 m )/E ](rx rz)
hkl hkl
shear stresses; rx is the normal stress acting in
the x direction on a plane perpendicular to the x Mu90 d 0hkl[(1 m hkl)/E hkl](ry rz)
axis; and syz is the shear stress on a plane normal I d hkl
0 {[(1 m )/E ]rz (m /E )
hkl hkl hkl hkl
Fig. 3 Typical microstylus trace on titanium nitride-
coated AISI 304 stainless steel disk before and to the y axis (the first subscript) in the z direction
after coating deposition (the second subscript). Residual stresses of the (rx ry rz)} (Eq 14)
conventionally peened samples relax for ra,s (70 or 555 F), the stability of the residual MPa (50 ksi). After N 1000, the |rrs| value is
700 MPa (100 ksi). With increasing stress am- stresses was investigated in detail (Ref 47, 48). 150 MPa (20 ksi). The depth where the residual
plitude, an increasing relaxation is observed. The depth distribution of the residual stresses stresses change their sign is not significantly af-
The reduction of the half-widths and, hence, of and the half-widths in the region close to the fected. As shown in Fig. 24(a), a shot peening
the micro residual stresses is much more pro- surface was determined at different numbers of treatment at 290 C (555 F) considerably delays
nounced for the samples peened at room tem- cycles at a surface stress amplitude 1000 MPa the relaxation of residual stresses. During the
perature compared to the other peening variant. (145 ksi). The curves for the conventionally first cycle, the initial absolute value of the resid-
For the warm-peened states, the measured val- peened samples in Fig. 24(a) show that the com- ual stress at the surface, |ra,s| 660 MPa (95
ues after cycling are often a bit higher than the pressive residual stresses in the region close to ksi), is reduced only by about 140 MPa (20 ksi).
initial values. Only for ra,s 900 MPa (130 the surface are strongly reduced with increasing After N 1000, |ra,s| 380 MPa (55 ksi) is
ksi) and N 104 can a significant decrease be number of cycles. During the first cycle, the ab- measured. The affiliated depth distributions of
seen. solute value of the residual stress of the surface the half-widths of the conventionally peened
For the same samples peened at 20 or 290 C decreases from about 600 MPa (90 ksi) to 350 condition in Fig. 25(a) verify that with increas-
ing number of cycles, reductions of the half-
widths and consequently of the micro residual
stresses occur due to larger rearrangements of
mobile dislocations in the surface layers. In op-
position to this finding, under the same loading
1.0 conditions the warm-peened condition shows
practically no relaxation of the micro residual
stresses. Obviously, the dislocation arrange-
ments in the warm-peened condition under cy-
a,s, MPa clic loading are considerably more stable than in
0.9
300
the conventionally peened condition. This is due
to dynamic and static strain aging effects that
400 occur during and after warm peening (Ref 47,
HWs/HWs,0
48). Dynamic strain aging results in a more dif-

0.8 500
fuse and stable dislocation structure caused by
600 pinning of dislocations by solute carbon atoms
and formation of extremely fine carbides.
700
The effect of stabilized residual stresses on fa-
0.7 800 tigue behavior is illustrated in Fig. 26, with S-N
curves at alternating bending of the convention-
900
ally peened and two warm-peened conditions in
1000 comparison with the ground condition. The S-N
curves for a failure probability of P 50% were
0.6 determined in each case from approximately 30
1 10 102 103 104 105 106 107
tests after the arcsin P procedure (Ref 49). Shot
Number of cycles, N
(a) peening at room temperature increases the fa-
tigue strength Rfb for about 90 MPa (13 ksi) from
440 MPa (65 ksi) to 530 MPa (80 ksi) compared
to the ground condition. Compared to that, peen-
1.0 ing at 200 and 290 C (390 and 555 F) increases
the fatigue strength to 590 and 640 MPa (85 and
95 ksi), respectively.
a,s, MPa
0.9
400 Resistance to Residual Stress Relaxation
500 The cyclic relaxation of macro residual
stresses can be divided into four phases (Ref 16,
HWs/HWs,0
600
17, 50):
0.8 700
Quasi-static relaxation during the first half of
800 the first cycle, which is caused by quasi-static
deformation processes
900 Quasi-static relaxation during the second half
0.7 of the first cycle, which is influenced by the
1000
load reversal
Cyclic relaxation at 1 N Ni (Ni num-
ber of cycles to crack initiation) due to cyclic
0.6 deformation processes, which usually leads to
1 10 102 103 104 105 106 107 a linear reduction of the residual stresses as a
Number of cycles, N function of the logarithm of the number of
(b) cycles according to Eq 21 due to cyclic creep
Cyclic relaxation at Ni N Nf (Nf num-
Fig. 23 Ratio of half-width at the surface versus number of cycles during alternating bending tests of quenched and
tempered AISI 4140 (450 C, or 840 F, for 2 h) at different surface stress amplitudes. (a) Conventionally shot- ber of cycles to failure) for sufficiently high
peened condition (Tpeen 20 C, or 70 F). (b) Warm-peened condition (Tpeen 290 C, or 555 F) stress amplitudes at the surface, which is
enforced in the plastic zones at the tips of ation of macro residual stresses starts together due to cyclic creep is characterized by a linear
initiated surface cracks. with cyclic plastic deformation in the direct sur- reduction of residual stresses with increasing
face if this condition is fulfilled: logarithm of the number of cycles for 1 N
Assuming a predominantly uniaxial macro re- 104 according to Eq 21. Therefore, the residual
sidual stress state, it is a fundamental principle stress values at the surface after 104 cycles from
that relaxation of residual stresses at the surface a ra,crit Rcycl
e,s m |rs |
rs
(Eq 22)
Fig. 22 can be taken as a measure of the degree
will commence within the first cycle, if the stress of cyclic residual stress relaxation. These values
amplitude ra reaches the critical loading stress The property m has the meaning of a residual
stress sensitivity factor. In this consideration, it are shown also in Fig. 28 for both shot-peened
rs,crit. It should be noted that in the case of push- variants versus the absolute value of the applied
pull tests the critical loading stress rs,crit is iden- is assumed that m 1. The macro residual
stresses are stable if the condition is fulfilled: loading stress amplitude at the surface ra,s. The
tical with the property |rlscrit(c)| (see the section linear fit of these points intersects the line fitted
Residual Stress Relaxation by Uniaxial Defor- through the residual stresses measured at N 1
mation in this article). If ra rs,crit, the macro ra ra,crit Rcycl
e,s |rs |
rs
(Eq 23) at the critical loading amplitude ra,crit, which is
residual stresses should remain stable in the first a measure for the onset of cyclic residual stress
cycle. For N 1, relaxation of macro residual For cyclic bending tests under the conditions il- relaxation. This procedure leads to ra,crit 514
stresses can begin gradually if the critical load- lustrated in Fig. 27, the critical loading stress MPa (74 ksi) for the conventionally peened con-
ing stress amplitude ra,crit is exceeded (Ref 16, rs,crit can be found by plotting the residual stress dition and ra,crit 714 MPa (103 ksi) for the
17, 40, 41, 47, 48, 50): values after the first cycle from Fig. 22 versus warm-peened condition (see Fig. 28).
the loading stress on the surface. This is given
ra ra,crit in Fig. 28 for conventionally peened and warm-
peened samples. The data points at N 1 show Evaluation of the Relaxation Behavior
Thus, the property ra,crit has the meaning of a that the critical loading stress at which quasi-
resistance against relaxation of macro residual static residual stress relaxation begins is much Knowledge of the critical loading stress rs,crit
stresses. Equation 16 is equally valid for the higher for the warm-peened condition (rs,crit and the initial residual stress value rrs s at the sur-
critical cycling loading stress ra,crit if Re(c),s is 500 MPa, or 70 ksi) than for the conventionally face enables the estimation of the compressive
replaced by the corresponding cyclic yield peened variant (rs,crit 310 MPa, or 45 ksi) due yield strength of the peened surface region Re(c),s
strength for surface R cycl with Eq 20 if the property |rlscrit(c)| is substituted
e,s . That means for a pre- to the above-mentioned strain aging effects. The
dominantly uniaxial residual stress state, relax- residual stress relaxation during cyclic loading by rs,crit according to:
|Re(c),s| (Eq 24)

200 (rs,crit)2 (rrs
s ) rs rs,crit
2 rs
Tpeen = 20 C
a,s = 1000 MPa Applying Eq 24 for the shot-peened variants in-
0 vestigated, clear differences of Re(c),s can be rec-
ognized (see Table 3) (Ref 48). For both vari-
200
ants, however, the resulting compressive yield
N=0
rs, MPa
strength at the surface is smaller than that of the

N=1 core region, which is qualitatively in agreement
400
l
N = 10 with the results in Table 2. This is also due to

N = 102 the Bauschinger effect. However, the
600 N = 103 Bauschinger-induced work softening is much
smaller for the warm-peened samples than for
the samples peened at room temperature, due to
800 the dynamic and static strain aging effects that
0 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40
occur during and after warm peening.
By using the critical loading amplitude ra,crit
(a)
as well as the residual stresses at the surface
200 rrss,N1 after N 1, and the assumption that the
Tpeen = 290 C residual stress state at the surface is still almost
a,s = 1000 MPa axisymmetric, the cyclic yield strength at the
0 surface Rcycl
e,s can be calculated similarly to Eq 24
by:
200
e,s (ra,crit) (rs,N1) rs,N1 ra,crit
Rcycl 2 rs 2 rs
rs, MPa
N=0
(Eq 25)
N=1
400
l
N = 10
These values are listed in Table 4 (Ref 48). It
N = 102 can be seen that Rcycl e,s for the conventionally
600
N = 103 peened samples is much smaller than for the
warm-peened state. Moreover, the ratio of the
800 calculated cyclic yield strength at the surface and
0 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40
that for the core region Rcycl e 1090 MPa, or
160 ksi) found in push-pull tests (Ref 28) indi-
(b) cates that the cyclic work softening that is typical
Macro residual stress in longitudinal direction versus distance from surface for quenched and tempered AISI
for quenched and tempered steels does not ap-
Fig. 24 pear in the warm-peened variant Rcycl cycl
e,s /Re
4140 (450 C, or 840 F, for 2 h) after different numbers of cycles at the surface stress amplitude of 1000 MPa
(145 ksi). (a) Tpeen 20 C (70 F). (b) Tpeen 290 C (555 F) 1.07). The increase of Rcycl
e,s at the warm-peened
samples is assumed also to be the result of a very rations characteristic of the fatigued condition at Summary
strong pinning of dislocations by clouds of car- the given stress amplitude. Especially for steels
bon atoms and extremely fine carbides that exist with high dislocation densities (cold-worked as The stability of the mechanically treated sur-
due to strain aging effects. This pinning is so well as hardened or quenched and tempered con- face state of components during the application
strong that even at highest loading amplitudes, ditions), dislocation rearrangements are fre- of thermal and/or mechanical energy is desirable
ra,s, the pinned dislocations cannot move. There- quently associated with work-softening pro-
fore, dislocations that were newly generated dur- cesses in the microcrack-free stage of fatigue.
ing cyclic loading cause the macro residual stress Rearrangement of dislocations from configu-
800
relaxation. The increase of the half-widths for rations typical of the machined or heat-treated P = 50%
these variants during alternating bending tests condition to that of the fatigued state is funda-
(see Fig. 23) is a further hint for this assumption. 700
mental to the relaxation of macro residual Tpeen = 290 C
With these relationships, the effects of the dif- stresses. Residual elastic strains associated with 640
a,s, MPa
Tpeen = 200 C
ferent peening treatments on fatigue strength can the macro residual stresses are once again con- 600
Rfb, MPa
590
be interpreted. Compared to the conventionally verted into microplastic strains. If fatigue soft- Tpeen = 20 C
peened condition, the significantly higher fatigue ening processes are involved, relaxation of micro 530
500
strength of the warm-peened variants cannot be residual stresses can also be expected. In the case Ground
explained only by the slightly higher compres- of machined and heat-treated materials, this 440
sive residual stresses. Moreover, their higher sta- 400
manifests itself in decreasing hardness and 104 105 106 107 108
bility seems to be the main reason for this be- sharper x-ray interference lines (Ref 16, 17). Dif- Nf
havior. ferences in the residual stress relaxation behavior
of cold-worked, machined, and heat-treated ma- Fig. 26 S-N curves (failure probability, P 50%) for
Behavior of Micro Residual Stresses terials under cyclic load can be attributed to dif- quenched and tempered AISI 4140 (450 C, or
ferent dislocation arrangements and densities. 840 F, for 2 h). Samples shot-peened at different tempera-
tures are compared with the ground condition.
Residual stress relaxation when N l can be The closer the similarity to the dislocation con-
attributed to cyclic plastic deformation. In this figuration characteristic of fatigue, the less the
case, the dislocation arrangements present in the extent of dislocation rearrangement and hence of
as-received materials are rearranged to configu- residual stress relaxation. Cross section
area Surface
4.0
Tpeen = 20 C N=0
a,s = 1000 MPa N=1
3.5 N = 10
srs Core
N = 102 0
rs
HW, 2
N = 103 rs
3.0 c
2.5
Surface
2.0 Simplified distribution of longitudinal macro

0 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 Fig. 27
residual stress for residual stress relaxation due
Distance from surface, mm to bending
(a)
4.0
Tpeen = 290 C N=0 0
a,s = 1000 MPa N = 1 N = 104
N=1 100 Tpeen = 20 C
3.5 N = 10
200 Tpeen = 290 C
N = 102
300
HW, 2
N = 103
rs , MPa
3.0
400 a,crit
s,crit
l,s
500
2.5 s,crit
600
a,crit
700
200 400 600 800 1000
2.0 |s| or a,s, MPa
0 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40
Fig. 28 Macro residual stress at the surface in longitu-
(b) dinal direction versus absolute value of surface
stress or surface stress amplitude of quenched and tem-
Fig. 25 Half-width versus distance from surface of a quenched and tempered AISI 4140 (450 C, or 840 F, for 2 h) pered AISI 4140 (450 C, or 840 F, for 2 h) after alternating
after different numbers of cycles at a surface stress amplitude of 1000 MPa (145 ksi). (a) Tpeen 20 C (70 F). bending to N 1 and N 104 in conventionally shot-
(b) Tpeen 290 C (555 F) peened and warm-peened conditions
Table 3 Quasi-static surface yield strength in compression Re(c),s of quenched and tempered ing 2, American Shot Peening Society, 1984
AISI 4140 in conventionally peened and warm-peened conditions 8. H. Wohlfahrt, R. Kopp, and O. Vohringer,
Ed., Proc. Int. Conf. Shot Peening 3, DGM-
Shot peening
temperature rs,crit rrs
s Re(c),s Informationsgesellschaft, Oberursel, 1987
C F MPa ksi MPa ksi MPa ksi Re(c),s /Re(c) 9. K. Iida, Ed., Proc. Int. Conf. Shot Peening
20 70 310 45 600 90 801 116 0.60 4, Japan Society for Precision Engineering,
290 555 500 75 660 95 1008 146 0.78 Tokyo, 1990
10. D. Kirk, Ed., Proc. Int. Conf. Shot Peening
5, Oxford, 1993
11. J. Champaigne, Ed., Proc. Int. Conf. Shot
Table 4 Cyclic surface yield strength Rcycl
e,s of quenched and tempered AISI 4140 in
conventionally peened and warm-peened conditions Peening 6, San Francisco, 1996
12. A. Nakonieczny, Ed., Proc. Int. Conf. Shot
Shot peening Peening 7, Institute of Precision Mechanics,
temperature ra,crit rs,rs N1 cycl
Re,s
Warsaw, 1999
C F MPa ksi MPa ksi MPa ksi Rcycl cycl
e,s /Re
13. E. Kula and V. Weiss, Ed., Residual Stress
20 70 514 74 520 75 895 130 0.82 and Stress Relaxation, Plenum Publishing
290 555 714 103 620 90 1156 168 1.07
Corp., 1982
14. A. Niku-Lari, Ed., Advances in Surface
Treatments, Vol 4, International Guidebook
in order to preserve improvements in mechanical sufficient stable obstacles to dislocation move- on Residual Stresses, Pergamon Press, Ox-
properties. In this connection, residual stress re- ment, which increases rcrit at the loads given. For ford, 1987
laxation behavior is the most important aspect to T 0.4 Tm (Tm melting temperature in K) 15. V. Hauk, Ed., Structural and Residual
be considered. Macro and micro residual stresses these could, for example, be grain and phase Stress Analysis by Nondestructive Methods:
can be reduced or completely relaxed either by boundaries, finely dispersed incoherent particles, Evaluation, Application, Assessment, Elsev-
heat treatment or under unidirectional or cyclic coarse secondary phases, and, as long as no dif- ier Science B.V., 1997
mechanical loading. fusion can occur, solute alloying atoms and cer- 16. O. Vohringer, in Residual Stresses: Gener-
Elastic residual strains related to macro resid- tain dislocation arrangements. The onset and ex- ationMeasurementValuation, Vol 1, E.
ual stresses can be converted into microplastic tent of residual stress relaxation is influenced in Macherauch and V. Hauk, Ed., DGM-
strains by suitable deformation processesfor a complex manner by the combined effects of Informationsgesellschaft, Oberursel, 1983,
example, by dislocation slip or creep. The onset heat treatment, unidirectional and cyclic stress, p 4983
of residual stress relaxation is determined by the and multiaxial applied and/or residual stress 17. O. Vohringer, in Advances in Surface Treat-
critical applied loading stress, rcrit, with the states. The kinetic of residual stress relaxation is ments, Vol 4, International Guidebook on
meaning of a resistance against relaxation of re- essentially determined by the difference |rls| Residual Stresses, A. Niku-Lari, Ed., Per-
sidual stresses, which is accompanied by the be- |rrs| |Ri|. The greater the applied loading stress gamon Press, Oxford, 1987, p 367396
ginning of plastic deformation. In the case of isthat is, the higher the temperature, the 18. M.R. James, in Advances in Surface Treat-
thermal treatment (rcrit 0), unidirectional de- longer the time, and the greater the magnitude ments, Vol 4, International Guidebook on
formation (rcrit rlscrit(c) and rs,crit, respectively), and amplitude of the applied stress, plastic de-
Residual Stresses, A. Niku-Lari, Ed., Per-
as well as cyclic loading (rcrit ra,crit), residual formation, or number of cyclesthe greater the
gamon Press, Oxford, 1987, p 349365
stress relaxation occurs when under the assump- increase in the rate of residual stress relaxation.
19. E. Macherauch and P. Muller, Z. Angew.
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relationship is valid: the residual stress increases. The fewer the stable Phys., Vol 7, 1961, p 305312
obstacles to dislocation slip, the faster the rate. 20. B.E. Warren, Prog. Met. Phys., Vol 8, 1961,
p 147202
|rls| |rcrit| |Ri| |rrs| (Eq 26)
21. B.E. Delhez, Th.H. Keijser, and E.J. Mitte-
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Rce for thermal treatment, Ri Re(c),s and Re(t),s,
22. O. Vohringer and E. Macherauch, Hart.-
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2. B. Beck, S. Denis, and A. Simon, Ed., Proc.
|rls| |rcrit| |Ri| |rrs| (Eq 27)
24. B. Hoffmann and O. Vohringer, in Residual
Int. Conf. Residual Stresses 2, Elsevier Ap-
Stresses and Distortion due to Thermal Ef-
plied Science, London, 1989
The applied loading stress r may be zero, 3. H. Fujiwara, T. Abe, and T. Tanaka, Ed., fect, D. Aurich, K.-H. Kloos, G. Lange, and
have a value that does not vary with time (e.g., Proc. Int. Conf. Residual Stresses 3, Elsev- E. Macherauch, Ed., DFG-Research-Report,
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Effect of Residual Stress on Hydrogen

Embrittlement and Stress Corrosion
Cracking
A.I. Kovalev, D.L. Wainstein, V.P. Mishina, Surface Phenomena Researches Group, Moscow
V.V. Zabilsky, Physical Technical Institute, Russia
METALLURGISTS AND METALS SCI- nace gases involved in the open-hearth (Mar- duced during most modern metallurgical meth-
ENTISTS traditionally consider hydrogen an un- tins) process are the main sources of hydrogen ods.
desirable impurity in metals and alloys, associ- penetration in steel (Ref 1). Industrial cast usu- Hydrogen Solubility and Diffusion in Steel.
ating its presence with the origination of ally contains H2 of not less than 1.5 to 2.0 cm3 / Hydrogen solubility in steel depends on tem-
floccules, porosity, and corrosion. Due to spe- 100 g. Use of vacuum evaporation in a ladle or perature and pressure to suit the following equa-
cific behavior of the element in steel, it makes at casting is the only way to decrease the content tion:
worse technological and exploitation properties of hydrogen in steel down to a concentration not
of the material. Hydrogen embrittlement (HE), affecting the mechanical properties, of the steel. K K0 p1 / 2 exp(D H / RT)
(Eq 1)
as well as other types of brittle fracture, of metals Penetration of hydrogen into a carbonic and
result from nucleation and development of mi- where K is constant of solubility, K0 is constant
alloyed steel was observed in a hydrogen atmo-
crocracks caused by internal stresses. Peculiari- of solubility in standard conditions, R is gas con-
sphere at a high pressure (Ref 2, 3). Metal weld-
ties of HE are involved with steel physical prop- stant, T is temperature, and DH is endothermal
ing is one of the most dangerous technological
erties and mechanisms of its interaction with processes inducing penetration of hydrogen in heat of solution. Those of hydrogen in pure iron,
hydrogen. Considerable hydrogen solubility dif- steel. During the process, hydrogen, contained in calculated by W. Geller and T.H. Sun (Ref 4)
ference depending on external factors, a high dif- electrode coatings as organic compounds and and then experimentally refined (Ref 57), ac-
fusion mobility, and the capability to form mol- water molecule, is dissociating, then being in the count for 27230 J/ 0.5 mol H2 (6500 cal/0.5 mol
ecules on interfaces that induces a high internal H2). Solubility of hydrogen in iron at various
atomic state it dissolves in a molten metal and
hydrostatic pressure all promote various types of temperatures and atmospheric pressures (Ref 5
partly diffuses into neighboring zones of the ba-
brittleness. 8) is shown in Fig. 1.
sic material. Various electrochemical processes,
etching in acids, and interaction with liquid From recent data, solubility of hydrogen in a
Hydrogen in Steel agents containing hydro-sulfide also promote to metal also depends on its purity, microstructure,
Sources of Hydrogen Penetration in Steel. steel saturation with hydrogen. Therefore, hy- grain size, and a character of distribution of dis-
Water-containing raw charge materials and fur- drogen is an inevitable impurity in steel pro- locations (Ref 915). The solubility curve equa-
tion for -Fe at H pressure of 0.1 MPa (0.015
ksi) is:
T, C
lg H 1376/T 0.665 (Eq 2)
1700 1400 1100 900 800 700 600 500 400
102
where H is hydrogen concentration, at.%. Tem-
Solubility of hydrogen, cm3/100 g Fe
perature dependence of hydrogen solubility in c-

Fe can be evaluated from (Ref 3):
lg H 1411/T 0.468 (Eq 3)
That in liquid iron at a pressure of approxi-

mately 0.1 MPa (0.015 ksi)
lg H 1820/T 0.112 (Eq 4)
1
A large quantity of H2, measurable with tens
cm3 per 100 g of metal, can be brought into a
steel from a gas phase only at high pressures and
101 temperatures (Ref 16). At standard conditions, hy-
0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 drogen gradually escapes from steel, its solubility
1000/T, K1 in steel then being negligible. At temperatures
Fig. 1 Hydrogen solubility in iron in dependence on temperature at atmospheric pressure. Data source: Ref 25 higher than 200 C (392 F) a real solid solution
Methods for Determination of Inhomogeneous Residual Stress Fields / 137
were made with the reflection polariscope Pho- casings of power installations are presented here. Principal results of the study are given in Fig.
tolastic Inc. Figure 17 gives the picture of the The specimen was cut out of a full-fledged 21 as plots of relations KI(x) and residual stress
typical fringe pattern in the notch tip zone for l template from the material used in the reactor ry(x) for bimetals under consideration.
7 mm. casing of a nuclear power plant. The cladding
Figure 18 presents the dependency sA max(x) ob- (stainless steel 08Cr18Ni10Ti) was applied to
tained from processed data of optical measure- the base material of the vessel (low alloy steel REFERENCES
ments as well as the residual stress profile ry(x) 10CrNi1Mo) by explosion welding. Thickness
calculated using Eq 3. of the cladding layer was 7.5 mm. The manufac- 1. A.N. Tikhonov and V.Y. Arsenin, Solutions
Study of Residual Stress in Bimetal Using turing process for large-scale members from to Ill-Posed Problems, V.H. Winston &
the Crack-Indicator Method. As an example such material envisages butt welding of bime- Sons, Washington, D.C., 1977
of applying the indicator crack method in prac- tallic elements. The weld zone was studied for 2. J.V. Beck, B. Blackwell, and Ch.R. St.
tice, results from the study of residual stress in residual stress (Fig. 19). Clair, Jr., Ill-Posed Problems of Heat, Wiley
a flat specimen taken from bimetallic cylindrical During this study, methods and procedures Interscience, 1985
(way of crack creating, method of determining 3. C.L. Lawson and R.J. Hanson, Solving
SIFs, and that of calculating residual stress) de- Least Squares Problems, Prentice-Hall, En-
scribed in the section Indicator Crack Method glewood Cliffs, NJ, 1974
MPa were used. 4. V.O. Sergeyev, Regularizing the Volterra
y To determine values of SIFs in indicator Equations of the First Type, Proceedings of
x cracks, the photoelastic coating method was USSR Academy of Sciences, Vol 282 (No.
used. Figure 20 gives typical fringe patterns that 3), 1971, p 531534 (in Russian)
200 7h emerge in the zones of edge indicator cracks, 5. A. Vajdanatan and A. Finny, Determination
h
these patterns being obtained when investigating of Residual Stresses from Stress Intensity
max, y, MPa
the first specimen. Factors Measurements, Trans. ASME, Ser.

Experiment results demonstrate that at all C, 1971, p 131135
100 A
max(x) measuring points, KII(xi) values make up less 6. G.R. Irvin, Fracture, Handbuch der Physik,
y(x)
than 7% of KI(xi) values. Hence, it follows that Springer (Berlin), Vol 6, 1958, p 551590
A
r y(x) s xy(x). 7. N.I. Muskhelishvili, Some Main Problems

of Mathematical Theory of Elasticity,
0 x/h
1 2 Nauka, Moscow, 1966 (in Russian)
8. A.S. Kobayashi, Ed., Handbook on Experi-
mental Mechanics, Vol 2, Prentice-Hall
Inc., Englewood Cliffs, NJ, 1988
100
9. V.D. Kuliev and I.A. Razumovskii, Deter-
Determining residual stress in the hull plate still mination of Residual Stresses in Bimetalls,
Fig. 18
specimen with corrosion-preventive facing. Sov. Phys. Dokl. RAN (Proceedings of the
Data points indicate optical measurements in the photo- Russian Academy of Sciences), Vol 315
elastic coating taken at notch-tracking points, with the
notch being expanded stepwise, through 1 m steps
(No. 13), American Institute of Physics,
Nov 1990, p 985987
10. I.F. Obraztcov, V.D. Kuliev, and I.A. Ra-
zumovskii, Fracture of Bimetallic Materials
8 4 with an Edge Crack, Sov. Phys. Dokl. RAN
42
(Proceedings of the Russian Academy of
2 Sciences), Vol 308 (No. 13), American In-
Photograph of fringe patterns in zone of crack-
stitute of Physics, Sept 1989, p 859861
Fig. 20 11. Y. Murakami, Ed., Stress Intensity Factors
42 indicator tip (crack length is 12 mm)
Handbook (in 2 volumes), Pergamon Press,
1
1987
12. V.V. Panasyuk, Ed., Fracture Mechanics
50
and Strength of Material Handbook, Vol 2,
(a) 40 Kiev, Naukova Dumka, 1988, p 619 (in
30 r (x)
Russian)
20 13. M.V. Medvedev and I.A. Razumovsky,
Methods for Studying Locally Nonuniform
m
10 Fields of Residual Stresses by Cutting the

K I , MPa
0 Parts, J. Mach. Manuf. Reliab. (Russia), No.

2 4 6 8 10 12
100
5, 1998, p 7076
14. G.W. Smith, Use of Photoelasticity in Frac-
200 ture Mechanics, Experimental Evaluation of
300 Stress Intensity Factors, Mech. Fracture,
400 y(x) Vol 7, G. Sih, Ed., The Haughe, 1981, p
163189
500 15. H.P. Rossmanith and R. Chona, Survey of
Recent Development in Evaluation Stress
x , MPa
Intensity Factors from Isochromatic Crack
Results of residual stress study in the weld zone
Tip Patterns, Proc. Int. Conf. Fracture
Fig. 21 Mech. ICEM (Cannes), 1981, p 348354
Fig. 19 Drawing of (a) weld zone and (b) photograph of bimetallic material from nuclear power plant
of specimen surface reactor casing 16. R.J. Sanford and J.W. Dally, A General
In a molecular form, accumulating in micro- direction perpendicular to the planes enriched by Corrosion cracking: For the most part is tied
pores the inclusions. with precipitation of an atomic hydrogen dur-
Forming hydrides Globularization of the sulfides decreases hy- ing corrosion reactions, its adsorption on the
Interacting with alloying elements and second drogen solubility and increases its effective dif- surface and dissolution in metal with devel-
phases fusion coefficient. Sulfide-matrix boundaries are opment of hydrogen embrittlement
the sites of a preferential accumulation of dis-
When hydrogen solutes in transition metals, solved hydrogen, essentially weakening the co- Main Aspects of the Hydrogen Embrittle-
its s-electrons transfer to a vacant d-shell of a hesive forces and promoting disruption of the ment Theory. Definite kinds of HE involve two
metal with the lower energy level. The free pro- interface continuity. basic aspectsthe mechanism of hydrogen
ton of hydrogen is partly screened by electrons, Martensitic Steels. High interior residual transfer to a fracture place, and 2-H influence on
which as electronic gas can be involved in its stresses inducing an elastic bend of the marten- the steel fracture toughness.
moving in the metal lattice (Ref 28). Hydrogen site crystals and localizing in places of its junc- Usually hydrogen is transported by moving
reduces a shear modulus of -iron; at 100 K tem- tion with boundaries of primary austenitic grains dislocations or diffuses (itself) through the crys-
perature, this is approximately an 8% decrease are characteristic for these steels having the tal lattice under inhomogeneous fields of elastic
per 1% of hydrogen atoms (Ref 30). At a room structure of an untempered martensite. In addi- stresses (Ref 3740). Being in steel, hydrogen
temperature and standard atmosphere pressure tion, martensitic steels feature a high density of decreases the fracture work by influencing mech-
the solubility of hydrogen in steel is insignifi- crystalline structure defects, which are bound- anisms of plastic deformation and reducing the
cant; its supersaturated solid solution is unstable aries of grains and twins, single dislocations. All energy of disruption of interatomic bonds near
and decomposes over time. One part of hydrogen these elements of structure affect solubility and the crack tip.
dissolves into the atmosphere and another is diffusion of hydrogen in steel. Dispersed ce- In ferrite-pearlite steels, HE is accompanied
caught by crystalline lattice imperfections. It is mentite particles observed after tempering also by nonreversible structural damages in the form
necessary to distinguish two types of defects ac- act as traps for hydrogen. In maraging steels such of micropores containing molecular hydrogen
tive in relation to hydrogenpores (or collec- a role is executed by intermetallic-matrix inter- under high pressure. Those conditions, however,
tors) and traps. Collectors represent volumes faces and elastic deformation fields around the are not enough for steel fracture that occurs due
where hydrogen molization is observed and a inclusions. to hydrogen migration together with moving dis-
considerable hydrostatic pressure develops. Types of Hydrogen Embrittlement. In gen- locations into the zone of deformation near the
Traps represent defects of smaller sizes than col- eral, hydrogen affects metals in two ways: tip of a developing crack. Fracture of soft steels
lectors, such as vacancies, substitution and in- is always accompanied by a considerable plastic
terstitial atoms, edge dislocations, its pile-ups Physical action at low temperatures when deformation essentially affected by hydrogen
and thresholds, high-angle boundaries, and fields chemical reactions are not observed (Ref 37) facilitating the beginning of plastic de-
of a volume tension (i.e., near the crack tip). Physical-chemical effect when a chemical information of ferrite due to adsorption effects.
There is a principle difference between traps and teraction of hydrogen with various phases and However, hydrogen increases the hardening co-
collectors. Transition of hydrogen from a crystal components of an alloy on the surface and in efficient at higher deformation degrees (Ref 41).
lattice into traps is reversible, while transition the bulk is observed. As a result, it localizes the plastic deformation
into collectors is accompanied by formation of in the zone of fracture, essentially reducing the
H2 molecule and is nonreversible. The consid- The attempt to enumerate all the phenomena plasticity of steel and diminishing the total frac-
ered features depend on a steel structure. tied with harmful influence of hydrogen in met- ture energy.
Ferrite-Pearlite Steels. Nonmetallic inclu- als was made in 1972 (Ref 31). Reference 28 In steels with martensitic structure, hydrogen
sions, such as manganese sulfides, are traps of specifies the following results. migrates through the field of elastic deforma-
hydrogen in these soft steels. The maximum sol- Hydrogen corrosion: Develops in carbonic tions into the zone of three-axial stresses before
ubility of hydrogen in such steel depends not the front of a crack (Ref 42, 43). When the con-
and low-carbon steels at long-term exposure
only on the content but also on the shape of man- tent of external and dissolved hydrogen reaches
in a high-pressure hydrogen at high tempera-
ganese-sulfide particles. The rolled-out pro- a critical value, the crack immediately propa-
tures. The cause of this brittleness is hydro-
longed ones increase hydrogen solubility and de- gates by the mechanism of disruption of intera-
gen-carbon interaction accompanied by steel
crease its effective diffusion coefficient in tomic bonds (Ref 44). In this case, the basic
surface decarbonization and methane forma-
tion (Ref 32). mechanism of HE is tied with breaking weak-
Primary gas porosity: Develops due to hy- ened bonds in grain boundaries and decreasing
drogen precipitation in a molecular form in a the plastic deformation energy in local sites of
smelt or in the front of crystallization (Ref 33) ductile fracture.
Secondary porosity: Develops at decompo- Forms of HE of steels are numerous, but only
sition of a supersaturated solid solution with in some cases (floccules, delayed fracture, and
formation of small submicroscopic pores stress corrosion) the role of macro and micro
filled by hydrogen (Ref 33, 34) stresses influencing hydrogen behavior is clearly
Decreasing plasticity under tension: Ob- defined.
served at low-rate deformation of steel con-
taining hydrogen (Ref 33, 34)
Delayed fracture: Steel cracking under con- Floccules
stant loading below the yield limit
Floccules or disruption cracks: Defects Floccules are interior cracks (flaws) observed
mainly found in large forged pieces. Floc- in steel: in the central zone of deformed pre-
cules are the result of gas hydrogen precipi- forms and, as an exception, in some sites of
tation in pores and micro flaws during steel molded wares. In polished (not etched) cross
crystallization and cooling of the slab or the macro-grinds these defects look like hairline
forged piece (Ref 35, 36). cracks (Fig. 4) opened along a plastic flow di-
Blisters or bubbles: Develop at electrolysis, rection of forged pieces and rolled products.
Microfloccule in ferrite-pearlite steel. Courtesy of metal exposing in a water vapor or in corro- Only when considerable axial stresses are pres-
Fig. 4 sion agents containing H2S (Ref 33, 35) ent in a pre-form, the orientation of floccules al-
A.I. Kovalev
ters and can be perpendicular to the axis. By even 12 to 15% hydrogen can again make steel The main factors determining the kinetic fea-
macroscopic investigation of fracture surfaces of susceptible to flocculation. That tendency of tures of delayed fracture are the chemical com-
steel affected by floccules, the light brilliant steel can develop at welding or cementation position and the structure of steel, a hydrogen
spots of an oval shape are observed. Fractogra- when wares are quenched directly after treatment content, the presence of stress concentrators, the
phy research of those sites, using an electronic heating. Floccules are not observed in a number test temperature, the amount and the distribution
microscope, allows the detection of the micro of superalloyed steels such as ferritic, semifer- of impurities and nonmetallic inclusions, and the
quasi-chips involving a slightly expressed river- ritic, and austenitic. High-speed steels are not presence of inherent stresses (Ref 29). In this
pattern picture, pores, and plastically opened susceptible to flocculation, in spite of the fact case the delayed fracture can develop both under
hairline cracks (Ref 44). These defects can be that very high internal stresses at accelerated the effect of external hydrogeneous media and
found in all steels, but mostly they are observed cooling develop there. Influence of alloying ele- inherent hydrogen having entered the metal as
in chromic, chrome-nickel, chrome-nickel-tung- ments on steel susceptibility to flocculation is the result of melting, welding, etching, anticor-
sten, and chrome-manganese steels. Floccules tied with action on austenite transformation un- rosive electroplating, and other production
originate in forged pieces or rolled stock of large der cooling, anisotropy of properties, and a quan- operations. An example is in the formation of
section some distance apart on the surface under tity of generated hard inclusions. At Ac3 tem- so-called cold cracks in the heat-affected zone
accelerated cooling at temperatures below 150 to perature decreasing and Ac3-Ar3 hysteresis while welding alloyed steels (Ref 51). The in-
200 C (302 to 392 F), sometimes at 300 C increasing the diffusion of hydrogen and its es- creased hydrogen content in the near-weld zone
(572 F), but more often at room temperature. caping off steel pre-forms becomes slower. This
is the result of hydrogen diffusion from the melt
One of the main reasons of floccules formation explains a high susceptibility to flocculation of
where it enters due to dissociation of moisture
is a dissolved hydrogen that does not have a chrome-nickel steel after its alloying with mo-
in electrode coating (welding flux) (Ref 52, 53).
enough time to escape large forged pieces at lybdenum or tungsten. Manganese and silicon,
temperatures below 200 C (392 F) and diffuses promoting anisotropy of mechanical character- The effect of the steel-strength level on the
into neighboring pores, creating molecules and istics of a rolled stock, favor its susceptibility to resistance to delayed fracture has been supported
considerable gas pressures (Ref 45, 46). How- flocculation. Increasing concentration of carbon by many studies. It has been shown that at the
ever, hydrogen present in metal is a necessary, in a hydrogen-containing steel promotes forma- low-strength level (up to 750 MPa, or 110 ksi)
but not the only, condition for origination of the tion of methane and floccules. the influence of hydrogenation is comparatively
defects under consideration. Internal tensile Preventing Flocculation in Steel. The main moderate. At strength more than 1000 MPa (145
stresses developing under plastic deformation, condition of preventing floccules in steel is de- ksi), the resistance to delayed fracture reduces so
non-uniform cross section cooling of steel wares, creasing its supersaturation with hydrogen and that the value of the threshold stress, rth, de-
and structural transformations stimulate forma- elimination of H2 molecule formation at tem- creases to 200 MPa (29 ksi) (Ref 53). It has
tion of floccules (Ref 4749). Decrease of rup- peratures below 200 to 300 C. Also, it is nec- been found also that as to the high-strength
ture resistance in sites enriched by nonmetallic essary to minimize the anisotropy of mechanical steels, especially in the presence of stress con-
inclusions or in liquation zones promotes this properties of deformed pre-forms. Melting and centrators, delayed fracture can develop even
kind of brittleness. The most favorable condi- casting of steel in a vacuum is the basic and the with the low-hydrogen content not exceeding ap-
tions occur when the flocculation temperatures most effective way to eliminate of floccules. proximately 10 4 at.% (1.1 cm3 per 100 g of
coincide with an interval of development of mar- Transportation to forging and rolling of ingots metal) (Ref 1). Numerous examples of delayed
tensite transformation. Dissolving in austenite in in a hot state, being in common practice, is un- fracture of products fabricated from high-
a higher quantity than in martensite, hydrogen desirable for a steel susceptible to flocculation, strength alloyed steels (shafts made of Fe-0.45C-
during martensite transformation moves from a because a high quantity of hydrogen remains. 2Ni-Cr-Mo-V steel, axles made of Fe-0.2C-2Cr-
solid solution into pores. Resultant high hydro- Special heat treatment schemes preventing floc- 4Ni steel in the carburized state, etc.) are
static pressures summarize with stresses caused culation are available for large pre-forms made presented in a monograph (Ref 54). The presence
by volume alteration under c phase trans- of steels of various classes. of internal hydrogen in association with high re-
formation. For this reason, a quenched-in-air sidual stresses with a value reaching 1000 MPa,
chrome-nickel steel is very susceptible to floc- Delayed Fracture in Steels (145 ksi) is the most commonly occurring cause
culation. This is the result of total action of the for delayed fracture in the case under consider-
molecular hydrogen pressure in pores and the Delayed fracture, or the real hydrogen em- ation.
field of tensile stresses existing in the metal (Ref brittlement, is an evolving-in-time process of A great deal of publications in which various
50). Floccules are developing during the time, cracking (fracture) materials exposed to hydro- methods of hydrogenation are presented are de-
and the process quite often does not terminate gen and static stresses. This type of hydrogen voted to the study of delayed fracture of steels.
when cooling finishing and continues for many embrittlement is the greatest practical problem, A main body of experimental data has been ob-
hours at room temperature. especially for high-strength steels, as far as the tained with the use of the cathode polarization
At high contents of hydrogen and tempera- initiation and the growth of crack with hydrogen
method. Therefore, in analysis of the influence
tures approximately 400 to 600 C (752 to 1112 present are observed at stresses much less than
of chemical composition and structure, it is nec-
F), formation of H2 molecules in pores results the yield strength of steel. The crack growth up
essary to take into consideration that, because of
in intergranular brittle failure of steel, without to the critical value with hydrogen present begins
participation of external (relative to the pores) accordingly at the threshold value of the stress electrolytic hydrogenation of large-size samples,
stresses. For fracture at lower hydrogen concen- intensity coefficient, K1th, which has a much the occurrence of nonuniform distribution of hy-
trations and temperatures below 200 C (392 F), lower value than the fracture toughness in the air drogen over the section can give rise to the large-
the combined effect of tensile stresses and gas or inert medium, K1C. Thus, the danger of the scale effect (Ref 55). Hydrogenation from the
pressure in pores is necessary. In that case, a delayed fracture process exists in that the frac- gas phase under conditions of elevated tempera-
brittle transgranular failure develops. ture of constructions occurs under loads that are tures (above 473 K) may cause irreversible dam-
Processes of formation of floccules are non- entirely undangerous under normal operating ages in the form of bulgings and pores appearing
reversible. An extremely slow cooling after de- conditions (i.e., in the absence of hydrogen). An- because of high pressure during the formation of
forming a preform made of steel susceptible to other important point is that the process of de- inner molecular hydrogen or methane. Addition-
flocculation prevents its development. The same layed fracture develops most intensively at tem- ally, in this case the probable surface decarbu-
effect was observed at a prolonged isothermal peratures close to room temperature, at which the rization can also have an effect on the initiation
annealing at heightened or high temperatures. overwhelming majority of materials and prod- and growth kinetics of cracks (Ref 56). From a
However, heating in an atmosphere containing ucts are used. practical standpoint, on the contrary, these im-
portant experiments make it possible to simulate three stagescrack initiation; its slow growth tinuous cathode saturation with hydrogen in the
service conditions for the purpose of developing up to the critical value; and the stage of the un- 26% aqueous solution H2SO4 (the current den-
adequate measures to eliminate delayed fracture. stable, accelerated crack growth. It is common sity i 10 mA/sm2). Smooth thin plates with
Main Criteria of Delayed Fracture of practice to characterize the sensitivity of steels to the cross section of 0.8 3 mm (0.03 0.12
Steels. In general, steel delayed fracture takes delayed fracture depending on their chemical in.) that ensures the through saturation of sam-
composition and structure by so-called long-term ples with hydrogen have been used as samples.
strength dependencies (Fig. 5), which usually are From the results obtained it is evident that the
represented in coordinates: applied stress r, log- higher the hydrogen content in steel is, the more
arithm s, where s is the time up to fracture. De- tangible the decrease of the long-term strength,
1 pendencies mentioned are typical for both smooth and it does not practically take place in the case
1 samples and samples with the stress concentrator. of armor-iron and low-carbon steel Fe-0.2C. The
The preliminary hydrogenation in constructing value of the threshold stress for steel Fe-0.45C
2 dependencies, s f (r), can be performed by any is of 150 to 170 MPa (20 to 25 ksi) that is several
Stress,
of the known techniquescathode polarization, times lower than the yield strength of this steel.
for example. These dependencies take the analo- The lifetime of samples with the stress con-
gous character on tests performed just in hydro- centrator under load is mainly determined by the
th geneous media (e.g., on tests in gaseous hydrogen time before the crack initiation (i.e., the duration
medium, hydrogen sulfide medium, or in the proof the incubation period) (Ref 55). In the study
cess of the electrolytic hydrogenation) (Ref 35, of crack growth it is worthwhile to construct so-
56, 57). called kinetic diagrams of cracking (i.e., depen-
Time for failure,
In an analysis of dependencies s f (r), the dencies of the crack growth rate, v, on the stress
following characteristics are used as the main pa- intensity factor, K1. To construct kinetic dia-
Fig. 5 Curves of long-term strength of hydrogenated rameters: grams of cracking, fatigue precracked samples
steel (scheme). 1, time before failure s; 2, incu- are used. The character of kinetic diagrams of
bation period si, r1, upper critical stress; rth, lower criti- The upper critical stress, r1, which corre-
castress. Source: Ref 35, 56, 57
cracking is shown schematically in Fig. 7. Some
sponds to the value of the tensile strength of
characteristic sections can be distinguished in
hydrogenated samples
the diagram. At section I, which corresponds to
The lower critical (threshold) stress, rth (i.e.,
the threshold value of the stress-intensity factor,
900 the stress lower which the delayed fracture
4 K1th, the crack does not practically grow or
process does not develop)
grows very slowly. Therefore, it is assumed that
The time before the crack initiation, si (an in-
the value of K1th characterizes the condition of
700 cubation period)
Stress, , MPa
3 crack nonpropagation in metal. In section II, the

The time up to final failure, s, which char-
crack growth rate increases rapidly, whereupon
500 4 acterizes the prolonged strength of steel (Ref
2 2 in region III, the crack growth rate over a wide
35). Thus, a dangerous area of stresses
range, K1, is retained practically unchanged. Un-
where the delayed fracture process develops
300 like the stage of accelerated, unstable fracture
is an interval between the upper and lower
3 (section IV), the stage of the slow, stable crack
1 critical stresses. In this case the value of the
1 growth can embrace the greatest part of longev-
100 lower critical (threshold) stress, rth, repre-
ity of a product. It is apparent that the delayed
0 10 20 30 40 50 60 100 sents a crucial important characteristic,
fracture development at this stage is controlled
Time to failure, , h namely, the prolonged strength limit of steel
by the rate of transferring hydrogen to the region
under the specific conditions of hydrogen em-
Dependences of long-term strength of iron (1, of the crack top. At section IV, the crack growth
Fig. 6 brittlement.
1), steel Fe-0.2C (2, 2), steel Fe-0.45C (3, 3) rate increases rapidly again, and at K1 K1C
and steel Fe-0.8C (4, 4). 14, unhydrogenated state (test- It is apparent that as the hydrogen content in (plane-strain fracture toughness) the final frac-
ings in the air); 14 testings in the process of hydrogen-
ation. Source: Ref 59
steel increases, all of the parameters mentioned ture occurs. The characteristic most sensitive to
are changed. This especially affects the value of the hydrogen content is the value of the threshold
the threshold stress, rth; the duration of the in- coefficient of stress intensity, K1th. According to
cubation period, si; and the time up to fracture, data given in Ref 60, an increase of diffusely
s. From the data given in (Ref 58), for example, moving hydrogen content in high-strength steel
it follows that as the hydrogen content in high- Fe-15Cr-5Ni-2Cu-Ti from 0.14 104 to 2
Velocity of crack propagation, dl/dt
IV
strength steel (1600 MPa, or 232 ksi) increases, 104 at.% causes the value of K1th to reduce by
the duration of the incubation period succes- 77%.
III
sively decreases from several tens of hours to Besides the main characteristics just dis-
several seconds. The time up to fracture in the cussed, a number of other characteristics also
limiting case does not exceed 0.1 h. The duration have been suggested for defining the sensitivity
of the incubation period, si, is influenced by the to delayed fracture. For example, dependencies
II preholding under load including holding under of the initial coefficient of stress intensity, K10,
stresses r rth. Reduction of si, observed in the time up to fracture, s, type are suggested to
this case is due to the formation of sites with the be used (Ref 60). In this case long-term strength
increased hydrogen concentration, which then curves can be described by the logarithmic re-
I serve as points of the crack initiation (Ref 35). lations of the K10 a ln s b type bounded
Curves of the long-term strength of iron, and by the value K1C at the top and the threshold
K1c K1t steels Fe-0.2C, Fe-0.45C, and Fe-0.8C are given value of the stress intensity coefficient K1th at the
Stress intensity factor, K1
in Fig. 6 (Ref 59). Samples have been polished bottom. In work (Ref 61) it was suggested to
mechanically and annealed in vacuum. Delayed construct the long-term strength curves in coor-
Schematic illustration of kinetic diagram of fracture tests have been carried out while holding dinates r 1/Zs, but not in conventional co-
Fig. 7 the samples under load in the conditions of con- ordinates r lg s. In this case dependencies of
cracking of hydrogenated steel. Source: Ref 57
142 / Residual Stress Formation in the Shaping of Materials
die so as to indent the blank and give the product formation is carried out at constant volume with Residual Stress in Metal Forming
a measure of rigidity. Can ends in food and bev- no loss of material in the form of chips. In the
erage containers are the most widespread ex- case of cold forming, a more favorable grain When a metal is being plastically deformed,
amples. flow and dislocation structure are achieved, internal stresses frequently are created due pri-
Advantages. Overall, metal forming pro- which could enhance mechanical strength and marily to deformation incompatibilitythat is,
cesses such as extrusion, drawing, rolling, and fatigue strength significantly. In particular, form- the different strain levels experienced in differ-
forging offer many advantages compared with ing can improve the dimensional accuracy and ent locations at the same time. This difference in
other production engineering methods. The de- surface finish of metal. the actual strain level in different locations may
be caused by multiple reasons, including (1) a
difference in strength between different but co-
existent phases in the material, (2) different ac-
tual strains accommodated at different locations
due to die/mold shape or constraints from the
gripping force on the testpiece or workpiece, and
(3) a possible temperature gradient in different
locations. These internal stresses may remain in
materials after the deformation/forming pro-
cesses in the form of residual stresses.
The most typical and simple example of the
effect of residual stresses on materials behavior
is the Bauschinger effect, a behavior reflecting
Fig. 4 Schematic of deep drawing
Fig. 2 Tube elongation by drawing with internal support by (a) mandrel, (b) plug, (c) floating plug, and (d) without
internal support by sinking
Fig. 5 Generation of residual stress in sheet bending. (a)

Geometry of a bent sheet. (b) Stress-strain rela-
Fig. 3 Schematic of forward extrusion tionship. (c) Distribution of residual stress through thickness
The influence of alloying elements is also istration of hydrogen in the fracture zone (Ref for such a strong influence of phosphorus, anti-
quite profound. The effect of noncarbide-for- 73). In this case, a decrease of sulfur to a degree mony, and tin segregation is a buildup of hydro-
mative alloying elements (Mn, Al, Si, Co, Ni) is less than 0.005 wt% does not protect against the gen concentration on the grain boundaries as a
mainly connected with their influence on the development of the hydrogen embrittlement. consequence of the chemical interaction of hy-
properties of matrixthat is, with the change of The form of nonmetallic inclusions also has a drogen with these impurities (Ref 75).
its resistance to the viscous, brittle, and grain- dramatic influence, especially in steels with the The steel structure has a determining effect on
boundary fracture. These elements (but Ni) de- ferrite-pearlite structure. Inclusions of the spher- the resistance to delayed fracture. The least re-
crease the long-term strength of steels subjected ical form are considered to be the safest ones. sistance is typical for the martensitic structure,
to quenching followed by high tempering (Table The negative role of sulfur can be connected in especially at low tempering temperatures. An in-
1). Carbide-formative elements (Cr, Mo, Ti, Nb, that this element has a retarding effect on the crease of the tempering temperature to 420 C
V) have an influence mainly through the change recombination of hydrogen atoms on the steel (788 F) causes the value of rth to increase by
of the amount of the carbide and carbide-nitride surface and so brings about an increase of the several times. The decrease of the volume frac-
phase, its distribution, and morphology. The amount of absorbed hydrogen (Ref 74). tion of martensite to 20 to 30% means to that
positive influence of molybdenum, niobium, and Phosphorus and its analogs (Sb, Sn) are the even in the hardened state delayed fracture does
vanadium, which bring about to an abrupt in- most dangerous on formation of segregation at not develop (Fig. 8) (Ref 78). In Ref 54 attention
crease of the time up to fracture, s, is most pro- grain boundariesthat is, in the process of ther- is drawn to the increased sensitivity of steel Fe-
nounced (Table 1). In the case of noncarbide- mal treatment, which results in the development 0.4C-Cr-Si with the lower bainite structure to de-
formative elements there is, as a rule, a direct of the temper embrittlement (Ref 7577). In the layed fracture, although this structure is charac-
relationship between the resistance to the hydro- absence of segregations the steels fracture in hy- terized by high-impact toughness and adequate
gen embrittlement and standard characteristics drogeneous media connected with the intensive plasticity. Unlike the martensitic structures,
of brittle fracturefor example, the critical tem- plastic deformation in the crack top. Fracture whose failure process develops mainly along
perature of brittleness, T50. In the case of car- boundaries of former austenitic grains, the bain-
mainly occurs transgranularly (i.e., along a
bide-formative elements such an unambiguous ite structure fails along the grain body (by mech-
grain). In this case, in fractograms of the crack
relationship usually is not observed (Ref 72). anism of quasi-spall).
As to impurity elements, phosphor and sulfur growth up to the critical value, either a viscous
On evidence given in Ref 74 the resistance to
have the most negative influence (Table 1). The cup fracture or a quasi-spall takes place. During the hydrogen embrittlement of low-alloyed pipe
negative influence of sulfur is connected with the the formation of segregation another mechanism, steels increases in the direction from normali-
formation of manganese sulfides MnS, which, the brittle fracture along grain boundaries, is re- zation to the controlled rolling, but the best re-
just as indicated, are the most effective traps for alized with a consequent abrupt decrease of K1th. sults are ensured by the thermal improving
hydrogen. Manganese sulfides assist in initiating In this case, an intensive reduction of K1th takes (quenching high tempering) and quenching
cracks at more low critical concentration of hy- place already at initial stages of the segregation from the intercritical temperature interval. A
drogen C* in the region of maximal tensile formation when temper embrittlement has hardly comparison shows that the thermal improving
stresses as evidenced by the results of the reg- shown up. It is considered that one of the reasons and quenching from the intercritical interval en-
sure about the sixfold enhancement of the long-
term strength as compared with the normaliza-
Table 1 Influence of alloying elements and impurities on transition temperature, T50; work tion. Water quenching at 775 C (1425 F) when
of propagation of a ductile crack, A; plasticity loss after hydrogenation, Fw and resistance the structure contains approximately 30% of
to hydrogen embrittlement, s (chromium-molybdenum steel, 0.2% C) bainite affords the best combination of proper-
ties. The marked enhancement of the resistance
Dependence of fracture characteristics on
element concentration (per 0.1% of each)
to delayed fracture is provided by the high-tem-
Element (limits of Optimal content of perature thermomechanical processing of the
alloying, mass, %) the element, mass, % T50, C A, MJ/m2 Fw% s, h
C (0.2 to 0.8) 0.20.3 20 to 60 0.1 to 0.2 32
Solid solution
Si (0.2 to 1.8) 0.40.7 4 to 6(a) 1600
5 to 8(b) 0.12 3 5
Mn (0.6 to 2.5) 1.2 3(a) 0.05 2 15 1400
7 to 16(b) 0.05 2 23
Ni (0 to 3.0) 0.51 4 to 10 0 7(a) to 1.3(b) 6.5 5
1200 3 6
Co (0 to 3.0) 0.5 1 to 1.5 0 1.2 5.7
Stress , MPa
Al (0.03 to 0.7 0.25 9 0.17 4 7.5 1000

Carbide-forming
Cr (0.5 to 3.0) 11.5 1(a) 0.04 2.9 80 800 4
2 to 5(a) 0.01 1.5 1
Mo (0 to 1.0) 0.4 to 0.5 15 to 30(a) 0 8 260 600
3 to 5(b)
Ti (0 to 0.15) 0.05 60(a) to 14(b) 0 36(a) to 10(b) 400 2
Nb (0 to 0.20) 0.02 to 0.06 0(a) to 40(b) 0 12 250
V (0 to 0.4) 0.1 20(a) to 15(b) 0 10 250 200
Modifiers 1
Rare-earth (Ce)(0 to 0.5) 0.1 to 0.3 10 0.04 35 0
0 1 2 3 4 5
AIN, VN, NbN (0 to 0.2) 0.2 40 0 70
Time to failure , h
Impurities
S (0.015 to 0.045) 0.01 0 2.4 0 360 Influence of martensite content and tempering
P (0.004 to 0.026) 0.015 230 1.0 80 500
Fig. 8
temperature on delayed failure of quenched car-
Sb (0.0006 to 0.027) 0.01 180 2.5 bon steel from 0.35% C. 1, 100% of martensite, 0.023% of
Sn (0.0005 to 0.03) 0 180 2.5 S, without tempering; 2, the same, tempering at 200 C; 3,
Cu (0 to 1.5) 0.5 1 0.04 32 the same, tempering at 420 C; 4, 7080% of martensite,
0.025% of S, tempering at 200 C; 5, 7080% of marten-
(a) Alloying for optimal content. (b) Alloying over optimal content. Source: Ref 143 site, 0.005% of S, tempering 200 C; 6, 2030% of mar-
tensite, 0.026% of S, without tempering. Source: Ref 78
high-strength steel Fe-0.3C-2Ni-Cr-Mn-Si (Ref cess of initiation and growth of a crack when tion, the microstress relaxation process com-
79). testing on a delayed fracture in a freshly hard- pletes in a time of no more than 10 to 20 h since
Some Specific Cases of Delayed Fracture. ened state is quite the same as that in the grain quenching. In this state a material still possesses
In the scientific literature, including the educa- boundaries. The typical initiating crack found in the sensitivity to delayed fracture. In the process
tional one, it was a widespread opinion that de- the stress concentrator top is shown in Fig. 9. of holding samples at room temperature, the evo-
layed fracture of steels can develop involving no The work has been methodically performed in lution (desorption) of hydrogen from them into
hydrogenthat is, under the effect of only struc- the following way. First, regularities of the ini- the atmosphere has been found to occur. The
ture factors (Ref 28, 54, 80). In particular, the tiation and crack growth have been studied thor- sensitivity to delayed fracture is just concur-
question about the nature of the enhanced sen- oughly by methods of mechanical tests in con- rently with termination of hydrogen desorption
sitivity to delayed fracture of steels in the so- junction with the acoustic emission. In (i.e., about 70 h after quenching has been
called newly quenched state is long discussed. particular, the effect of the deformation-rate in- elapsed). According to the data of the laser spec-
Cases of quenched products cracking, which are hibition of the crack growth has been estab- troscopy, the amount of desorbent hydrogen over
met in practice of thermal processing (Ref 52, lished, durations of the incubation period, si, un- the period of holding comes to approximately 2
54), have been associated with the development der different conditions of loading have been 106 at.% (Ref 84).
of delayed fracture of untempered martensite. determined and so on. Second, the simulation of The source of diffusive-mobile hydrogen in
Initiation and growth of crack provoking delayed the newly quenched state has been performed. the structure of the quenched steel is inner hy-
fracture occurs mostly over the boundaries of For this purpose, after approximately 70 h ex- drogen, whose amount at conventional process
primary austenitic grains. The short-term tem- posure at room temperature (to eliminate the sen- of melting makes up no less than 2 to 3 104
pering or resting of quenched samples at room sitivity to delayed fracture) quenched samples at.%. The lattice solubility of hydrogen increases
have been hydrogenated by the special proce- from approximately 107 at 20 C (68 F) to 4.4
temperature enhances resistance to delayed frac-
dure. 104 at.% at 860 C, (i.e., by about 3 orders
ture; therefore, its development calls for further
Subsequent tests have shown that all the char- of magnitude), as a result of heating to the aus-
hydrogenation. Within the span of more than 50
acteristics of delayed fracture of quenched tenization temperature. A reverse decrease of
years of investigations, alternate hypotheses for steelsthe threshold stress, rth, the duration of solubility in the process of the fast quenching
explaining this phenomenon have been pro- the incubation period, si, and so on, as well as results in a part of hydrogen being kept for some
posed. The structure hypothesis based on the the mechanism of fracture, are analogous with time in the oversaturated state in the -solid so-
prevailing role of residual microstresses inherent the case of delayed fracture caused by hydrogen. lution and has the increased diffusive mobility
in the untempered martensitic structure has re- Therefore, it is beyond the reason to consider and the property of localizing in the region of
ceived the most acceptance (Ref 79, 80). The that in the case of the untempered martensite maximal tensile stresses. High interior micro-
role of internal hydrogen, which is always pres- structure a certain different type of delayed frac- stresses inherent of the quenched steel structure
ent in steel as an inevitable impurity, has not ture that is not connected with the presence of make the process of the crack initiation and the
been discussed practically in the literature. hydrogen in steel takes place. The fact that the crack growth easier but are not the factors that
The phenomenon of delayed fracture of kinetics of relaxation of interior microstresses in control kinetic parameters of delayed fracture.
quenched steels has been studied in detail in Ref the process of resting at room temperature does Another interesting case is delayed fracture of
8183. Steels Fe-0.3C-Cr-Mn-Si and Fe-0.4C- not correspond to the kinetics of the change of high-strength maraging steels, which develops
Cr-Mn quenched in oil at 860 C (1580 F) have the threshold stress, rth, bears witness to this over the certain temperature interval of aging
been chosen as objects of investigation. The pro- also. Judging by the change of the interior fric- 400460 C (Ref 85). The development of de-
layed fracture in these steels requires no special
hydrogenation. Therefore, within a long period
of time this phenomenon was also connected
80
only with the peculiarities of the structure state
forming at indicated aging temperatures. Fur-
3 thermore, this problem is urgent because aging
60
in the indicated interval provides for obtaining
the maximum elastic limit of steel. However,
, %
40 owing to the low resistance to delayed fracture,

1 this mode of aging usually is not practiced. An
20 analysis of data in hand has shown that the key
question in explaining the phenomenon of de-
2 layed fracture of maraging steels is a question on
0 the role of the testing environment (air, vacuum)
2500 as well as the role of titanium (Ref 85).
3 The investigations have been carried out with
2000 steels Fe-16Ni-10W-Mo-Ti and Fe-18Ni-9Co-
5Mo-Ti (Ref 86, 87). The tests have been per-
B, MPa
1500
formed under static loading at the reduced rate
2
of e 2.8 105 s1. Dependencies of the me-
1 chanical properties of steel Fe-18Ni-9Co-5Mo-
1000 Ti on the aging temperature when testing in the
air and in vacuum are presented in Fig. 10. A
500 crevasse in curves of the change of mechanical
340 380 420 460 500 540 properties on tests in the air (curves 1,1) cor-
T, C responds to the aging temperature of 420 to 460
C. Plastic properties of steels in this range come
Fig. 9 Nucleating grain boundary crack revealed at the Fig. 10 Influence of testing media on delayed failure of
top of the stress concentrator on testings of steel Fe-18Ni-9Co-5Mo-Ti. 1,1 testings in the
practically to the zero level. An effect of delayed
quenched steel Fe-0.3C-Cr-Mn-Si for delayed failure. air, u 4045%; 2.2, the same, u 6570%; 3,3, fracture for steel Fe-16Ni-Mo-10W-Ti is ob-
1100. Source: Ref 81 vacuum testings, P 1.3 Pa. Source: Ref 86 served within a more narrow temperature inter-
val at 420 C. On testing in vacuum (residual results in the deterioration of plasticity and the metallics). Since the process of hydride linking
pressure of 1.3 Pa) the indexes of mechanical reduction of the tensile strength by 30% (curves of the Ti-H type in the air is practically excluded
properties abruptly increase (curves 3,3). An ef- 1,1, 2,2). Thus, tests have been carried out in (titanium, by virtue of its enhanced activity, in
fect of the delayed fracture elimination is due to the air-dried chamber, for which purpose the spe- its interaction with oxygen and moisture in the
the change of the crack-initiation mechanism. cial procedure has been devised. On testing in air forms first of all the hardly permeable oxide
On testing in the air the brittle grain-boundary the air-dried atmosphere (u 0.04%) plastic phase TiO2), the conclusion has been drawn that
fracture occurs, on vacuum testing the viscous and strength properties of steel Fe-18Ni-9Co- titanium hydrides are formed on inner interfaces
inter-granular fracture takes place (Fig. 11). In 5Mo-Ti come to such a degree that corresponds (grain boundaries). In other words, the TiHx for-
the study of the titanium influence it has been tests in vacuum (i.e., the effect of delayed frac- mation occurs in the zone of tensile stresses
found that the influence of the testing environ- ture disappears). This means that the structure ahead of the crack top as diffusive-mobile hy-
drogen enters there.
ment takes place only with a definite content of state formed on aging within the interval of 400
According to the mechanism suggested (Ref
titanium in steel exceeding 0.5%. When titanium to 460 C possesses the increased sensitivity to
86), the process of grain boundary embrittlement
content is 0.5%, mechanical properties tests in the presence of water vapors in the air environ- includes the following successive stages: adsorp-
the air and vacuum tests do not practically differ mentthat is, delayed fracture of high-strength tion of atmospheric moisture at the metal sur-
from one another (i.e., delayed fracture does not maraging steels is caused by the effect of at- face, oxidation of the most electronegative steel
develop). mospheric moisture adsorbed on a surface. components (iron atoms), transport of H3O
It has been found also that resistance to de- Investigations of grain boundaries of fractured ions in the film of adsorbed water toward the top
layed fracture depends on moisture of the envi- samples by x-ray electron spectroscopy have (mouth) of the growing crack, formation of
ronmental atmosphere (the laboratory air), shown that on the grain boundaries there are hy- atomic hydrogen H0ads on the freshly formed sur-
namely, on a season in the course of which tests drides, first of all, titanium hydrides, TiHx, apart face by cathodic reduction of H3O ions on
are carried out. The figure shows that an increase from apparent components (segregations of al- nickel atoms, transition of atomic hydrogen
of relative humidity (from 4045% to 6570%) loying elements, oxides, hydroxides, and inter- H0ads into the absorbed state and subsequent dif-
fusion of hydrogen to the tension-stressed zone
ahead of the crack top, and embrittlement of
grain boundaries due to both the formation of
titanium hydrides and segregations of hydrogen
solutes ahead of the crack top. Thus, the final
stage of the process is the formation of diffusive-
mobile hydrogen, which causes embrittlement
owing to both the formation of titanium hy-
drides, TiHx, and the direct action (decohesion).
This is the main difference of the studied type of
brittleness from the delayed failure of the
quenched steel, which is caused by internal dif-
fusive-mobile hydrogen formed in the process of
steel heat treatment.
The mechanism of the crack growth, which
illustrates the sequence of stages under consid-
eration is represented schematically in Fig. 12
(Ref 87). The formation of titanium hydrides in
the crystal lattice is attended with the consider-
able volume effect, which is about 3 times higher
than for the martensite transformation in steel.
Besides, hydrides favor the crack growth owing
Fig. 11 Mechanism of failure of steel Fe-16Ni-10W-Mo-Ti at crack initiation stage (aging at temperature of 420 C). to the reduced strength of the hydride-matrix in-
(a) Testings in the air. (b) Vacuum testings (P 1.3 Pa). 1050. Courtesy of A.I. Kovalev
terface (Ref 28). Atomic hydrogen H0ads formed
in the crystal lattice is ionized producing ions
H and H, which quantitative ratio, on data
given in Ref 88, makes up 1:9, approximately.
+ 102 ~10 The rate of diffusion of ionized hydrogen is 1 to
+
H3O H2O H3O H2O
Air 2 orders of magnitude higher than that of atomic
hydrogen. According to data obtained by the
Ni3Ti method of the secondary ion mass-spectrometry
Oxide-hydroxide layer 10-20 0
Hads (Ref 88, 89) more mobile ions H, which serve
P P P P as main carriers of diffusive-mobile hydrogen in
metal, are responsible for the formation of the
Grain 1 Grain 2 Grain 1 Grain 2 hydride phase and the process of embrittlement
of the grain boundaries. Ion H possesses the
Ti segregation Habs lesser mobility in the crystal lattice, and its con-
Ni3Ti Oxygenless zone TiHx tribution to the embrittlement is not so consid-
erable essential.
Grain boundary
In Ref 90 and 91, delayed failure of high-alloy
Grain boundary steel Fe-24Cr-7Ni-3Mo-Al-Ti containing no
(a) (b)
martensitic structure has been studied. This steel
Mechanism of the crack growth on delayed failure of maraging steel. (a) Stage before crack initiation. (b) Stage displays the enhanced sensitivity to delayed fail-
Fig. 12 ure in the so-called newly-smelted state (i.e.,
of crack growth. Source: Ref 87
under the effect of metallurgical hydrogen de- shipbuilding, and other branches of industry, and region of cracking by the HISCC mechanism has
termining the role of which in the development accounts for approximately 30% of material no clearly defined boundaries and extends from
of delayed failure is of great practical impor- damage caused by corrosion. The most danger- the potential of free corrosion to the potential of
tance). The studied steel structure is embrittled ous media that can cause SCC under the certain cathodic protection (Ref 94).
d-ferrite with austenite c-phase interlayers uni- conditions have been established for most steel The mechanism of part cracking presupposes
formly distributed in it. Unlike the cases dis- classes used. The greatest body of information the accelerated metal dissolution, which is con-
cussed previously, the initiation and the crack accumulated to date refers to high-alloy steels, sidered to be connected with the local disruption
growth in the structure under study occur in ac- in part, to corrosion-resistant steels with austen- of passivity at the crack top i.e., with the protec-
cordance with a transgranular mechanism, with itic structure. Stress-corrosion cracking of low- tive film breakdown and occurrence of the newly
defects of the cast structure (pores) of 20 mkm alloy steels has been studied least, although such formed (juvenile) surface. The mechanism of
in size being the source of fracture. As evident steels, especially in the high-strength state, have HISCC involves the following main reactions:
from the registration of the acoustic emission, an enhanced tendency to corrosion-mechanical discharge of hydrogen H3O ions from water
the crack grows according to the mechanism of fracture. Low-alloy steel cracking can occur un- solution onto the steel surface, the transport of
the discrete (stepwise) growth of separate sites der the action of various actuating media includ- hydrogen to the region of the elevated stress con-
of the crack front followed by the stop at viscous ing solutions of acids, nitrates, alkali, and sul- centration ahead of the crack top, and the crack
sites (austenitic inter-layers). According to ob- phur-hydrogeneous media as well. The low propagation caused by the local hydrogen em-
servations, the resistance to delayed fracture de- resistance of high-strength steels to SCC makes brittlement. The concrete mechanism of the hy-
pends on the period of the natural recreation after itself evident even in such, at first sight, undan- drogen embrittlement depends on the structure
smelting. Within the span of 4 years the metal- gerous media as pure water, moist air, and water and properties of steel, the loading conditions
lurgical hydrogen content drops from approxi- vapors (Ref 92, 93). and the ability of a medium to hydrogenation
mately 18 104 to 6 104 at.%, and it is One of the characteristic peculiarities of SCC (Ref 94).
a limiting one at which the development of de- is a pronounced selectivity of a material relative Whatever the mechanism of corrosive-me-
layed fracture is still possible. to a corrosion medium. Therefore, the results of chanical fracture is, the three stages of the pro-
The object under study is of interest as far as one metal-medium system investigation can- cess are distinguished: incipient defects (micro-
it allows the different mechanisms of the em- not be extended to another system. Besides, the cracks) formation, microcracks growth, and fast
brittlement of grain boundaries or their volume noncorrodive media, in common conception of fracture as soon as the main crack reaches the
to be realized. The thermal treatment has been this term, may appear to be the most aggressive critical size. Both metallurgical defects of the
carried out under operating conditions including ones, because the corrosion cracking process is surface and defects of corrosion origin may pre-
the high-temperature preheating to 1250 C actively developing in them under the effect of sent as incipient defects (Ref 93). In the SCC
(2282 F) for obtaining the one-phase structure tensile stresses. Another interesting peculiarity theory, particular attention is given to the pro-
of d-ferrite and postaging (annealing) at different lies in a usual insensitivity of high-pure metals, cesses proceeding in the crack top, which are
temperatures. The hydrogen content in thermally including iron, to SCC in any environment. The much different from the processes proceeding on
treated samples does not exceed 1.4 104 susceptibility of iron to cracking under the effect the surface. In particular, an important role is
at.%. Annealing at 680 C (1256 F) makes it of stresses appears only in the presence of intro- given to the newly formed (juvenile) surface,
possible to obtain the brittle fracture along the duction impurities, namely, carbon and nitrogen. which appears either under the effect of the ex-
grain boundaries, which, on data of the auger The response to the cold plastic deformation is ternal loading or in the process of APC. All the
spectroscopy, arises from the segregation of sul- also intriguing. Unlike austenitic corrosion-re- particular SCC reactions, namely, APC, cathode
fur and phosphor impurities. After the 850 C sistant steels, the cold plastic deformation of car- precipitation of hydrogen, its absorption, and so
(1562 F) annealing on the grain boundaries of bon steels makes them relatively insensitive to on, are sharply speeded up on such a surface. The
ferrite, the abundant precipitation of embrittling SCC. Annealing of the cold-deformed 0.15% C- newly formed surface possesses a more negative
r-phase responsible for the quasi-brittle grain containing steel at 600 C (1112 F) restores this potential compared with both the previous sur-
boundary fracture takes place. Aging at 440 C sensitivity to the level of nondeformed steel (Ref face and the passivated surface of crack edges.
(824 F) makes it possible to obtain the brittle 70). It is suggested that in the corrosion crack there
intergranular fracture in accordance with the Peculiarities of Crack Initiation and is a local galvanopair of the newly formed sur-
transgranular mechanism. Growth Mechanism under SCC. The mecha- face-crack edges surface type that contributes to
The tests performed on embrittled samples nism of initiation and growth of cracks under the accelerated selective crack propagation (Ref
have once again favored the view that structure SCC depends on the steel structure, the value of 95).
factors bringing about the embrittlement of the applied stresses, and the testing medium. Frac- Criteria and Methods of Estimating Sensi-
grain boundaries or their volume cannot in them- ture along the primary austenitic grain bound- tivity to SCC. A great body of different criteria,
selves result in the development of delayed frac- aries is the most dangerous from the standpoint namely, mechanical, electrochemical, physical,
and so on, has been suggested to estimate the
ture. As is obvious from this data obtained from of loss in corrosion-mechanical strength. Carbon
sensitivity of steels to SCC (Ref 92). All the
steels with the different structures, the develop- steels, as well as many of the low-alloy steels,
known methods of corrosion-mechanical test-
ment of delayed fracture is only possible with fail in alkaline, nitrate, phosphate, carbonate so-
ings can be divided into three main groups:
the participation of diffusive-mobile hydrogen lutions, and also in aqueous acid solutions by
independently of the source of its origination, such a mechanism (Ref 75). Depending which Testings under constant external load (P
namely on quenching, smelting, from atmo- reaction controls the cracking processelectro- constant)
spheric moisture, and so on. chemical, anodic, or cathodictwo main SCC Testings under constant strain (e constant)
mechanisms are differentiated: the active-part Testings at the constant load rate (e, v con-
corrosion (APC) or the hydrogen-induced cor- stant).
Stress-Corrosion Cracking of Low- rosion cracking (HISCC). Kinetics of the anode- Samples without a notch, with a notch, and with
Alloy Steels type cracking is determined largely by the con- the precreated fatigue crack can be used in each
ditions of passivation (i.e., by the peculiarities of of these above-stated methods.
Stress-corrosion cracking (SCC) is a specific the protection corrosion films formation and by The service conditions are best reproduced by
type of delayed fracture that develops under the their properties). This is reflected in the fact that corrosion-mechanical testings under constant ex-
concurrent action of tensile stresses and the cor- the region of danger of the given type of SCC ternal load. In this case, as the crack initiates and
rosion medium. The given type of fracture oc- corresponds to the so-called active-passive re- grows, the stress rises in the rest part of a sample
curs in chemical, gas-oil producing, metallurgic, gion of potentials in the polarization curves. The that contributes to the development of fracture.
By analogy with delayed fracture (see the section The most reliable values of KISCC are obtained Information on the effect of alloying elements
Delayed Fracture in Steels), the sensitivity to on the basis of standard kinetic cracking resis- on mechanisms of the crack growth in different
SCC is characterized by the time till a crack ini- tance diagrams analogous to that represented in corrosion media is necessary to develop suc-
tiation, si, durability till complete failure, s, and Fig. 3. The plateau-figurative regions in kinetic cessfully new grades of steels with an enhanced
the value of the threshold stress, rth. Unlike de- diagrams are connected with the branching and resistance to corrosion cracking. For lack of this
layed fracture, it often occurs that dependencies, blunting of a crack. If relative resistance of ma- information, the empirical data are usually used
s f (r), are not brought out onto the plateau, terials to the action of corrosion media is to be which are often contradictory. The findings on
when testings for corrosion cracking are per- determined quickly, the SSRT method has an ad- the individual and combined effects of 27 alloy-
formed (i.e., there is no threshold stress). The vantage over the constant load testing method for ing elements and impurities on the resistance to
conventional threshold stress, rth, which should determining KISCC, although it is considered the SCC of iron and low-alloy steels, including high-
be determined in this case, is determined at the basic one. The fact of the SSRT method high strength steels, have been generalized in Ref
specified (base) duration of testings. The dura- efficiency is evidenced by the data of many sci- 108. The effect of elements depending on the
tion of the incubation period si during which the entists. The console samples made of Fe-0.3C- medium (aqueous solutions of chlorides, ni-
crack initiation occurs takes usually 80 to 90% 2Ni-Cr-Mn-Si steel, for example, have been trates, carbonates, alkali, hydrogen sulfide, etc.),
of the whole time prior to fracture (s) (Ref 96). tested in the NaCl 3.5% solution (Ref 103). The the temperature, the electrode potential, and the
Testings under constant (fixed) strain are usu- values of KISCC obtained at a constant rate of load pH value have been considered. The following
ally carried out according to the scheme of three- and on standard testing (under constant load)
elements have been analyzed: N, Al, B, V, H,
or four-point bending of samples fixed in the have turned out practically to be equal to 11.69
Ge, Ca, O, Co, Si, La, Mn, Cu, Mo, As, Ni, Nb,
rigid attachment. On such testings the external and 1196 MPa m1 / 2, respectively. To choose the
Sn, Pb, S, Sb, Ti, C, P, Cr, Ce, Zn. It has been
load is reduced gradually because of the crack proper load rate is of great importance in this
formation and the residual bending strain accu- case. At the high load rate the corrosion process shown that the majority of these elements, es-
mulation. Testing under constant strain render has no time to produce changes at the crack top; pecially in the case of combined alloying, am-
well the cracking processes in the material struc- at low rate, on the contrary, the passivation pro- biguously affects resistance to SCC. The same
ture that develop under the action of residual cess develops at the crack top, thus preventing element can have both a positive and negative
stresses. from corrosion cracking propagation (Ref 96). effect depending on the corrosion medium. Sil-
Tests at constant load rate are mainly per- The linear mechanics of fracture are unsuited icon, for example, enhances steel resistance to
formed by the slow strain rate testing procedure for high-ductility steels. In this case, resistance cracking in nitrate solutions but reduces it in al-
(SSRT). In this case the resistance of a material to crack growth is characterized by the value of kali ones. However, the previously listed ele-
to cracking is characterized by the value of ten- the J-integral, in particular, its threshold value, ments can be divided arbitrarily into four main
sile strength in the corrosion medium, character- JISCC. A tendency to corrosion-mechanical groups: those that enhance the resistance to SCC
istics of plasticity, W, d, the critical fracture cracking is estimated also by electrochemical pa- (Ti, Nb, Mo, Al, Co, Cu, Pb, B, Ce, Ca, La),
stress, r*, and the area below the strain curve, r rameters, namely, by the critical value of the hy- those that reduce it (N, O, H, S, P, V, Sb, Cr,
e, characterizing the fracture work. With the drogen index of the medium pH, the electrode Mn, Ge), elements of the alternating effect (C,
plasticity characteristics taken into accounts, the potential, E and the density of anodic current at Si, Ni), and neutral ones (Sn, As, Zn).
relative (as compared to the air) sensitivity of a which the cracking process begins. When testing The characteristic properties of distribution of
material to corrosion cracking is determined. the carbon steel in the 3% solution of NaCl, elements and impurities in the steel structure are
Used as criteria in this case are the so-called co- strong jumps of the electrode potential (300 of great importance. Segregations of sulphur and
efficients of medium effect of the (W0 W1)/ mV) and the anodic current at the moment of a phosphor impurities, for example, change the
W0 type, where W0 and W1 are the relative nar- crack propagation have been detected (Ref 104). electrochemical characteristics of the grain
rowing on testings in the air and in the corrosion This effect is connected with revealing the ju- boundaries and initiate fracture by the local parth
medium, respectively. The strain rate e with the venile surface, which has an enhanced electro- corrosion mechanism (Ref 108). Steels produced
use of the SSRT method is usually selected chemical activity and it can also be taken as one by vacuum melting possess the enhanced resis-
within the range of 104 to 106 sec1. of criteria for the sensitivity of steels to corro- tance to SCC in so far as they contain 2 to 3
When using samples with a crack, a load, the sion-mechanical fracture. The important infor- times as few detrimental impurities as standard
load line displacement, the crack length, and the mation on kinetics of SCC, especially at initial steels do (Ref 110). It has been noted that the
crack opening displacement (COD) are regis- stages of the process, can be obtained from effect of alloying elements can be judged by the
tered as per the SSRT method. For analyzing the acoustic emission measurements (Ref 105107). mechanism of fracture. Elements with a positive
test results, the criteria of fracture mechanics are Effect of Alloying Elements on Resistance effect assist in realizing the transgranular mech-
used. The threshold (critical) stress-intensity fac- to SCC. The effect of most alloying elements on anism of the crack growth. Those that have a
tor, KISCC, which makes it possible to estimate steel resistance to SCC depends on their concen- negative effect cause cracking along the grain
quantitatively the steel resistance to cracking in tration, the presence of other alloying elements,
boundaries. The effect of the chemical compo-
the corrosion medium is taken as the main cri- impurities, the corrosion medium content, the
sition may manifest itself indirectly, namely,
terion. The value of KISCC corresponds to the be- value of electrode potential, and other factors
through the change of the structure and mechan-
ginning of the crack growth before the critical (Ref 108). For high-alloy austenitic steels there
value (Ref 97). It is apparent that if K1 KISCC is a certain relationship between the effect of an ical properties of the steel. Therefore, the ther-
or r rth, the fracture of the construction ele- element and its position in the periodic system. mal processing can drastically change degree
ment inevitably takes place. When the criterion The analogous relationship is not observed for and even the direction of some alloying elements
KISCC is used, the sensitivity of material to the low-alloy steels (Ref 109). The theory of alloy- effect.
action of the corrosion medium is characterized ing that makes it possible to predict the resis- Role of Structure and Thermal Processing
by the ratio KISCC /KIC, where KIC is the stress- tance of low-alloy steels to SCC in different me- in the SCC Process. The basic parameters of the
intensity factor when testing in the air (plane- dia also has not been developed. Hypotheses SCC, namely, the threshold stress, rth, corrosion
strain fracture toughness) (Ref 98100). In all suggested provide, as a rule, an explanation for crack-toughness, KISCC, the crack growth rate,
the schemes of testings the maximum length of the role of alloying elements by only one of and so on, depend to a great extent on the fol-
a crack resulting in fracture, the crack growth some factors, namely, effect on strength of in- lowing structure factors: phase composition,
rate, the number of cracks per unit surface, etc., teratomic bonds, the rate of forming protective austenite grain size, state of grain boundaries,
can be used as characteristics of a material (Ref films, the effect on the carbon distribution in and nature and amount of nonmetallic impurities
101, 102). steel, and so on (Ref 108). (Ref 111). Figure 13 shows that the crack-tough-
ness reaches its peak values KISCC in high- KISCC and KIC in the case of high-strength com- tive (Ref 111). The local electrochemical corro-
tempered steels. In the region of high-strength bined-alloy steels (when testing in the NaCl sion processes developing in the corrosive me-
states realized at low tempering, the parameter 3.5% solution), holds promise (Ref 117). dium around the impurities, resulting in
KISCC takes quite low values not exceeding 20 Quenching from the intercritical temperature in- inevitable formation of aggressive medium-filled
MPa m1 / 2. terval can also be profitable. The formation of microcavities. The role of MnS impurities in the
As for steels of mean and low strength, the the ferritic-martensitic structure as the result of course of corrosion-mechanical failure of the Fe-
structures of fine-grain ferrite, martensite, and quenching from the intercritical temperature in- 0.2C-Cr-Ni-Mo type reactor steel intended for
bainite possess the best properties. The spher- terval (740 C, or 1364 F) makes it possible to the production of high-pressure containers was
oidized structure with uniformly distributed fine- enhance vastly the resistance of steel Fe-0.5C- studied in (Ref 125). The suggested mechanism
grain carbides possesses somewhat worse prop- Cr-Mo to the hydrogen SCC in salt water (Ref of initiation and growth of cracks includes, as
erties, and the lamellated pearlite structure 118). The two-stage austenitization (high-tem- the first stage, the appearance of a slot between
possesses the worst ones (Ref 112). There is also perature conventional one) forms a toothed an impurity and a matrix owing to dissolving
evidence that compound structures, for example, structure of grain boundaries, which also inhibits MnS in the electrolyte. Atomic hydrogen is ad-
consisting of fine-grain ferrite and bainite the grain boundary failure by enhancing the re- sorbed at crack lateral surfaces, following which
wherein the intergranular ductile mechanism of sistance to SCC. it diffuses into the metal toward the crack top
failure is realized (Ref 113, 114) show the high- The effect of grain size on the resistance of and causes local cracking.
est resistance to SCC. For the steel Fe-0.3C-Mn- steels to SCC is then ambiguous. In many works In acid media sulfide impurities dissolve and
Si-Ni with the compound structure of martensite it was pointed out that the finer the austenitic yield H2S that greatly reduces the resistance to
lower bainite, the value KISCC in the NaCl grain, the higher resistance to SCC is observed. SCC (Ref 126). Dissolution products of some
3.5% solutions is 21 MPa m1 / 2. In the case of For example, on the data given in Ref 119 and impurities enhance the adjacent metal corrosion
the martensitic structure this index is reduced by 120 the time before failure in the NaCl 3.5% that also promotes the cracking process. The en-
half (i.e., steel with this structure possesses the solution increases by 2 to 3 orders of magnitude hancement of cracking in dissolving nonmetallic
much lower resistance to SCC) (Ref 115). with decreasing the austenite grain in the steel impurities is supported by the data given in Ref
The positive role of residual austenite is ob- Fe-0.4C-Cr-Ni-Mo from 172 to 12 mkm in size. 127 devoted to the study of SCC of the Fe-0.2C-
served frequently. In the scope of the SCC model However, there is other evidence. For example, Mn-Ni-Mo steel in the medium intended for
by the hydrogen embrittlement mechanism this overheating in the process of the austenitization cooling atomic reactors. As the medium has been
derives from the fact that the saturability of aus- of the high-strength steel Fe-0.45C-2Ni-Cr-Mo- contaminated by dissolution products, the MnS
tenite with hydrogen is essentially higher, and V favors a great increase of KISCC when testing samples have broken down due to the develop-
the hydrogen diffusion factor is three to four or- in distilled water (Ref 121). The high-tempera- ment of the corrosion cracking process, whereas
ders of magnitude lower than that in the marten- ture austenitization is most profitable for cast in the medium free of the corrosion products, this
site structure. Cracks propagating in martensitic steels in so far as they are less prone to the grain process has not occurred. At the same time, as
slow down in the region bordering hydrogen-re- growth as compared to hot-strained steels (Ref shown in Ref 128, with cathode deposits present,
sistant austenite. However, with the insufficient 122). Unlike quenching, the overheating in nor- the SCC process of pipe steels of Fe-0.1C-2Mn-
stability of residual austenite its negative effect malizing, as a rule, has a negative effect, espe- Si-V-Nb and Fe-0.1C-2Mn-Si-V, and so on type,
is a possibility. In this case, as residual austenite cially in the case of low-alloy steels containing which have been chosen from zones of main
is turned to martensite under deformation at the manganese and vanadium (Ref 123). pipeline failure cannot be explained in the con-
crack top, the resistance to SCC reduces (Ref The problem on the effect of initial structure text of the suggested model of the sulphide im-
116). is of great importance. It is found that, compared purity dissolution (Ref 128). On authors data,
The use of high-temperature thermo-mechan- with hot-strained steels, cast steels have higher the negative effect of sulphides is connected
ical processing which raises both the parameters values of the corrosion cracking resistance, al- mainly with their role as concentrators of inter-
though standard mechanical properties of cast nal stresses (Ref 129). Nonetheless, in spite of
steels are much lower (Ref 122). Studied in Ref distinctions between interpretations, it is be-
100 124 is the effect of different methods of melting lieved that the enhancement of the corrosion-me-
(an electric furnace, an arc-vacuum furnace, a chanical steel strength can be attained by reduc-
1 vacuum induction furnace, electroslag remelt) ing the nonmetallic impurity content that is
2 and their combinations on the corrosion me- achieved in part by rational deoxidizing and by
80 3
4
chanical properties of maraging steel. It has been modifying the steels by the addition of rare-earth
5 shown that combined methods of melting make and alkaline-earth elements.
KISCC, MPa m1/2
6 it possible to increase considerably (by 25%) Stress Corrosion Cracking of Steels for
60 7 KISCC when testing in the NaCl 3% solution. The Main Gas-Pipe Lines. In many countries,
analogous data have been obtained in work (Ref namely, the United States, Canada, Australia,
110). Commercial Fe-0.4C-2Ni-Cr-Mo and Fe- and Russia, there are recorded emergency fail-
40 0.4C-2Ni-Cr-Mo-Si steels that have been melted ures of subterranean buried gas-pipe lines be-
in the air and vacuum were tested in the chloride cause of pipe steels SCC (Ref 130, 131). The
medium at K 0.9KI. Vacuum-melted steels summary data displaying the time of trouble-free
20 possessed the enhanced SCC resistance, whereas operation of main gas-pipe lines used by three
in air-melted steels, cracks developed practically major Russian companies are given in Fig. 14.
at once. Pipes of different diameter (1020, 1220, 1420
In corrosion-mechanical steel failure one of mm) and different chemical composition have
0
1000 1400 1800 the key problems is the problem of nonmetallic been analyzed. It has been found out that pipes
B, MPa impurities. In this case, both morphological put into service from 1967 to 1980 have the re-
characteristics of impurities (the quantity, form, sistance to SCC much higher than those which
Fig. 13 Strength level effect of steels Fe-0.3C-2Ni-Cr- sizes, and distribution) and their chemical activ- have been laid recently in a period from 1981 to
Mn-Si (1,2,3), Fe-0.4C-Cr-Ni-Mn (4,5), and Fe- ity in the given corrosion medium are of impor- 1989. The time of safe service of the former is
0.3C-Cr-Mn-Si (6,7) on value of threshold stress-intensity
factor KISCC in corrosion medium. 1,4,6,8, tests in water;
tance. The impurities of sulphides, silicates, and from 9 to 23 years, that of the latter is only from
2,5,7, tests in H2S solution; 3, tests in gaseous H2S. Source: oxides as well, which play the main role in the 2 to 14 years. It is significant that all the short-
Ref 93 process of the crack initiation, are the most ac- lived pipes have been fabricated from steels of
Residual Stress in the Forming of Materials / 149
tages of radial forging are smooth surface finish, the front part of the workpiece and increased erty Relationship of High C Steel Wires,
considerable material or weight saving, preferred along the axial direction to the maximum stress unpublished technical report, University of
fiber structure, minimum notch effect, and in- (300 MPa, or 45 ksi) at the rear part of the work- Toronto
creased material strength. Components pro- piece. However, the inner-surface stresses con- 4. T. Mura, Micro-Mechanics of Defects in
cessed by radial forging generally have higher sisted mostly of compressive residual stresses, Solids, Martinus Nihoff, The Hague, 1982
residual stresses and thus undergo some deflec- with only small tensile stresses at the front part 5. W.F. Hosford and R.M. Caddell, Metal
tions after forging. The residual stress distribu- of the workpiece. Figure 22 shows the residual Forming, Prentice Hall, 1993
tion in high-strength metal is of great importance stresses as a function of workpiece thickness. 6. J. Gerhardt and A.E. Tekkaya, Advanced
since its presence, if above a particular level, can The axial stresses varied greatly between the in- Technology of Plasticity, Vol II, Springer-
shorten the service life of critical components ner and outer surfaces, but the radial and hoop Verlag, 1987, p 841
used under severe conditions. stresses did not change significantly with thick- 7. J. Gerhardt and A.E. Tekkaya, in Residual
A hollow shaft is an example of a common ness. The maximum tensile stress occurred at the Stress in Science and Technology, E. Mach-
machine element manufactured by radial forg- outer surface of the workpiece along the axial erauch and V. Hauk, Ed., DGM Informa-
direction. tionsgesellschaft, 1987, p 875
ing. A radial forging die is shown schematically
8. A. Skolyszewski, J. Luksza, and M. Packo,
in Fig. 19. The residual stress distribution in a J. Mater. Process. Technol., Vol 60, 1996,
steel tube (MIL-S-1195) produced by cold forg- p 155160
ing has been simulated using a three-dimen- REFERENCES
9. C. Genzel, W. Wreimers, R. Malek, and K.
sional FEM model (Ref 12). The forging ge- Pohlandt, Mater. Sci. Eng., Vol 205A, 1996,
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Figures 20 and 21, respectively, show the stress working Processes, Edward Arnold Ltd., 10. C.C. Weng and T. Pekoz, J. Struct. Eng.,
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along the axial direction, from which it can be 2. E.P. Riley-Gledhill, Recent Development in 11. K. Saito and Y. Shimahashi, in Metal Form-
seen that the outer surface was dominated by ten- Wire Making, Steel Times, Vol 214 (No. 1), ing Plasticity Symposium, H. Lippman, Ed.,
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rear part of the workpiece. The axial stresses ex- 3. B. Gong and Z. Wang, Investigation of 12. D.Y. Jang and J.H. Liou, J. Mater. Process.
perienced a minimum (48 MPa, or 7 ksi) at Cold-Drawing ProcessMechanical Prop- Technol., Vol 74, 1998, p 7482
Those additions in steel have dissimilar influ- streaks. Sulfide streaks have S:Fe:Mn ratio of heat-hardenable steel (0.4% C, 1.0% Cr, 0.37%
ence on the resistance to different kinds of frac- 2:1:1, which comply with the formula (FeMn)S; Mo, Fe-bal) to hydrogen-sulfide cracking, and it
ture. If its content does not exceed an optimal their thickness is 10 to 15 nm, and they are has been shown that increasing its content from
value (Table 1), resistance to all kinds of brittle- mainly located at the boundaries of original aus- 0.009 to 0.06% lowers the threshold stress from
ness increases (Ref 143). At higher contents, the tenite grains (Ref 149). The sulfide-matrix inter- 518 MPa (75 ksi) to 140 MPa (20 ksi). Such an
resistance of steel to hydrogen is increased, but faces are sites for the accumulation of diffusion- effect of phosphorus is attributed, first, to the fact
it is reduced to other kinds of brittle fracture. mobile hydrogen atoms, which at subsequent that it activates the hydrogen absorption process
Carbide-non-forming elements affect steel re- stages cause hydrogen blistering in low-alloy and, second, that it changes the shape and dis-
sistance to a ductile, brittle, and intergranular ferritic-pearlitic steels due to hydrogen mole- tribution of carbides. Phosphorus or manganese
fracture. Addition of 0.1 % Si, Mn, Co or Al in cules formation from its ions and greater (than segregation can be formed at a pearlite band in
a solid solution of an improved engineering steel the yield strength) planar pressure. Under load- low-alloy steels (Ref 154). Such formation
reduces its fracture resistance; the transition tem- ing conditions the hydrogen also will accumulate causes structural changes, an increase of steel
perature, T50 rising by 5; and the impact strength at the sulfide-matrix boundaries and other sites occlusive capacity by 2 times, and a decrease of
at decreasing by 0.07MJ/m2. Nickel is an excep- where there is a high stress level and will cause the time for failure under load in a hydrogenating
tion; 0.1% of it makes T50 lower by 4 to 10. sulfide stress cracking, which is characteristic medium by 2 times.
Similarly, these elements influence hydrogen re- both to mild and alloy high-strength steels (Ref The adverse effect of phosphorus on steel re-
sistance of steel. Thus, manganese, aluminum, 150, 151). Shape modification of sulfide inclu- sistance to brittle fracture is comparable with the
silicon, and cobalt decrease the time for failure, sions from plate-like to globular lowers the sen- favorable effect of nickel and molybdenum:
st, and increase the loss of plasticity, Fw, under sitivity of steels to hydrogen cracking, since the Each 0.01% lowering of phosphorus content in
hydrogenation. Nickel increases steel resistance globules are less favorable to hydrogen accu- steel is equivalent, in its influence on the T50
to hydrogen. mulation than plates are. Calcium and rare-earth level, to steel alloying with 1% nickel or 0.1%
Thus, when these elements are added in a solid metals are suitable for shape modification of in- of molybdenum.
solution, the direct dependence between the hy- clusions (Ref 152). Antimony and Tin. The resistance of engi-
drogen and brittleness resistance characteristics, Thus, the nonmetallic inclusions, especially neering steels to brittle fracture depends, to a
T50, ac, is observed. sulfides, enhance accumulation of hydrogen in large extent, on its cleanliness with regard to an-
Impurities such as sulfur, phosphorus, anti- steels and increase the susceptibility of steels to timony and tin impurities. These impurities are
mony, tin, and other elements have great influ- hydrogen embrittlement. Therefore, in order to brought into steel in considerable quantities
ence on the resistance of engineering steels to lower the sensitivity of steels to hydrogen em- (0.010.03%) during melting when using scrap.
hydrogen embrittlement. Their action is mani- brittlement, it is necessary to decrease the sulfur Both elements increase the cold-shortness
fested via weakening of grain-boundary binding content in them and to modify the shape and type threshold and lower the impact strength level
(temper-embrittlement processes) and via non- of sulfide inclusions. (Ref 155). The degree of its influence may vary
metallic inclusions formation. According to ex- Sulfur, therefore, is a harmful impurity in with the steel alloying system to a great extent.
isting opinions (Ref 144), loaded grain junctions steels, lowering their resistance to fracture and In low-alloy steels with ferritic-pearlitic struc-
can be zones for the origination of three-axial hydrogen embrittlement. In mild steels with fer- ture, the addition of antimony, which is a more
stress state. These grain junctions are energeti- ritic-pearlitic structure, the sulfur, forming man- electro-positive noble element than iron, im-
cally preferable for the accumulation of hydro- ganese sulfides of plate-like shape (stringers), proves the corrosion resistance in hydrochloric
gen atoms having a low chemical potential enhances hydrogen blistering, which is mani- and sulfuric acids, assumed to be due to a film
value. It is assumed that hydrogen decreases the fested even at 0.001% S. Sulfide (hydrogen) containing antimony forming on the steel sur-
cohesive forces between iron atoms at grain stress cracking of such steels is sharply reduced face. The surface layer inhibits penetration of hy-
boundaries (Ref 145). Segregation of impurities with the decrease of sulfur content below drogen into steel (Ref 156).
(phosphorus, antimony, tin, etc.) at boundaries 0.007%. An effective way for prevention of blis- To a greater extent, antimony and tin lower
of original austenite grains results in recurring tering and hydrogen stress cracking is modifi- the steel resistance to brittle fracture: Each ad-
temper embrittlement, which further weakens in- cation of engineering steels with rare-earth ele- ditional 0.01% Sb or Sn raises the T50 by an av-
tergranular cohesive forces. These considera- ments (0.10.3%), especially with cerium erage of 18 C (32 F). Their adverse effect in
tions have been proved by direct experiments spheroidizing sulfide inclusions. this respect is comparable with the favorable in-
(Ref 146). The results indicate that hydrogen Phosphorus, Antimony, and Tin. The adverse fluence of nickel and molybdenum.
does not interact with impurities or segregations effect of these elements on steel properties is It is possible to assume that at an antimony
at grain boundaries (i.e., the grain-boundary em- well studied. Impurities enriching grain bound- content above 0.3%, the effect of lowering steel
brittlement actions of impurities and of hydrogen aries during tempering cause reversible temper resistance to brittle and ductile fracture will pre-
mutually supplement each other). brittleness. This phenomenon has a considerable vail over the effect of lowering the quantity of
Published data indicate that steel improving effect on the level of steel resistance to fracture. absorbed hydrogen. Hence, additional alloying
with impurities and gases cleanliness enables it Phosphorus in engineering steels greatly low- with approximately 0.20 to 0.30% antimony is
to boost its fracture resistance (Ref 147). The use ers brittle and ductile fracture. Phosphorus fa- advantageous for low-alloy steels to be used in
of metallurgical refining and remelting processes cilitates steel hydrogen embrittlement by en- hydrogen-sulfide media. The associated reduc-
greatly increases hydrogen-embrittlement resis- hancing temper brittleness development and tion in the level of toughness properties is insig-
tance due to the removal of nonmetallic inclu- establishing chemical and structural heteroge- nificant as compared with the improvement in
sions from the steel, especially sulfides and neity. the resistance to hydrogen embrittlement by 2
stringer oxide inclusions (Ref 148). Quantitative relationships have been found for times.
Improving the quality of heat-hardenable en- the embrittling effect of phosphorus, tin, and an- With respect to these considerations the fol-
gineering steels (unalloyed with molybdenum timony on steel: Each 0.01% of the impurities lowing conclusions can be drawn:
and tungsten) enables them to boost by 2 to 3 increases brittle fracture temperature, T50, by 20 Antimony and tin impurities lower the resis-
times their resistance to brittle and ductile frac- to 23 C; (3641 F), decreases crack-develop- tance of structural steels to brittle and ductile
ture. ment energy, Ap, by 10 J/cm2; and increases fracture: Each 0.01% increase in antimony or
Sulfur is present in steel mainly in the form of plasticity loss value during hydrogenation by tin raises T50 of heat-hardenable steels by 18
manganese sulfides. Nonmetallic inclusions of 8%. C (32 F), and each 0.01% increase in anti-
this type are very ductile and, hence, during roll- Reference 153 describes a study on the influ- mony raises T50 of low-alloy steels by 1 to 5
ing are rolled out in the form of elongated ence of phosphorus content on the resistance of C (1.89 F).
The embrittling effect of antimony and tin is 25. H.I. Read, Hydrogen Embrittlement in 52. Y.M. Potak, Brittle Fractures of Steel and
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Deflection Methods to Estimate

Residual Stress
H.W. Walton, Consultant
NOT EVERYONE has sophisticated instru- bient temperature, the deformed volume being While air cooling after hot rolling, the plate
mentation such as x-ray or neutron diffraction restrained by the surrounding material is now surface will be cooling faster than the core ma-
readily available for the determination of resid- placed under significant elastic stress. This terial, and thermal stresses developed at this
ual stresses. Nor do they have the time or incli- would be considered macrostress and is the stage will be relaxed by the plastic deformation
nation to use these procedures for checking pro- stress most likely to cause deformation during of the low strength austenite. At lower tempera-
duction parts. Mathematical derivations such as subsequent processing. tures, transformation to ferrite and pearlite be-
the one for plate by the Treuting and Read Consider the simple example of bending a bar gins at the surface (Fig. 3), causing complex in-
method are also very time consuming (the to form a permanent set. The surface material at teractions and a variety of stress conditions.
method is described at the end of this article). the elbow or concave surface undergoes perma- Because of the relatively low yield strength of
To determine if residual stresses from prior nent plastic deformation while the inside diam- the various phases and the role of transformation
processing are the cause of uncontrollable dis- eter is undergoing compressive plastic defor- induced plasticity, the final stresses are low.
tortions during processing of thin section parts, mation. When the applied force is removed, the However, over a large surface area even low re-
it is a simple matter to slit an as-received piece underlying elastically stretched material (at the sidual stresses can have a profound effect, par-
and note the amount of deflection resulting from elbow) is now prevented from relaxing com- ticularly in the presence of large defects such as
relaxation of residual stresses, for example, the pletely. The result is that the plastically de- a lamination.
net opening of the saw cut. If no deflection oc- formed surface layers of the elbow are placed If not fixtured in a vertical position, severe
curs, then it can be safely assumed that the prob- under elastic compression by the underlying distortion of quenched flat steel sections may oc-
lem lies with the processing parameters and not elastically stretched material. The opposite is cur. This is due to differences in the cooling rate
with the material (e.g., high feeds and speeds or true for the inside diameter. It follows that if the and transformation behavior between the top and
high chucking pressures during machining, or bar is placed in service in this condition, corro- bottom surface.
surface overheating during grinding resulting sion and development of cracks are more likely In a carburized product, because of the com-
from insufficient wheel dressing). to occur at the surface of the inside diameter. positional changes causing transformation to
These simple techniques, sometimes known In general terms, if a surface undergoes per- progress from the inside out and the considerably
as dissection, are old but still very useful. How- manent plastic deformation by cold rolling, shot higher-strength case, the final residual stress pro-
ever, because slitting a component is a destruc- peening, machining, thermal processing, and so file is reversed and a beneficial high-compressive
tive method, there are limitations, particularly if on, which in turn results in the underlying ma- surface stress is developed (Ref 1). Figure 4
the component in question is large. terial being elastically stretched or compressed, shows the development of these residual stresses
This article provides a low-cost, easy method the material plastically deformed by tensile during the heat treatment of a carburized com-
of determining if residual stresses are the cause forces is left in elastic compression. Material ponent.
of component distortion during manufacture. plastically deformed by compressive forces is in It is very important to avoid heating small,
elastic tension. isolated areas on the surface of hardened steel.
The influence of nonuniform residual stress is
Residual Stress sometimes dramatically illustrated by fishtail-
ing of large hot-rolled steel plate. As the plate
To understand the type of stress that is being cools after rolling, transformational stresses are
measured, a distinction first needs to be made developed and, if an extensive central lamination
between microstresses and macrostresses ex- is present due to inadequate discard or casting
tending over large volumes. Microstresses re- problems, these stresses can cause the plate to
sulting from changes occurring at the atomic separate into two halves (Fig. 1).
level are equilibrated over very small volumes The stress distributions present before and af-
and cannot be measured by use of deflection ter the occurrence of a fishtail are shown in the
methods. Macrostresses, on the other hand, are sketch. In the as-rolled plate, tensile stresses
primarily the result of forming operations or (tv stress) on the surface are trying to contract
thermal imbalances during casting, welding, heat the surface while compressive stresses (tv
treating, and so on. stress) are trying to expand the plate core. How
If the stress induced by nonuniform cooling this stress distribution develops is illustrated in Schematic representation of fishtailing in plate
exceeds the yield strength of the material, plastic Fig. 2. After fishtailing, the two halves of the Fig. 1
steels. tv, tensile stress; tv, compressive
deformation occurs. On cooling to a uniform am- plate attain a new equilibrium stress distribution. stress
Factors Affecting Final Part Shaping

J. Pan, Shanghai Jiao Tong University, P.R. China
THE FACTORS THAT AFFECT the final The distortion of a component made of AISI distortion relates to the ratio of length to diam-
shape of components are quite complicated. 1045 steel, shown in Fig. 4, was heated at 830 eter (L/D), size, quenching condition, heating
Many resultant factors from each step of the de- C (1530 F), quenched in water for 3 s and then temperature, the composition of the steel, and so
sign and manufacture processes, besides heat quenched in oil. The external with a diameter of on. Thus, the quantity and direction of the dis-
treatment and alignment processes, have various 57 mm (2 in.) (D1) expanded by 0.17 to 0.27 tortion under various conditions are quite differ-
influences on the final shape of the components. mm (0.0070.011 in.) and the internal diameter ent. Some examples are listed in Table 3.
Factors and the relationships between heat treat- (d1) expanded by 0.37 mm (0.015 in.) (Ref 1). For a medium-carbon cylindrical component,
ment and distortion of components are summa- The distortion of D1 and d1 obviously could be the length will increase while the diameter will
rized briefly in Fig. 1. The complexity results not reduced after quenching if the end of the com- decrease after being quenched. The distortion
only from the large number of factors but also ponent was put on a small sleeve with an external will increase with the heightening of the quench-
from complicated interactions among them. For diameter of 80 mm (3 in.), internal diameter of ing temperature (Fig. 6). The distortion is also
example, with the contents of the alloying ele- 57 mm (2 in.), and height of 30 mm (1 in.). sensitive to the ratio of L/D (Fig. 7). If the me-
ments in a steel increasing, the heat conductivity It can be seen from these examples that the dium-carbon steel cylinder has not been fully
of the steel decreases, and the difference in tem- influences of various factors affecting the final hardened, the distortion will decrease with the
perature increases in the component during heat- shape of the component sometimes superpose, increasing of the diameter (Fig. 8). The distor-
ing and cooling processes, resulting in larger dis- and sometimes offset, one another. Thus, it is tion of 1045 steel after being heated to 840 C
tortion. On the other hand, the hardenability of necessary to know every factor comprehensively (1540 F) and quenched in nitrate bath is less
the steel increases with the increase of the con- when the reasons that cause the distortion are than that in water (Table 6).
tents of alloying elements. The proper cooling analyzed and the measures of controlling distor- Carbon content greatly influences the distor-
rate can be employed in its quenching process in tion are studied. But, it is true that under various tion of cylindrical carbon steel components (Fig.
order to decrease the distortion of a component conditions, a factor plays a different role in the 9). The distortion of medium-carbon steel is
made of the steel. Another example is an eccen- distortion of a component; it can play an impor- greatest, while the distortions of both low-carbon
tric cylinder shown in Fig. 2. The distortion ten- tant role under one condition and an unimportant and high-carbon steels are relatively small. For
dency of the component is large due to its thin role under another condition. T12 steel after being quenched from 780 C
wall and asymmetry. If the component is made (1430 F) and 1015 steel after being carburized
of 45 steel and quenched in a salt solution, the and then quenched in water from 850 C (1560
tendency of distortion further increases because Influence of Shape of Component F), the length decreased and the diameter in-
of the high cooling rate. The external diameter on Heat Treatment Distortion creased.
of the component is obviously expanded after If the cooling condition is different between
quenching. The distortion of the component is Quenching Distortion of a Component the two sides of the cylindrical component dur-
very small if the component is made of 40Cr with Simple Shape. Besides the volume change ing the quenching process, there will be bending
steel and marquenched in nitrate (Table 1). caused by the phase transformation during heat deflection. The face with a higher cooling rate
When a screw plate is molded by a rolling treatment, the shape of a component will deform will protrude in a longitudinal direction due to
process, the shape of its tooth face is protruded with the functions of thermal stress and structure thermal stress, but will be concave because of
due to the influence of plastic-flow resistance of stress. The distortions of simple components transformational stress. The direction of the
the metal from which the screw plate is made. caused by these stresses are shown in Fig. 5. The bending is dependent on the relative amount of
The shape of the tooth face is concave after functions of thermal stress and structure stress thermal stress and transformational stress.
quenching if a certain method is employed to are contrary to each other, as shown in Table 2. Asymmetry. The asymmetrical axle compo-
decrease the cooling rate of the back side of the The quenching distortion of a certain component nent will experience bending deflection caused
screw plate during quenching. For example, is the result of the common effects of thermal by uneven cooling of the two sides during
when the fixture shown in Fig. 3 was used during stress and structure stress. Generally speaking, quenching. If there were only thermal stress, the
quenching, the tooth faces of the two screw the distortion of the component with simple component would protrude to the side with the
plates were concave. If a steel plate with appro- shape, uniform thickness of the wall, and good faster cooling rate when quenched. But, because
priate thickness determined by experiments is symmetry is relatively small and regular. The of transformation stress, the component pro-
placed on the back sides of the screw plates to more complex and worse the symmetry of the truded to the side with the slower cooling rate
make the cooling rate of the back sides lower shape of a component is, and the larger the dif- when quenched. The amount of final distortion
than that of the tooth faces, the cooling rate of ference in thickness of the component, the larger depends on the relative amount of these two
the back of the screw plate will be relative to the the distortion of the component will be. stresses:
cooling rate of the tooth faces. The Cylindrical Component. The length and
For a component, the asymmetry is another diameter of the component with axial symmetry The axle with keyslot (Fig. 10) is the most
factor that increases the tendency of distortion. after quenching will have a little change. The popular asymmetrical component. The influ-
Deflection Methods to Estimate Residual Stress / 91
carbon steel (e.g., electric arc discharge) may re- face during peening. Peening is continued until quench distortion is the Navy C-ring test (Ref 5
sult in a level of triaxial residual stress close to the material has reached saturation; that is, when 7). The amount of distortion (deflection) of a
the cohesive strength of the material, possibly the lift height increases by no significant amount quenched test piece is measured by the change
leading to immediate or delayed cracking. and the compressive stress in the surface layers in the gap width (Fig. 9).
Although the stress may be multidirectional, corresponds closely to the elastic limit of the
hoop stress that arises at several stages of man- steel strip (Fig. 6).
ufacture is the primary cause of many of the Consider the residual stress distribution Methods for Measuring Residual
problems. When a length of tube is parted off through the Almen strip. Deflection of the strip Stresses from Deflection Data
and slit in a longitudinal direction, any hoop occurs in order to relieve some of the high sur-
stress present tends to open the slit (Fig. 5). face compressive stress. The peened surface area Sectioning to allow relaxation of residual
Opening of the slit indicates compressive stress endeavors to expand by bowing in order to nul- stress in actual components where stresses are
in the inside diameter (ID) of the tube and tensile lify the compressive stress. The magnitude of thought to be present can be performed by sev-
stress on the outside diameter (OD). On rare oc- bowing is limited by the restraint of the remain- eral methods, from simple saw cutting to the
casions, the slit may close, indicating the reverse der of the material, and equilibrium is reached more sophisticated compliance method (Ref 8
condition. The stress is not always uniform along when the remaining compressive stress is in bal- 10). In the latter method, the residual stress pro-
the length of the tube. Stress measurements have, ance with the elastic compressive stress devel- file is calculated from the strains caused by in-
on occasions, indicated a cyclic variation corre- oped in the lower surface. The depth and inten- troducing a cut of progressively increasing depth
sponding to differences in cooling of areas in sity of the compressive layer is proportional to into the component. The strains are measured by
contact with the cooling bed cross ties. the lift height at saturation. The Almen strips are using suitably positioned strain gages cemented
Shot peening intensity is monitored by using primarily used to ensure that the process is in to the surface adjacent to the cut. The cutting is
a method developed by J.O. Almen of General control (shot condition, uniformity in applica- performed by using various techniques, how-
Motors Company. In this method, 75 mm long tion, impeller operation, etc.). A photograph of ever, electrical discharge machining is the pre-
by 18.75 mm wide (3.00 by 0.75 in.) strips of three typical strips is shown in Fig. 7. ferred method. Usually, two computer-based ap-
1070 spring steel are quenched and tempered to Metal Improvement Company, Inc., in col- proaches are used to analyze the data. These are
a deep-blue oxide finish (blue tempered) for a laboration with ENSAM, a French advanced en- the forward and inverse solution. The forward
hardness of 45 to 50 Rc and exposed on one side gineering school, has developed a software pro- solution derives the measurable strains (compli-
to the same shot intensity as the component un- gram called PeenStress (Metal Improvement ance functions) that develop from introducing a
dergoing treatment (Ref 3). Three different Co., Inc., Paramus, NJ) that is used to assist in successively deeper slot into a part containing an
thicknesses are used: N, 0.79 mm (0.031 in.); shot peening callouts (Ref 4). The user selects a arbitrary known stress distribution. The inverse
A, 1.30 mm (0.051in.); and C, 2.38 mm material from a library of about 80 materials, solution develops the original residual stress dis-
(0.0938 in.) to allow for differences in degree then selects a shot size and shot intensity and tribution that best matches the actually measured
and shot peening required and materials being inputs some basic geometry considerations. Fig- strains.
treated. For example, peen forming of an alu- ure 8 is a curve generated on a chromium-silicon Similar methods based on drilling small holes
minum alloy requires considerably less peen in- spring wire shot peened with a hardened, 0.023 in the stressed material have been around for
tensity than a carburized gear tooth. During treat- in. shot to a 10 A intensity. A 10 A intensity some years. Strain relaxation is measured using
ment, the Almen strip assumes a concave shape. equates to a 0.25 mm (0.010 in.) arc height on strain gages or photoelastic coatings. Strain
The lift height is proportional to the level of the A-strip. gages have been used to measure strain relaxa-
compressive stress developed in the upper sur- One of the older standard tests for evaluating tion in bevel gears following successive removal
of layers by electrochemical machining (Ref 11).
Saw cutting or slitting is an easy quality con-
trol test that gives a global overview of the state
of residual bulk hoop stress in rings. Interest-
Ar3 ingly, such a technique was used recently to val-
Ar1 idate the measurements of residual stress levels
in railway wheels using electromagnetic-
Austenite acoustic transducers (Ref 12).
Ferrite
Pearlite Mathematical Derivations for

Core Simple Cases Based on the Saw-Cut
Temperature
Methods
Bainite
Surface Definitions of the symbols used in the follow-

ing derivations are given in Table 1.
To develop the mathematical algorithms for
Martensite interpreting deflection measurements after slit-
ting a simple shape (plate, round bar, or tube),
simple beam theory is used (Fig. 10).
The basic formula for the state of affairs at
any point (x) along a beam is (Ref 13):
M r E
Time, T
(Eq 1)
I c R
Fig. 3 Schematic representation of the relative transformation at the surface and in the core of the mild steel plate. At
time, T, the core is still austenitic while the surface has already transformed to a ferrite-pearlite structure. Ar3 where M is the bending moment to which the
and Ar1, upper and lower transformation temperatures, respectively, on heating (refroidissant) a hypoeutectoid steel beam is subjected at x. Bending moment M is
equal to load multiplied by distance (lbf in., or

Carbon profile through case. As the carbon level
decreases, the transformation temperature during
kgf m). If M is not obvious from the first prin-
quenching increases (Ms). Although the cooling rate ciples for a given case, it may be obtained from
%C
is less below the surface, transformation occurs from the data given subsequently. I is the moment of
the inside out. inertia of the section of the beam at x, usually in
inches. Moments of inertia are treated in text-
books of elementary mechanics. The moment of
Consider a section through the carburized case. At inertia in question is that about the neutral axis
the onset of quench, both the surface and the core which, in most beam problems, will be a line
are austenitic and stress free.
through the center of gravity of the section. If
the I of the section is not already known, it is
usually easily calculated by applying one of the
Start of transformation
following formulae.
Even though the cooling rate is lower than at the
For a rectangle:
surface, the low carbon core will begin to transform,
starting first below the case and progressing inward.
C The adjoining austenitic case element will plastically
expand outward to accommodate the resulting tensile
stress.
bt3
(Eq 2)
12
Schematic representation of transformational
expansion in the absence of any restraining effect
by the surrounding material
Following the progressive transformation of the core, Sections made of rectangles, such as rectangular
the innermost element of the case transforms. The tubes, H-beams, and channels, can be calculated
resulting expansion of the already extended case
C element creates tensile stresses in both remaining
by subtracting the I of the empty areas.
austenitic case and adjoining core. For a circular cross section:
The continued transformation of the progressively

higher carbon case and the resulting expansion of the pr 4
already plastically stretched elements result in high I (Eq 3)
4
C CC T T T compressive stresses. Consequently, the underlying
transformed core is pulled into tension.
The moment of inertia for hollow tubes can

Stress profile through case. Compressive stress be calculated by subtraction, where: r is stress
near the surface of the case can reach levels of in the material. c is distance from the neutral
+tv 300/500 N/mm2 and is one of the primary reasons for axis. In symmetrical sections this is the distance
carburizing.
tv
from the midpoint or center of gravity of the sec-
tion. E is Youngs modulus. (In thick cross sec-
Fig. 4 The development of compressive stress in the case of a quenched carburized steel. Source: Ref 1 tions and/or high-strength steels, this should be
corrected for Poisson contraction where m is
Poissons ratio [0.3 for steel].)
E
E (Eq 4)
1 m2
R is the radius of curvature of the beam when it

bends under load.
To calculate the stress in a simple beam:
Mc
r (Eq 5)
I
For a rectangular beam at the surface where the

stress is greatest:
bt3
I (Eq 6)
12
t
c (Eq 7)
2
Fig. 5 Schematic of the residual stress distribution in rings manufactured from tube before and after slitting. ID, inside
diam; OD, outside diam so
Factors Affecting Final Part Shaping / 171
in a vacuum furnace is less than when heated in

Temperature of the salt bath because the heating rate of the hob in
component going the vacuum furnace is lower. But for the high-
into the furnace
speed steel drills with a small diameter being
loaded in batches, the distortion after being
heated in a vacuum furnace is greater than that
The control of
heating rate
in salt bath. The influences of heating medium
Holding temperature on quenching distortion are shown in Table 9.
Influence of Rules of Heating. For the com-
The influences of ponents that deform easily, distortion may be re-
heating rules Keeping warm Holding time
duced if the heating rate, especially in the phase
transformation temperature range, is reduced.
For example, the distortion of high-speed steel
Pre-heating Pre-heating temperature
or high-alloy tool steel components may be re-
duced when put into the furnace with lower tem-
Heating temperature Pre-heating time perature, kept at 800850 C (14701560 F),
and keeping and then heated to the quenching temperature. It
warm time is better for these steel components to be pre-
heated at 500 C (930 F) in an air furnace and
Fig. 32 Influences of heating rules on distortion 800850 C (14701560 F) in a salt bath, and
then pre-heated at high temperature in a different
salt bath. Normally, the pre-heating time is dou-
ble the heating time.
The influences of heating rate and time on the
Table 9 Influences of heating media on heat treatment distortion heat treatment distortion are complex. Generally,
Medium Heating rate Heating uniformity Comments
heating at a relatively low temperature and short-
ening the heating time properly not only reduces
Gas, various protective Slow Depends mainly on the structure of the
gases or air heating furnace; depends on the the distortion caused by the weight of the com-
radiation uniformity at high ponent when heated, but also reduces the distor-
temperature and on gas-flowing tion caused by the temperature difference during
uniformity at low temperature the subsequent quenching processes. But for
Liquid Fastest Different faces can be heated evenly. It is useful to reduce the distortion caused
by the weight of the component with some alloy tool steels, acceptable amounts of re-
the effect of buoyancy. tained austenite can be obtained if the compo-
Melting metal Fastest Different faces can be heated evenly. It is useful to reduce the distortion caused nent is quenched at a specified temperature. This
by the weight of the component with process is called micro distortion quenching.
the effect of buoyancy.
Melting salt bath Faster Different faces can be heated evenly. The buoyancy is approximately 40% of If the quenching temperature is lower than that
the above, so it also can decrease the temperature, the volume of the component will
distortion caused by the weight of the increase. If this is not done, shrinkage will occur.
component. For an internal electrode The quenching temperature may be decreased
salt bath furnace, the long and thin
component is easily deformed with the when sufficient hardness is obtained by the fol-
effect of electromagnetism stirring. lowing methods.
Fluidized bed Fast The heat transfer coefficients of the Changing the Original Structure of the Com-
side, bottom, and top are quite ponent. The lower-limit temperature may be
different. The heating uniformity is
bad. used for quenching and tempering hypoeutectoid
Vacuum Slowest Depends on radiation of heating. The steel because of the relative ease of austenite nu-
uniformity is bad when a large cleation. This is observed during the high-fre-
number of components are loaded. quency induction heating process. However, the
component should be heated at a higher tem-
perature to ensure complete austenitization if
block-free ferrite is present in the original mi-
crostructure.
In the original microstructures of eutectoid
and hypereutectoid tool steels, the finer and bet-
ter distributed the globular pearlite is, the lower
the austenitizing temperature will be. For ex-
1 1 2 Table 10 Influences of increasing quench-

3 ing temperature on the distortion of mold
1 hole
Type of steel Distortion of mold hole
Medium-carbon Expand
High-carbon Contract
Low-carbon (carburizing) Expand
Unreasonable Unreasonable Reasonable Medium-carbon low-alloy Expand
Fig. 33 Influence of loading pattern on heating uniformity. (1) Workpiece. (2) Heating elements. (3) Refractory ma- High-carbon low-alloy Expand
terials High-alloy Contract
Table 11 Factors that influence the cooling intensity of liquid quenchants transformation period and martensite transfor-
mation period, or strictly speaking, the cooling
Factor Function(s) curve. There is a strong relationship between sur-
Physical and chemical properties of quenchants face heat transfer coefficient, surface-to-arc tem-
Heat of vaporization The larger the heat vaporization is, the stronger the cooling intensity. The heat of
vaporization of water at 100 C (212 F) is 2260 kJ/kg while the heat of vaporization
perature gradient, and distortion. For example,
of mineral oil is about 210 kJ/kg. Therefore, the cooling intensity of water is much the cooling intensity of 10% NaOH solution or
more powerful than that of oil. 10% NaCl solution is much higher than that of
Vapor pressure The lower the vapor pressure is, the more difficult the gasification, and therefore the water and, therefore, the hardened layer is also
lower the cooling intensity is.
Boiling point Lower boiling point brings about the increasing of cooling rate in range of martensite
much deeper. However, the distortion of the
transformation. component being quenched by 10% NaOH water
Surface tension The smaller the surface tension is, the less the stability of vapor film is, and the stronger solution or 10% NaCl water solution is just
the cooling intensity. slightly less than that of water because the cool-
Specific heat The higher the specific heat is, the stronger the cooling intensity.
Viscosity The smaller the viscosity is, the stronger the cooling intensity will be.
ing rates of those quenchants within martensite
The separation behavior of solute Vapor film can burst when the inorganic (NaCl, NaOH, Na2CO3, etc.) dissolved in transformation period are similar. The depths of
at the surface of hot water-based quenchant is separated at the surface of hot component, which can hardened layers after being quenched in 50%
component increase the cooling intensity of quenchant. NaOH water solution is greater than that of water
Inverse-solvent power Polymer quenchant has the power of inverse-solvent. Polymer film can be formed
around hot component so as to separate water from the component, and thus decrease
but the distortion is less. The reason is that the
the cooling intensity of quenchant. The cooling intensity can be adjusted by changing viscosity of NaOH water solution with high con-
the concentrating of polymer. centration is large and its cooling intensity
Outside factors
within martensite transformation period is only
1
The temperature of quenchant The cooling intensity of water solution drops intensively with the increasing of the 6 of the cooling intensity of water. The maxi-
temperature and the temperature corresponding to the fastest cooling rate obviously mum cooling rate and characteristic temperature
moves to lower. However, the cooling rate of oil increases slightly with the increase of high-speed quench oil with additives are ob-
of temperature due to the decreasing of the viscosity of oil.
Circulation and agitation Agitation can drop down the stability of vapor film and thus increase the cooling
viously higher than that of straight unaccelerated
intensity of quenchant. The higher the flow rate is, the greater the influence. The oil, while its cooling rate within a low-tempera-
uniformity of fluid flow around component has great influence on distortion. ture range is slower than that of ordinary me-
Gas pressure above liquid The higher the gas pressure is, the bigger the heat of vaporization, and therefore the chanical oil due to the greater viscosity. There-
faster the cooling rate.
The pressure of quenchant For spray hardening, the higher the pressure is, the more powerful the cooling intensity.
fore, although the depth of hardened layer
When component is cooled in cycling gas, its cooling intensity increases with the quenched by high-speed quench oil is deeper
increase of gas pressure. than that of unaccelerated quench oil, the distor-
The surface condition of The cooling rate of coarse surface is faster than that of smooth surface. The salt or tion is similar.
component borax sticking to component surface can promote the burst of vapor film.
The distortions of a C-ring test specimen made
of 5140 steel (Fig. 38) quenched in various quen-
chants are shown in Table 13.
Table 12 Comparison of several commonly used quenchants in cooling rate and distortion
Influence of Quenching Methods
Quenchant Cooling rate Distortion
Cooling in One Medium. The factors that
10% NaOH water solution Large influence component distortion are quenchant
10% NaCl water solution Large
selection, quenchant temperature, agitation rate,
and uniformity of agitation. The influence of
10% Na2CO3 water solution Large
quenchants on the distortion of cavity of cold-
50% NaOH water solution Large forging dies is shown in Table 14.
Water Large The selection of quenchant should account for
Polymer quenchants Medium the following two opposing factors, depth of
25% NaNO3 20% KNO3 20% NaNO2 35% H2O Medium
hardened layer and quenching distortion. Ac-
cording to the dimension of the workpiece and
Accelerated quenching oil Small
Alkaline salt bath Very small
Nitrate bath Very small
6
Ordinary mechanical oil Small
Air Very small
037
Table 13 The influences of quenchants on the distortions of C-style sample

Temperature, Cycling rate, Hardness after Gap opening,
Quenchant C (F) m/s (ft/s) quenching, HRC mm (in.)
Water 20 (68) 0.5 (1.6) 5660 0.39 (0.015)
10% NaCl 20 (68) 0.5 (1.6) 5760 0.18 (0.007)
1% NaOH 20 (68) 0.5 (1.6) 5759 0.22 (0.009)
50% NaOH 20 (68) 0.5 (1.6) 5860 0.12 (0.005)
75% NaOH 15 (59) 0.5 (1.6) 5557 0.05 (0.002) 12
051
Source: Ref 1
Fig. 38 C-style samples
steel and low-alloy steel, the volume can

shrink back to what it was before the quench-
ing process when tempering at a temperature
The higher nitrogen content of
the layer, the larger deformation.
above 500 to 600 C (9301110 F). For the
high-alloy tool steel, however, after the tem-
The thicker nitrided layer,
per process at the temperature where the sec-
the larger deformation. ond hardening occurred, the amount of the
volume contraction will be reduced due to the
The more nitride formation transferring of the retained austenite.
elements the steel contains, the Time: The volume contraction is mostly be-
larger deformation. ing processed in the initial period of the tem-
The volume of nitrided
layer expands. per process and will begin stabilizing after 1
The higher nitriding temperature
and longer nitriding time, the
to 2 h.
larger deformation. Pressure: When the workpiece is being
pressed during the temper process, its shape
The higher nitriding potential, can be fixed due to the function of its elastic
the larger deformation. stress being relaxed. The typical example is
the tempering of a piston ring. The method
The worse uniformity of nitriding involves keeping the notch opening by iron
layer, the larger deformation. mass during the temper process. Under the
same principle, the workpieces can be flat-
Effect of residual stress caused tened after the temper process, during which
by machining.
Internal stress they are pressed (Fig. 40).
before nitriding.
Effect of the prestress relieving Influence of the Deep Freezing Process.
Distortion of When quenched steel is cryogenically treated,
nitrided workpiece. Effect of loading method the retained austenite will transform to marten-
Creep caused by the site. Thus, the size of the workpiece will have
weight of workpiece. only a little expansion, and the size stability of
Effect of fixture design
the workpiece will be raised.
The thinner wall thickness, the Influence of Stabilization. Temper makes
larger deformation due to the the microstructure of steel stable and reduces the
volume expansion of nitrided layer. residual stress (or make the stress state stable),
which can improve dimensional stability. In
The greater difference of wall most situations, the dimensional stability can
thickness, the larger deformation
during nitriding. be obtained only through a temper process.
Shape factor Some precision tools tempered at a low tem-
The worse shape symmetry, the perature, however, need to be heated several
larger deformation during nitriding. times, for an extended period, and kept at a
temperature slightly below the temper tem-
The worse rigidity, the larger perature. Low-temperature aging can reduce
deformation due to creep. the residual stress while stabilizing the re-
tained austenite to increase dimensional sta-
Fig. 41 Distortion of tube-type parts after carburizing and quenching
bility of precision tools.
Effect along the direction Factors Affecting Chemical Heat

of gravity.
Treatment Distortion
Effect on the gravity
of workpiece. Effect on the weights
of other workpieces in Factors Affecting the Distortion of a Car-
the same furnace. burized Workpiece. Besides shape, quenching
Effect on the heating methods, quenchant selection, and hardenability,
uniformity. other factors relevant to the carburizing process
also can influence the final size and shape of the
workpiece significantly:
Effect of loading tools Effect on the cooling Surface carbon content and carbon concen-
on heat treatment uniformity.
distortion
tration distribution of carburized layer: Sur-
face layer with high-carbon content has a
lower martensite-transition point, greater
Effect on the homogeneity amount of retained austenite, and larger vol-
of chemical heat treatment
case.
umetric increase during martensite transfor-
mation. Transformation stress of carburized
parts varies with case carbon content and car-
Effect on the stability of
bon concentration distribution in the carbu-
loading/unloading. rized layer.
Case depth of carburization: The deeper the
Fig. 42 Effects of loading tools on heat treatment distortion case depth of carburization, the greater the
vated temperature properties and behavior of the Using DANTE, it has been possible to subject ufactured from annealed 52100 bearing steel
individual and mixed phases, geometry of the the net opening deflection method to a more rig- with two different cross sections. A residual
part, quenching factors, heat-transfer coeffi- orous analysis. stress profile was superimposed on the rings by
cients, and so on. Several papers have been pub- An example of the simulation of the opening creating a 93 C (200 F) linear temperature gra-
lished on the development and application of the of a slit ring in the presence of an imposed hoop dient across the cross section from ID to OD.
model (Ref 1721). Commercialization of the stress is shown in Fig. 14 and 15. For the ring in Fig. 14, simulating axial slitting
software package is being handled by Defor- Two-dimensional modeling was used, and of the ring resulted in a net opening of 2.9 mm
mation Control Technology, Inc., Cleveland, plane-strain conditions were assumed. The rings (0.114 in.) with an accompanying redistribution
Ohio. were assumed to be 152 mm (6 in.) OD and man- of the residual stress.
Using Eq 23, the average hoop stress in the
ring prior to slitting was calculated to be 172
Table 2 List of formulas used for calculating approximate levels of residual stress in simple MPa (25 ksi). In thinner cross section rings, the
geometries by deflection methods net opening will be larger for the same level of
residual stress, as shown in Fig. 15. For a cross
Method Formulas section of 9.5 mm (0.375 in.) and a similar re-
Etd sidual stress condition, the net opening is cal-
Longitudinal stress in plate (Fig. 11a) r 2
2L culated to be 6.3 mm (0.247 in.). Equation 23
1.65 Erd gives a calculated hoop stress of 179 MPa (26
Longitudinal stress in solid bar (Fig. 11b) where r is the radius of the bar r ksi). These calculations used a Youngs modulus
L2
Etd value of 29 106 psi and Poissons ratio of
Longitudinal stress in thin-walled tube (Fig. 13a) r 0.33.
L2
It is interesting to note that one of the many
D
Circumferential (hoop) stress in tube from change in diameter where D0 and D1 1 1
r Et techniques used to exercise DANTE was based
are the initial and final diameters, respectively (Fig. 13b) 0 D1
on the carburizing of a modified Almen strip

1 1 (Ref 22, 23). Excellent agreement between the
Circumferential stress in tube from net opening displacement x r Et predicted and measured transverse deflections

D0 x
D0 were obtained.
p
Example: Determining Biaxial

Table 3 Elastic constants for some of the common metals
Residual-Stress State
Modulus elasticity Shear modulus
Materials GPa 106 psi GPa 106 psi Poissons ratio
Treuting and Read developed a method for de-
Aluminum alloys 72 10.5 28 4.0 0.31
Copper 110 16.0 41 6.0 0.33 termining the biaxial residual-stress state on the
Steel (plain carbon and low alloy) 200 29.0 76 11.0 0.33 surface of a thin sheet (Ref 24). The method as-
Stainless steel 193 28.0 66 9.5 0.28 sumes the metal behaves in an elastically ho-
Titanium 117 17.0 45 6.5 0.31 mogeneous manner and that the stress varies, not
Tungsten 400 58.0 157 22.8 0.27
in the plane of the sheet, but only through the
Source: Ref 16
thickness. To apply the method, the sheet spec-
imen is cemented into a flat parallel surface, and
Fig. 14 Simulation of the effects of residual stress on the net opening displacement of a cut 0.75 in. thick ring
All of the properties and quality of the quench

A B
press machine, the design and manufacture qual-
ity of the compression die, the magnitude of
compressive force, and so on, will contribute to
the distortion of the workpiece quenched by a
press machine, as shown in Table 19.
32
REFERENCES
C 18
1. Z. Peiyu, The Control of Heat Treamtment
Distortions of Common Machine Parts, Me-
chanical Industry Publisher, Beijing, China,
D 110 1990
2. X. Dawei, F. Zhijun, and X. Huizhi, The Heat
220 Treatments of Fine Long Parts, Mechanical
Industry Publisher, Beijing, China, 1991
Fig. 51 Disk gear quenched in pulsating quench press machine. (A) pressure from outer hold-down ring, (B) pressure
from inner hold-down ring, (C) pressure from expansion heap, (D) pressure from bottom die ring 3. Y. Lunian, The Control of Distortion in Steel
Heat Treatments, Mechanical Industry Pub-
lisher, Beijing, China, 1987
Table 19 Factors affecting workpiece distortion quenched by press machine 4. Heat Treatment Handbook, 2nd ed., Vol 2,
Heat Treatment Institute of China Mechani-
Factor Influence cal Engineering Society, Beijing, China,
Unsuitable fit between conical expansion rod and cone face of central die Elliptical bore 1991
Untidy work surface of central die or gear bore surface Elliptical bore 5. Heat Treating, Cleaning and Finishing, Vol
Inadequate dimension of central die and limiting ring or inappropriate dimension of limit Elliptical bore
ring
2, Metals Handbook, 8th ed., American So-
Insufficient pressure of central die Elliptical bore ciety for Metals, 1964, p 18
Excessive pressure of central die or oversized inner diameter of limiting ring Nonsmoothness of inner end surface 6. G.E. Totten and M.A. Howes, Steel Heat
Insufficient pressure of inner hold-down ring Nonsmoothness of inner end surface Treatment Handbook, Marcel Dekker Inc.,
Excessive pressure of outer hold-down ring Nonsmoothness of inner end surface
Excessive taper of lower mold surface Nonsmoothness of inner end surface
New York, 1997
Insufficient pressure of outer hold-down ring Nonsmoothness of outer end surface
Excessive pressure of inner hold-down ring Nonsmoothness of outer end surface
Inadequate taper of lower mold surface Nonsmoothness of outer end surface
Source: Ref 4
Method for Measuring Internal Stress in International Conference on Quenching and of Low Alloy Steels, First International
Brass Tubes, J. Inst. Met., Vol 32, 1924, p Control of Distortion Proceedings, ASM Conference on Thermal Process Modeling
367383 International, 1996 and Computer Simulation, Jiatong Univer-
16. G.E. Totten and M.H. Howes, Steel Heat 19. C. Anderson et al., Development of a Car- sity, Shanghai, March 2000
Treatment Handbook, Marcel Dekker Inc., burizing and Quenching Simulation Tool: 22. V.C. Prantil, M.L. Callabresi, G.S. Ramas-
New York, 1997, p 256261 Numerical Simulation of Rings and Gears, wamy, and J.F. Lathrop, Simulating Distor-
17. D. Shick et al., Development of a Carburiz- Second International Conference on tion and Residual Stresses in Carburized
ing and Quenching Simulation Tool: Deter- Quenching and Control of Distortion Pro- Thin Strips, ASME J. Eng. Mater. Technol.,
mination of Heat Transfer Boundary Con- ceedings, ASM International, 1996 to be published
ditions in Salt, Second International Conf. 20. B.L. Ferguson, A.M. Freborg, and G.J. Pe- 23. M. Henriksen, D.B. Larson, and C.J. Van
on Quenching and Control of Distortion trus, A Software Tool to Simulate Quench- Tyne, On the Analysis of Distortion and Re-
Proc., ASM International, 1996 ing of Alloy Steels, Heat Treating Progress, sidual Stress in Carburized Steels, ASME J.
18. D. Brammann et al., Development of a Car- to be published Eng. Mater. Technol., Vol 114, 1992, p
burizing and Quenching Simulation Tool: A 21. M.T. Lusk, Y.K. Lee, H.J. Jou, W.E. Elliott, 362367
Material Model for Low Carbon Steels Un- and G.M. Ludtka, An Internal State Variable 24. R.G. Treuting and W.T. Read, J. Appl.
dergoing Phase Transformations, Second Model for the Low Temperature Tempering Phys., Vol 22, 1951, p 130134
Effects of Process Equipment Design

F.T. Hoffmann and T. Lubben, IWT Foundation Institute for Material Science, Germany
R. Hoffmann, IVA Industrieofen, Germany
K. Heess, Karl Heess GmbH, Germany
IN MANY CASES, fabrication of parts ends facturing process but a property of the whole Identification of Distortion
with a heat treatment process to set the required manufacturing system. Thus, it has to be seen as Generating Process Equipment
properties. Unwanted effects that may appear af- a system property of the whole manufacturing
ter the heat treatment process are dimensional process, including:
alterations and distortion as a result of a process- Distortion can be increased by different steps
induced inner stress state of the parts. The origin Construction: Construction prearranges the of heat treatment processes. In the majority of
of the stresses may be in each part of the manu- distortion potential. This means the liability cases, quenching steps are brought into connec-
facturing process of the parts (i.e., construction, to changes in shape and form (e.g., by tion with the generating of distortion because
production process of the material, manufactur- changes in cross sections materials selection). quenching is the last step of the process. How-
ing processes, and heat treatment processes) be- Steel producing: Melting and solidification ever, a high amount of distortion will be gener-
tween and at the end of the production process. and the following deformation processes ap- ated before quenching or cooling is started. To
Further on stresses generated in different stages point the local inhomogeneity of the chemical avoid or to minimize distortion, it is important
of the production process can additively or com- composition, which result in a local different that the parts being heat treated are heated and
pensatively superpose during the manufacturing transformation behavior. This leads to differ- cooled uniformly so that a homogeneous tem-
process. At the last heat treatment will be the ent microstructures and so to a inhomoge- perature distribution results over all the cross
production process that will release the residual neous distortion behavior, in extreme cases, sections. On the other hand, if cooling and heat-
stresses as distortion. Distortion can increase to to crack formation. ing are as homogeneous as possible, but the
such an extent that the parts can no longer be Forming: The state of microstructures and re- component is very inhomogeneous (chemical
used, or that at least reoperation processes will sidual stresses in a part is influenced by the composition, microstructure, residual stress state
be necessary. These additional necessary pro- state of the material (chemical composition, before heat treatment) or the shapes of the parts
cesses will be costly because they have to be inhomogeneity of the microstructure, segre- show very different transverse sections, bores,
done in the high-hardness state after finishing the gations, etc.) before forming and by the de- holes, and so on, distortion will not be avoided
heat treatment processes. Accordingly, more or formation parameters. They influence the fol- without using special methods such as press
less material has to be charged so that the dis- lowing machining operations and the quenching. Therefore, if there are problems deal-
tortion, which is to be expected, can be adjusted ing with distortion and there is the presumption,
subsequently appearing distortion and dimen-
by, for example, partial grinding operations. that distortion could have been released by
sional alterations:
The exact knowledge of the overmeasures is
equipment, it should be checked simultaneously
Machining: Machining (turning, milling,
of high importance because too small additional if material or shape could also be responsible for
drilling) adds specific distortion potentials to
measures will lead to defective goods. On the the failure.
the distortion system by generating mostly in-
other side, too high overmeasures will increase With respect to the process and the equipment,
homogeneous residual stress states.
a general remark is that heating and cooling must
the costs. The results are higher grinding costs Heat treatment: Heat treatment implies a spe-
and an increase of the heat treatment costs. For be done as uniformly as possible.
cific distortion potential. As a finishing manu-
instance, carburizing time has to be increased to facturing process, it releases the total distor-
set a higher carburizing depth. Another problem tion potential, accumulated as residual
is that distortion will differ from part to part and
General Possibilities to Influence
stresses, inhomogeneities of material, and mi-
that the scattering of the values is based on mul- crostructure up to this moment, as dimen-
Distortion Generation by Process
tifarious reasons. sional alterations and distortion. The origins Equipment
Distortion as a result of the manufacturing of distortion are quite complex and connected
process is not a new problem. It is documented with the total manufacturing process and Distortion is generated by elastic and plastic
in literature broadly and has been the subject of should not be attributed solely to the heat deformations during the production process of
research work in various technical fields. How- treatment process. the part. Origins may be an inhomogeneous mi-
ever, the state of the art is very inhomogeneous crostructure of the material due to its metallur-
and conclusions cannot be made, or only with Therefore, to minimize distortion, the whole pro- gical history or nonuniform or unbalanced con-
unacceptable uncertainties. duction process has to be observed. In the fol- ditions during heating or cooling processes
A new starting point to minimize distortion is lowing chapters, the heat treatment process, and during the manufacturing process.
the awareness that distortion is not only the prob- especially the influence of process equipment, The former case cannot be influenced by nor-
lem of the material or a single step in the manu- are discussed mal process equipment. Beyond this, these in-
cused on enhancing the accuracy of The destructive procedures of residual-stress literature and experts in the field of residual-
residual-stress measurement and have ignored measurementthese procedures are all stress measurement and manufacturing pro-
the fact that from a practical standpoint, tens to based on sectioning or removal of material to cesses.
hundreds of stress measurements are needed to cause a redistribution of the residual stress,
define the stress field of interest. Thus, many of which is measured as a strain change.
the residual-stress measurement techniques re- The semidestructive methods of residual- Nature of Residual Stresses
quire too much time to perform and are thus im- stress measurementthese methods are
practical. This includes some of the techniques based on the same principle as the destructive Residual stresses are the inevitable conse-
developed for XRD, strain gaging, and other methods or on the perturbation of the resid- quence of thermomechanical processing of steel.
methods. Measurement times on the order of a ual-stress field by other means. The resulting stress fields usually are nonuni-
second are available with XRD and some other The nondestructive methods of residual-stress form and show high stress gradients. For ex-
methods, and automated stress mapping has been measurementthese methods do not per- ample, Fig. 2 illustrates the residual-stress mag-
performed with such techniques (Ref 7). Another manently disturb the residual-stress field, but nitudes and distributions typical of a steel with
concern in the measurement of residual stresses directly measure the atomic lattice strain a 650 MPa yield strength. Because of the high
in manufactured components is that the area or caused by the stress or measure some physical stress gradients, tens to hundreds of residual-
volume over which the stresses are resolved property perturbed by the lattice strain. stress measurements with resolution on the order
must often be on the order of 1 mm (0.04 in.) or of 1 mm may be required to identify precisely
less. This is because the residual-stress gradients the maximum stress and its location.
are usually quite steep, and measurement reso- Need for Residual-Stress The characteristically nonuniform, high stress
lution larger than this tends to average the Measurements gradient nature of residual stresses require that
stresses to such an extent that high stresses are either the induced stress field is well understood
not detected. Before the engineer or metallurgist commits and predictable, or many residual-stress mea-
Some characteristics of steel that can cause to measuring residual stresses in some compo- surements must be performed on one or more
error in residual-stress measurement by the vari- nent or workpiece, he or she must be sure that components in order to reveal the nature of the
ous methods described in this article include the reason for the measurement is clearly under- stress fields. Often, scientists attempt to gain an
phase composition, plastic strain, grain size, stood. The major reasons that residual stresses understanding of a residual-stress field by mak-
crystallographic texture, and others. For exam- are of concern are: ing a few measurements on one or two compo-
ple, in a mixed ferrite/austenitic structure the re- nents, and from this often arise erroneous con-
Failures that are suspected as being caused by
sidual stresses in the ferrite are invariably dif- clusions regarding the nature of the stress field.
fatigue, stress corrosion, corrosion fatigue, or
ferent than those in the austenite (see Table 1). A few measurements may be useful if the sci-
hydrogen embrittlement
Also, Wimpory et al. (Ref 8) described the influ- entist or engineer knows the distribution of the
Assessment for the continued serviceability
ence of varying amounts of cementite in a ferrite stresses a priori. However, this is seldom the
of a component, for example, life assessment;
matrix. The possibility of one or more of these case, and tens to hundreds of measurements are
this is usually focused on a concern for in-
microstructural characteristics causing error in required on a single component or many samples
service failure
the residual-stress measurements performed by to really understand the residual stresses induced
Distortion occurring during processing of a
the methods described in this article should be by a given manufacturing process. This means
component
assessed by an expert in the method selected, and that the measurement method must be as rapid
Distortion of components during storage or in
details of the errors and their causes are not dis- and labor-efficient as possible. Some of the new
service
cussed in detail in this article. semidestructive hole-drilling procedures and
The subsequent sections of this article discuss It is extremely important that the investigator XRD and ultrasonic (for special cases) instru-
and describe: understand the mechanism for the inducement of mentation meet this criteria. Stress mapping is
The need for measurementwhat problem is
the residual-stress field of concern. As implied offered with some XRD instruments to map
by the other articles in this Handbook, most stresses over the surface of a component (Ref
the engineer or metallurgist trying to solve by
cases of suspected harmful residual-stress fields 19). Also, because the stress gradients are often
obtaining information about the residual-
are induced by manufacturing processing or re- very high, the measurement method must be able
stress field?
The nature of the residual-stress fields in
pair procedures, although sometimes abusive to resolve the stresses in dimensions on the order
service conditions or an accident may have of 1 mm or less. Here, some of the hole-drilling
steelsexamples of the magnitudes and dis-
caused them (Ref 9). When manufacturing pro- procedures and recently developed XRD instru-
tributions.
The strain basics for residual-stress measure-
cesses or sometimes repair procedures are ments can offer the best resolution.
judged the most likely source of the residual Finally, the component in which residual
mentselastic strain measured, not stresses.
stresses, it is often possible to predict the mag- stresses are to be determined is often too large
nitude and distribution of the residual stresses. to be brought to a laboratory, and removing sec-
Table 1 Sample of residual-stress readings Such information can be obtained through con- tions is not a rational solution. Note that section-
from a 316 stainless steel pipe weldment sulting the literature or the application of coming often disturbs the existing stress field to the
puter modeling (Ref 1018 or the Internet at extent that it is not possible to reconstruct the
Distance from Stress Stress
the weld (a) in (a) in
www.residualstress.com). A preconceived original stress field from the residual stress mea-
fusion line austenite ferrite model of the residual-stress field will aid the in- sured in pieces removed from the original whole.
in. mm ksi MPa ksi MPa vestigation in determining the best method to Hole-drilling, XRD, and ultrasonic instrumen-
0.04 1 21 145 46 317 measure residual stress and the location and tation are available as portable devices that may
0.07 1.8 19 131 67 462 number of measurements that need to be made. be brought to the component in the field (Ref 7,
0.11 2.8 16 110 62 427 Nevertheless, sometimes the cause of the re- 9, 20, 21).
0.15 3.8 17 17 65 448 sidual-stress field is not evident, and the inves-
tigator is compelled to perform measurements as
Note: The ferrite places tensile stresses on the lattice of the austenite,
while the austenite tends to compress the ferrite; therefore, the more
a means to determine the cause. In such cases, Stress Measurement
compressive the stress in the ferrite, the less compressive the stress in measurement methods and location must be se-
the austenite. (a) The precision of these measurements was 3.0 ksi lected without the aid of a priori knowledge of A number of procedures and methods have
(21 MPa).
the stress field, and it is prudent to consult the been applied to determine the residual stresses
Residual Stresses in Nitriding / 211
favorable nitrogen/carbon ratio in the compound stresses as compared to those in carburized lay- an important role in properties of treated parts,
layer is not completely known, and the repro- ers. Due to the complex mechanism of hard- but that specific phenomena on the interface be-
ducibility of the case composition is rather prob- ening in nitriding (the presence of a compound tween the compound layer and substrate are also
lematic, even with up-to-date process control. A layer), investigations are more difficult and the critical.
certain amount of carbon may also be found in mathematical modeling must consider numerous
plasma-nitrided duplex compound layers (c factors. Compound Layer
e) due to the reverse diffusion of carbon from Most of the data in the literature are connected
the substrate into the compound layer. This retro- to the residual stresses in the diffusion layer, and Several theories related to the origin of resid-
diffusion may be very important on the interface, generally relate to gaseous nitriding. Surpris- ual stresses in nitrided layers associate these
where the e nitrides absorb important quantities ingly few data can be found on residual stresses stresses mostly with the diffusion layers (Ref
of carbon, causing even the dissolution of car- in nitrocarburizing, especially for compound 2225). The main causes of the residual stresses
bide lamellas from the pearlite grains in a ferri- layers. From the experimental data on tribolog- are considered to be:
tic/pearlitic substrate (see Fig. 4). Certainly, as ical and fatigue properties it is obvious that not
Changes in chemical composition in the dif-
plasma nitrocarburizing becomes a common only the compound and the diffusion layer play
practice, it is possible to obtain a monophase, fusion zone
Phase transformation in the diffusion zone,
compact e compound layer with an optimized
nitrogen/carbon ratio (Fig. 7 ac) (Ref 8, 16). and precipitation phenomena
Volume changes caused by the phase trans-
The residual stresses in the compound layer
and in the substrate are strongly connected to the formation and the growth of precipitates
Thermal effects due to different coefficient of
nature of compound layers. Whenever a thick,
more or less monophase e-type compound layer expansion during layer formation
is desired, the higher treating temperatures result The residual stresses connected to the com-
in less significant substrate hardness and in a pound layer formation are rarely considered;
lower residual stress level. The influence of a however, their effect on the fatigue limit of
compound layer on fatigue properties may not treated parts may be significant, especially if the
be neglected, however, as it reduces the stress film thickness of the layer is comparable to the
concentrators in the surface. total wall thickness (engineering components for
Slightly different phases appear when stain- precision mechanical applications). These resid-
less steels are plasma nitrided (Ref 7, 13, 17 ual stresses originate from:
21). The problem in this case is to obtain a si-
Volume changes during the formation of dif-
multaneous increase in tribological properties,
ferent phases in the compound layer
without significant loss in corrosion behavior.
Internal stresses caused by molecular nitro-
Passivated or oxide surface films offer only a
gen formation in the porosity
partial solution.
Dependent on process parameters, the porosity
is generally associated with the high nitrogen po-
Residual Stresses in Nitrided Layers tential for the e-type compound layer. This po-
rosity usually is concentrated at the outer zone of
Residual stresses and their computer modeling the compound layer, sometimes causing tensile
have been extensively studied for case harden- residual stresses to appear there (Ref 14, 26, 27).
ing. However, a rather limited number of papers Investigations have shown that compressive re-
deal with the problem of residual stresses in ni- sidual stresses exist in the compound layer dur-
triding and related technologies. No doubt one ing layer growth, and these stresses increase dur-
of the reasons for this is the lesser effect on dis- ing cooling as a result of the volume misfit
Fig. 6 Microstructure of plasma-nitrided low-alloy steel
tortions and generally lower level of these (18MnCr10). 560 C (1040 F), 8 h generated by different thermal expansion coef-
ficients of the compound layer and the diffusion
zone (Ref 28). These observations apply particu-
larly to c structures but are also true for compact
e structures.
The internal stresses in the compound layer
are of the second and third type (Ref 3, 29). Con-
sidering the definition of residual stresses given
by Macherauch et al. (Ref 29), residual stresses
of the third type are particularly important on the
interface, where they occur due to high disloca-
tion density at grain-boundary inhomogeneities
and to formation of the new crystal structure (e
or c).
Very few measurements of residual stresses in
compound layers are known, partly because of
technical difficultieseven by x-ray diffraction
(XRD) methodsand partly because the diffu-
sion layer seemed to play a more important role
in the residual stress state of the surface. In situ
measurements of residual stresses have been per-
formed for a c-Fe4N-type compound layer built
Fig. 5 Modified interface between the compound layer and substrate as result of carbide dissolution. TEM on a steel surface during gas nitriding (Ref 28).
longitudinal stresses were of interest. Thus, the technique is applicable to cylindrical compo- termed an extensometer, was used to measure the
change in length of the components (cylinders, nents with an axially symmetric distribution of distance between each set of holes. It should be
rods, and tubes) was measured after removal of stresses. Here the change in length and diameter noted that this technique could be used to mea-
an axially symmetric layer from the outside ra- of the component are measured as material is sure the gradient in the biaxial stress condition
dius, or it was bored out of an inside radius. The removed by axially boring-out material from the by pausing in the milling operation at selected
length of the component was measured after inside to produce a hollow cylinder. Presently, depths and measuring the distance between the
each layer-removal process and entered into biaxial electrical-resistance strain gages (see the holes at each groove depth. Also, as with many
various equations described in their paper. This section Strain-Measurement Methods) are of the older techniques that originally applied
procedure is called the Bauer-Heyn method (Ref usually attached to the outside of the component mechanical strain-gage apparatus, electrical-re-
26) and is applicable only to measuring longi- to measure the dimensional changes in the axial sistance strain gages or modern XRD techniques
tudinal stresses in axially symmetric compo- and tangential directions. The strain change re- could be used. A procedure involving the drilling
nents. It does not measure radial or circumfer- sults are entered into equations described in Ref of a blind hole and electrical-resistance strain
ential stresses. 28 and 29. gage is somewhat similar to Gunnerts original
A second procedure assuming a uniaxial stress A procedure applicable to measuring biaxial technique and is described in the section on
field, or that only the stresses in one axis are of residual stresses homogeneous over the planar semidestructive methods.
interest, was proposed by Stablein (Ref 27). Here surface of a flat metal plate or sheet was pro- A more accurate procedure was later used to
the component was a bar with a rectangular cross posed by Trenting and Read (Ref 30). It was measure residual stresses in pipe weldments.
section, and the residual stresses acting along its based on removing uniformly thin layers of the Here the component (pipe) was divided into a
length and varying through its thickness (small- metal on one side of the sheet or plate and mea- network (grid) of squares, and biaxial electrical
est dimension) were measured. The material suring the changes in curvature as the layers strain gages were placed in the center of each
from one face of the bar, one of the two faces were removed. It was assumed that the stresses grid square on the outside diameter of the pipe.
with the largest area, was removed by milling. were constant over the plane of the sheet or plate The pipe was then sectioned as shown in Fig. 3
Equations used to reconstruct the original stress and varied only through the thickness. Electrical- into elements assumed to be stress free, and the
field are described in Ref 27. The depth of the resistance strain gages (see Strain-Measure- strain induced by the stress relief was read from
removed layer must be significantly greater than ment Methods) or mechanical gaging may be the gages. In placing the gages only on the out-
the depth of plastic deformation caused by mill- used to measure the change in curvature. side diameter, the biaxial stress field was as-
ing (see the section Sectioning and Material- Another procedure for measuring biaxial sumed to be uniform with depth; however, had
Removal Methods) and sufficient to cause a stresses homogeneous over the planar surface of gages been placed on the inside and outside di-
measurable bend in the material. The length of a metal plate was developed by Gunnert (Ref ameter a more complete measurement of the
the opposite face of the bar from where the ma- 31). This procedure assumes that a biaxial stress stress field could have been obtained, albeit as-
terial was removed is measured before and after condition was uniform throughout the depth of suming a linear variation in the residual stress
layer removal to determine the effect of the re- a circular groove that was milled around an el- from the outside to the inside surface.
moval of the stressed layer. Presently, this is usu- emental volume of material to render it stress A variation on the Gunnert procedure de-
ally done using electrical-resistance strain gages free. Thus, the strain change on only one surface scribed previously was later published (Ref 1,
(see Strain-Measurement Methods), but was was measured. The mechanical-gaging tech- 32). This variation was also used for application
performed in the past by sensitive mechanical- nique involved measuring the distance between to plates and implied that the triaxial stress field
gaging techniques. This measurement can also each of four sets of shallow holes drilled in the could be measured by the technique. It assumed
be accomplished by measuring the bend in the element before the groove was milled into the that there was a homogeneous residual biaxial
bar with suitable mechanical gages and fixtures, surface using a core drill. The distance between stress field that varied with depth through the
for example, a cantilever-beam approach. This each set of holes was measured before and after plate thickness. Four holes were drilled in a
procedure is applicable only to components of the groove was produced and provided the in- square pattern through the plate thickness. The
rectangular cross section where the stresses par- formation necessary to calculate original, as- distances between all of the holes was then mea-
allel to the length are to be measured as they vary sumed biaxial residual-stress condition parallel sured at selected hole depths. Next, a circular
through the thickness. to the surface of the plate. Theoretically, only groove was milled in steps of, for example, 2
Biaxial Conditions. A procedure applicable three sets of holes are required to measure the mm around the drilled holes using a core drill as
to axially symmetric components is the Mesna- biaxial stresses, but Gunnert used a fourth set to in Gunnerts original procedure (Ref 31). The
ger-Sachs boring-out technique (Ref 28, 29). The improve the accuracy. A mechanical gage, distance between the holes at the various depths
Table 2 Summary of destructive residual-stress measurement procedures

Component shape Stress-field-condition assumptions Stress direction measured Method Section and reference
Rods, cylinders, tubes Uniaxial stresses, axial symmetry Longitudinal Bauer-Heyn Triaxial Conditions (Ref 26)
Biaxial stresses, axial symmetry Longitudinal, radial Mesnager-Sachs Biaxial Conditions (Ref 28, 29)
Rectangular cross-section bar Uniaxial stresses varying through thickness Longitudinal Stablein Triaxial Conditions (Ref 27)
Plate, sheet Homogeneous planar, biaxial stresses Biaxial in the plane of the Treuting and Read Strain-Measurement Techniques (Ref
varying through thickness component 30)
Homogeneous planar, biaxial stresses Biaxial in the plane of the Gunnert Strain-Measurement Techniques (Ref
uniform through thickness component 31)
Homogeneous planar, biaxial stresses Biaxial in the plane of the Gunnert Strain-Measurement Techniques (Ref 1,
varying through thickness component 32)
Planar biaxial stresses varying through Biaxial in the plane of the Rosenthal and Strain-Measurement Techniques (Ref
thickness component Norton 33)
Planar biaxial stresses varying through Biaxial in the plane of the Moore and Evans Strain-Measurement Techniques (Ref 2)
thickness component
Triaxial All Chen Preparation for Strain Measurements
(Ref 34)
Cylinder, plate Various All Moore and Evans Strain-Measurement Techniques (Ref 2)
Plate, weldment Triaxial All Johanssen Strain-Measurement Techniques (Ref
25)
was then measured at each core depth until the removing thin slices parallel to the original sur- from the surface of the plate and measuring the
core was milled completely through the plate. face and from the bisected block as shown in the strains existing at each layer. The process as-
The cored plug was then assumed to be com- upper part of Fig. 4. sumed that the stress perpendicular to the surface
pletely free of residual stress. The measured dis- The change in strain of the blocks is measured was zero. It should be noted that in order for this
tances were then used to reconstruct the original using shallow holes or dimples in the original procedure to be valid, the areas measured by
biaxial stress condition of the plug at each cored surfaces of the component. These gage points are XRD would have to be free of plastic deforma-
depth. The mechanical measuring gage used in located along the long axis of the block on the tion caused by layer removal (see Sectioning
this technique was similar to that used in Gun- original faces of the plate (see Fig. 4). The dis- and Material-Removal Methods).
nerts first technique (Ref 31). tance between these gage marks is measured be- Triaxial Conditions. In reality, in most com-
Another approach to measuring residual fore and after removal of the blocks from the ponents in which residual stresses have been in-
stresses that has a broader application with re- plate and after each sectioning of the block (Ref duced, usually due to manufacturing processes,
spect to the shape of the component and the 33). the stress field is triaxial and varies from point
stress-field distribution was proposed by Rosen- This procedure assumes a constant biaxial to point (element to element) in all three direc-
thal and Norton (Ref 33). It is applicable to stress field over the length of the blocks, which tions. Thus, a number of destructive procedures
plates and plate-shaped weldments. is not the case in welded plates in the direction and stress-field condition assumptions have been
applied in order to measure the three-dimen-
The procedure involved cutting two narrow transverse to the weld. The far side of the block
sional residual-stress-field condition existing in
blocks having the full thickness of the plate, each in Fig. 4 shows a sectioning procedure that
most components of practical engineering inter-
with its long axis parallel to one of the assumed would reveal the stresses parallel to the weld
est. Two of these are described in this section.
biaxial principal, residual-stress directions in the along a gradient transverse to the weld. The far
Chen (Ref 34) revised Rosenthal and Nortons
surface of the plate (see the near side of Fig. 4). side of the block in Fig. 4 shows a sectioning approach to deriving the triaxial residual-stress
Thus, the long axes of the blocks are perpendic- procedure that would reveal the stresses parallel condition (Ref 33) as follows. The typical
ular to each other and parallel to the face, the to the weld along a gradient transverse to the method of residual-stress measurement is by me-
largest area surface of the plate. The smallest weld. Also, electrical-resistance strain gages chanically removing part of a body and measur-
dimension of the block should be several times could be used instead of measuring the distance ing the change of stress in the rest of the body.
smaller than the plate thickness and its largest between shallow holes or dimples. The method of Rosenthal and Norton instead
dimension at least twice the thickness. The block Another approach to a constant biaxial stress deals only with a small element that has been cut
then can be further sectioned in order to deter- field in a flat plate, varying only through thick- free from a plate. The sectioning procedure con-
mine the biaxial stress variation through the ness, was described by Moore and Evans (Ref sists of removal of a narrow block from a plate
thickness of the component. This proceeds by 2). They relied on XRD for the measurement of with gages attached, followed by splitting the
first cutting the block at the location representing the strains from which the stress was calculated, block in half with gages attached on the top and
the midthickness of the component plate, then and the procedure consisted of removing layers bottom surface of the block, and then successive
slicing of both halves from the midsection to the
outer surface, as shown in Fig. 4.
When the half-block is sliced to a thickness of
0 0.1 in., gages are removed and stresses are mea-
sured (at least two points) on the surface by
40 10 20 20 20 50 XRD. The basic assumptions are:
Partial stress relief occurs in the direction of
the long axis of the block and a total stress
relief occurs in the direction transverse to the
long axis.
90 The small amount of stress relaxed in the re-
Initial
sectioning
mainder of the block follows a linear law
through the thickness when a thin slice of
270 metal is removed.
Variation of transverse stress along the axis
Weld of the weld is small in the middle portion of
the plate weldment.
45
10 Saw cut
10 Fine cutter 180
(i.e., green abrasive saw 0.5 mm thick) Gage
5 Further
5
sectioning
10 Weld
Final
sectioning 10
10
10 Rosette gage
Fig. 4 Welded steel plate, the near side of which shows

Fig. 3 Residual-stress measurement of a girth-welded pipe by strain gaging and sectioning. Note that strain gages the two narrow blocks suggested in Rosenthal
shown in the final sectioning should be placed on the pipe prior to initial sectioning; and for a more complete and Nortons procedure (Ref 33). The far side shows several
analysis several of the layer sections detailed in the final sectioning step should be strain gaged and sectioned. Dimensions blocks sectioned to reveal the stresses parallel to the weld
given in mm with a gradient transverse to the weld.
The determination of residual stresses may be E E Sx sxy sxz

S1 (e1 me)
t X 0 (Eq 8)
divided into the following steps: 1 m2 1 m2 x y z
1. Determination of e1 and e,
t which represent m 2 b2
the amount of strain relaxed in longitudinal and
transverse directions by cutting one longitudinal
me t
1 b
e1 Sy

sxy

syz
Y 0 (Eq 9)
y x z
and one transverse block free from the plate. E E
St (et me)
1
This was done by determining the strain relief 1 m2 1 m2 Sz sxz syz
between two indentations on the top and bottom m 2 b2 Z 0 (Eq 10)
surface of each block using a mechanical gage
me1
1 b
et (Eq 3) z x y
(see Fig. 4) and subtracting the strain-gage read-
ings on the blocks from the initial reading from Differentiation of Eq 8, 9, and 10 with respect
where b is the correction factor for a shorter to x, y, z, respectively, yields:
the plate. Note that this measurement can be per- block. When plotted for the top and bottom faces
formed using electrical-resistance strain gages or of the block and joined by a straight line, these
XRD (Ref 7, 22, 23). 2Sx 2sxy 2sxz
values give the stress S relaxed by cutting the 0 (Eq 11)
2. Determination of strain relaxed on the top x2 xy xz
block from the plate.
and bottom surfaces by splitting each block in 6. Computation of stress (S) relieved by split-
half and then successively slicing the blocks. ting and slicing the blocks was done using: 2Sy 2sxy 2syz
0 (Eq 12)
3. Determination of the strain relieved (using y2 xy yz
at least two points) on the top and bottom surface
2 d (1 ) 2(e e )
1 det
a tE
0
using sensitive mechanical gages to measure the (S) t t
2Sz 2sxz 2syz
distance between indentations and using XRD 0 (Eq 13)
a
et et 0 z2 xz yz
after the thickness of the top and bottom halves
of the blocks had been reduced to 0.1 in. Note
3(1 ) 0.5 (1 l)
2 dl
Subtracting the summation of Eq 11 and 12 from

that this restriction was necessary because they Eq 13, results in:
are using conventional scanning x-ray instru- (5 4)et (1 )eb0
0
(Eq 4)
mentation. With modern x-ray instruments, mea-
2Sz 2Sx 2Sy 2sxy
2 2 2 2
surements can be made on any size of specimen

1 deb (Eq 14)
(Ref 7, 19, 20, 2224). a bE
(S) (1 ) 2(eb eb0) z x y xy
2 d
4. An enhancement of the Rosenthal and Nor-
eb eb0
a
ton procedure (Ref 33) was suggested by Chen
(Ref 34) where the determination of the residual
3(1 ) 0.5 (1 l)
2 dl
Variation of Sx along the x-axis is small in the
middle portion of the plate; therefore, the first
stress remaining in the top and bottom slices was term in Eq 14 can be neglected, and Eq 14 can
measured using XRD. Here the lattice strain was (5 4)eb0 (1 )et 0 (Eq 5) be approximated using:
measured in the remaining slices in at least two
places near the gage points using XRD, and the where l is the thickness of the block; is the 2Sz 2 2
(Sy1 Sy0) sx2y2 (Eq 15)
absolute residual stress, S*t and S*1 remaining fraction of the total thickness removed; e, z2 Dy21 Dx2Dy2
t e
b are
was calculated as described in the section Stress the relaxed strain measured on top and bottom
Measurement in this article. These XRD-deter- surface for position ; and et 0, eb0 are the re- where Sy0 is the value of Sy at the axis, Sy1 is the
mined stresses measured for each block were av- laxed strain on top and bottom surface when value of Sy1 at a distance Dy1 on either side of
eraged and designated S* t or S*
1 for that face. The splitting the block in half. the x axis, and sx2y2 is the value of sxy at a dis-
original stress S present before slicing was de- 7. The total stresses relaxed across the thick- tance Dx2 and Dy2 from the y axis and x axis,
termined by: ness of the block in the longitudinal and trans- respectively.
verse directions were obtained by: Therefore, the stress in the thickness direction
St S*t Eet Sz can be obtained through double integration
(Eq 1)
S1 S1 S1 (Eq 6) with the boundary condition that Sz vanishes at
S1 S* Ee1 both the top and bottom surfaces. In this way,
St St St
the entire triaxial residual-stress state was deter-
The total strain e may be obtained by dividing 8. Determination of shearing stresses in the mined. Note that this procedure assumes that the
St or S1 by the modulus of elasticity, E. longitudinal and transverse directions were de- residual stresses are uniform along the length of
5. Computation of stress relieved by cutting termined by: each block.
the blocks from the plate was accomplished us- A variation on Rosenthal and Nortons
ing the values of e and e obtained in steps 1 Sw S v method (Ref 33) using electrical-resistance
and 3, the amount of longitudinal and transverse sxy syx (Eq 7) strain gages or a nondestructive technique such
2
stress (St and S)
1 relaxed by cutting the blocks as XRD is as follows. The largest face of the
from the plate: where s is the shear stress and Sw and Sv are the blocks described by the thickness of the com-
stresses measured in the direction w and v mak- ponent (plate) and the longest dimension of the
E mE ing angles 45 and 45, with the longitudi- blocks is divided into a two-dimensional grid of
S1 (e1 me)
t (et me)
1 nal axis. However, if the biaxial stress condition elements. An electrical-resistant strain gage is
1 m2 1 m2
is assumed, only the strain relief in one 45 di- placed on each element, or a nondestructive mea-
E mE rection need be determined since they would be surement such as XRD is performed, and the
St (et me)
1 (e1 me)
t
1 m2 1 m2 equal. This requires that either a block at a 45 block is sectioned along the grid lines to produce
(Eq 2) angle to the longitudinal block be removed, or elements that are assumed to be stress free. Note
that electric residual-strain-gage rosettes be that if a nondestructive technique such as XRD
where m is Poissons ratio. Equation 2 is valid used, or XRD measuring at the 45 angle. is used, the plastically deformed surface created
for the case where the length of the block is at 9. Determination of stress in the thickness di- by removing the block from the original com-
least twice the thickness of the block. In case of rection was determined by the equilibrium equa- ponent must be removed. This is best done using
shorter blocks: tions: electropolishing (see the section Sectioning and
R
Material-Removal Methods). If electropolish- are then used to calculate the original stresses
ing of these cut faces is done to remove the plas- rh(r) and rz(r), as well as the radial stress rr(r).
rr(r1, h) r1
tic deformation and resultant residual stress in- The theory of elasticity provides nine partial

g0(r) 2r1
duced by a mechanical cutting procedure, and differential equations: the three equations of 2 g1(r)cos h dr (Eq 24)
XRD is applied, then the blocks need not be sec- equilibrium and the six equations of compatibil- r r
tioned. The measured XRD stress will provide ity. Unique solutions are possible, depending on R
the absolute residual-stress-field condition in the
block, andcoupled with the strain relieved by
boundary conditions, and for the case considered
they give the following working formulas:
rh(r1, h) rhm(r1, h) r1
the original removal of the block from the

g0(r) 6r1
platethe entire triaxial residual-stress condi- R 2 g1(r) cos h dr (Eq 25)
rhm(r)

r r
tion of the plate can be obtained. rr(r1) dr (Eq 16)
r1 r
This variation of Rosenthal and Nortons R
method (Ref 33) provides the information nec- R

rzm(r)
rz(r1, h) rzm(r1, h) r1
essary to derive the biaxial stress condition of rz(r1) rzm (r1) 2 dr (Eq 17)

each block, which can in turn be used to derive r1 r 2h0(r) 8r1h1
2 cos h dr (Eq 26)
the triaxial condition of the original plate. The r r
stresses on each of the measured faces of the rh(r1) rhm(r1) rr(r1) (Eq 18)
R

blocks must be measured in three directions to 2r1
srh (r1, h) g1(r) sin hdr (Eq 27)
provide the information necessary to obtain the where r is the original radius and r1 is the radius r1 r2
principal stresses in the block faces in each ele- at depth of interest.
ment. Note that the strain change caused by the Solid Cylinder Bar, without Rotationally Sym- If stresses are measured at four points around
sectioning of the blocks must be added to the metric Stresses. Stresses are again assumed to be the cylinder 90 apart, and, regardless of sym-
strains measured in each element. independent of z but allowed to vary in the cir- metry, the g and/or h functions from Eq 23 be-
This procedure can be applied to a weldment cumferential h direction. Complex variable come:
with a single weld through its center as described methods give the following general solutions:
by Rosenthal and Norton (Ref 33), or to a more h 0 rm0 (r) g0(r) g1(r) g1(r)
elaborate stress field, for example, where two or- R h 90 rm1 (r) g0(r) ig(r) ig1(r)
thogonal welds existed in the component (plate).
With a single weld, only the block intersecting
rr(r1, h) r1
h 180 rm2 (r) g0(r) g1(r) g1(r)
weld needs to be sectioned into elements because

g0(r) 2r1
the residual-stress field in the block parallel to 2 Re[g1(r)eih] dr (Eq 19) h 270 rm3 (r) g0(r) ig1(r) ig1(r)
r r (Eq 28)
the weld is likely to be constant along the direc-
tion parallel to the weld. R

in which the summation was expanded using
Moore and Evans (Ref 2) proposed mathe- rh(r1, h) rhm(r1, h)
matical procedures for the reconstruction of the r1 values of n 1, 0, and 1. This is a reason-
able approximation, providing the stresses do

original three-dimensional residual-stress fields g0(r) 6r1
in cylindrical and flat plate components, and 2 Re[g1(r)eih] dr (Eq 20) not drastically vary with h.
r r Adding the equations cancels the g1 and g1
Constantinescu and Ballard (Ref 3) proposed a
modification of Moore and Evans work. They terms, giving:
R
proposed using XRD as the measurement tech-
nique and presented stress-reconstruction equa-
rz(r1, h) rzm(r1, h) r1 g0(r) 14[rhm (r) rhm (r)
0 1

tions for the following conditions: 2h0(r) 8r1
2 Re[h1(r)eih] dr (Eq 21) rhm (r) rhm (r)] (Eq 29)
r r 2 3
Solid cylinder bar, rotationally symmetric

stresses Subtracting the equations in pairs and then add-
R
ing the results cancels the g0 and g1 terms, giv-

Solid cylinder bar, without rotationally sym- 2r1
srh(r1, h) Im [g1(r)eih]dr (Eq 22)
metric stresses r1 r2 ing:
Hollow cylinder bar, rotationally symmetric
stresses where Re and Im indicate real and imaginary, g1(r) 14{[rhm (r) rhm (r)]
0 2
Flat plate, biaxial stresses respectively, of whatever follows.
i[rhm (r) rhm (r)] (Eq 30)
The measured stresses rhm (r1, h) and rhz (r1, 1 3
The Moore and Evans procedures were sum- h) are related to the g and h functions by a Fou-
marized in the Society of Automotive Engineers Equations 29 and 30 can be used in the general
rier series relation: solutions, Eq 19 to 22. However, if the stresses
Handbook (Ref 4) as described in the following
paragraphs. are symmetric with respect to a plane through

the axis, then rhm (r) rhm (r) and Eq 30 be-
Solid Cylinder Bar, Rotationally Symmetric
Stresses. It is presumed that the residual-stress
rhm (r1, h) gn(r)enih
comes:
1 3
distribution has both rotational and longitudinal

symmetry, except near the ends where measure- rzm (r1, h) hn(r)enih

(Eq 23) g1(r) 14[(rhm (r) rhm (r))]
0 2
(Eq 31)
ments are avoided. Stresses are therefore func-
tions of the radius, r, and do not depend on the Equations 29 and 31 are then used in Eq 24
angle, h, measured around the cylinder, nor on If the stresses are symmetric with respect to a to 27, along with similar formulas for the h func-
the distance z taken parallel to the axis. By re- plane through the axis of the cylinder, the gen- tion, determined from Eq 23 in the same way. It
peatedly removing thin concentric shells, the eral solutions simplify because the g1(r) and is again interesting to note that Eq 16 to 18 are
stresses on the exposed surface in depth can be h1(r) functions will be real. This is a reasonable included in the general solution of Eq 19 to 21,
obtained. The circumferential and longitudinal approximation when the residual stresses are in- when the stresses are rotationally symmetric.
measured stresses rhm(r) and rzm(r), respec- duced by heat treatment or straightening and the The shear stress of Eq 22 or 27 exists only as a
tively, equations become: result of asymmetry of the h stresses. When sym-
metry is obtained, the g1(r) terms are zero, as is cipal stresses, but in this case a shear stress also Johanssen showed that the change in stresses
srh(r1, h). exists, expressed by: resulting from the removal of material can be
Hollow Cylinder Bar, Rotationally Symmetric determined by Dr(x) and m(x). These were to be
Stresses. If R1 is the inside radius of the cylinder, H
sxym(z) measured at a number of positions xi, i 1,,
similar analysis generalizes the previous equa- sxy(z1) sxym(z1) 2
z1 z N, on the lower side of the plate. Drx(x) and m(x)
tions to the following final formulas: H are the difference between the stress and defor-
sxym(z)
rr(r1)
dz 6z1 z1 z2
dz (Eq 36) mation measured prior to and following the re-
moval of material. Changes in the internal stress
conditions are thus calculated directly and need
1 r r
R21 R
r2 rhm(r) sxym (z) is determined from:
dr (Eq 32) not be calculated as accumulated stress changes
2
1 r1
2
R12 r
resulting from several layers of material being
ram (z1) rxm (z1) cos2 rym(z1) removed.
R
rz(r1) rzm(r1) 2 r1
sin2 2sxym(z1) sin cos (Eq 37) By introducing Aireys stress function u(x, y)
that is defined as:
where is the acute angle that the measured
r
r2 rzm(r)
dr (Eq 33)
2
R12 r stress ram (z1) makes with the x axis. When mea- 2
rx
surements are taken 45 apart, sxym (z1) becomes: y2
r21 R21
rh(r1) rhm(r1) r 1 R1
2 2 rr(r1) (Eq 34)
sxym(z1) r45(z1) ry
2
x2
and sxy
2
xy
(Eq 39)
The above equations include those of the solid 12[rxm(z1) rym(z1)] (Eq 38)
Equilibrium and compatibility are automati-
cylinder when R1 is zero. cally satisfied if is a solution to the biharmonic
Flat Plate, Biaxial Stresses. It is assumed that meaning that three x-ray stress measurements are
required after each layer removed. differential equation:
the residual stresses in a flat plate of uniform
thickness depend only on the distance from one Johanssen proposed a procedure (Ref 25) for
the determination of the three-dimensional resid- 2 2u 0 (Eq 40)
of the flat surfaces of the plate, except, of course,
near the edges. It is also assumed that the prin- ual-stress field in thick plate (plate weldments)
cipal stresses are rx and ry, lying in the plane of components using XRD techniques to measure The homogeneous boundary conditions are:
the flat surfaces, and that the stress normal to the the strains on the surfaces of the plate and plate
flat surfaces, rz, is zero at all points sufficiently sections, and upon removal of layers of surfaces. ry(x, 0) 0 (Eq 41)
distant from the edges. The procedure includes the measurement of the
From the authors assumptions and conditions biaxial stress field existing on the top surface of y 0
of equilibrium, the true stresses rx(z1) at depth the component (see Fig. 5), assuming that the sxy(x, 0) 0 (Eq 42)
z1 can be expressed in terms of the measured stress perpendicular to the surface is zero. Ma-
stress rxm (z1) by the relation: terial is removed from this surface by, for ex- sxy(a, y) 0 (Eq 43)
ample, milling and electropolishing, or electro-
H
rxm(z) polishing alone (see Sectioning and
rx(z1) rxm(z1) 2 z1 z
dz Material-Removal Methods) and the biaxial
x a
stresses remeasured at the new depth. Each time rx(a, y) 0 (Eq 44)
H
rxm(z)
6z1
z1 z2
dz (Eq 35) material is removed, the forces that the removed
layer exerted on the remaining component must and at y 0 there should be agreement with
be accounted for, and the subsequent measure- experimental measurements; that is:
where H is the original thickness of the plate and ments corrected for this change in the stress field.
z1 is the distance from lower surface to uncov- Johanssen based his method on the following as- rx(x, 0) Drx(x) (Eq 45)
ered depth of interest. sumptions:
A similar expression holds for the y direction. Pickel (Ref 35) described a method for ana-
When a layer of material is removed, the re-
Equation 35 holds, even if rx and ry are not prin- lytical solution of problems with this type of
sulting changes in the stress condition will be
boundary condition, using infinite, related series;
linear elastic; that is, Hookes law is appli-
however, in this instance an approximate method
cable.
is used with trial solutions that are both more
The residual-stress distribution is constant in
convenient and numerically more stable.
the z-direction, except at the surface, and rz r
1/ 2 in. The force T is divided into Tx(x) and Ty(x) (see
II is a principal stress in the z-direction (see Fig.
I Fig. 6) and as a solution to Eq 45 to 47, u is
5).
taken as u ux uy where ux is the solution
Upon material removal, it is assumed that the
for the loading case where only Tx(x) differs
strain ez remains unchanged. Together with
from zero (and therefore the boundary condition
the previous assumption, this implies that the
III ry(x, b) 0 must be applied), and uy is similarly
change in stresses can be treated as a plane
the loading case where only Ty(x) is not equal to
problem.
zero. This ensures that the trial solutions will be
I It is assumed that the stresses are symmetrical
sufficiently general and not involve any limita-
4 ft with respect to the y-z plane. This assumption r
tions on T (x).
is, however, not necessary. The procedure can
2 ft
The solutions for ux and uy are then adjusted
be developed to include asymmetrical stress
1 in. so that they satisfy Eq 43 and as many of the
states.
boundary conditions as possible. By direct sub-
Fig. 5 A 2 by 2 by 4 ft (0.6 by 0.6 by 1.2 m) weldment
showing the layers proposed by Johanssen (Ref
Johanssens justification for his procedure to stitution, it is easily verified that the trial solu-
25) where the thickness (T) of the layers are 0.5 in. (12.5 measure the three-dimensional stress field in the tions in the following satisfy all the boundary
mm) and rI ry, rII rx, and rIII rz. weldment shown in Fig. 5 is as follows (Ref 25). conditions except rx(a, y) 0; however, this
N
condition can be filled and the measurement can 2x vx
be fit using an approximate method, such as the rxy
x2

n1
exy
y
(Eq 52)
least-squares method. If this can be performed
Cnx[(nb sinh ny ny cosh ny) one obtains:
sufficiently accurately, these trial solutions are
close to the exact solution, since it has been (1 nb coth nb)ny sinh ny]cos nx (Eq 48)
v(1 v)

y2
shown that the solution is uniquely determined vx(x, y) Cx C0xy
by the stated boundary conditions. 2x
N E 2
sxxy Cnx 1v
N

2
For the loading case Tx(x): xy n1

E
Cnx nby sinh ny 2b
[2nby sinh ny (1 nb coth nb) n1
N
y3 y2 Cnx v
x(x, y) Cx
6
C0x
2

n1 n
2
(sinh ny ny cosh ny)]sinh nx (Eq 49) cosh ny
1v
nby sinh ny
Since plane strain has been assumed xz can be

[nb(sinh ny ny cosh ny)
(1 nb coth nb)ny sinh ny]cos n (Eq 46)
calculated from: (1 nb coth n y cosh ny
1 v
xz m(rx ry) (Eq 50) sinh ny
n 1v
is valid where n np/a and 2a and 2b are the
cos x
width and thickness of the plate after removing where m is the Poissons ratio. Further, the strain 1
exy can be obtained from: sinh ny y cosh ny n (Eq 53)
material. n
Equation 39 gives:
1 m2

m A similar treatment is used for the loading case
exy ry rx (Eq 51) r
T (x). In that case, the solution is given by:
E 1 m
N
2x
rxx
y2
Cxy C0x Cnx[(nb(coth
n1 where E is the elastic modulus. y(x, y) Cy
y3
C0y
y2

N
Cny
Since the condition for compatibility is satis- 6 2 n1 n2
bb 1)(2 cosh ny ny sinh ny) nb
fied, the displacement in the y-direction is [(1 nb coth nb)(sinh ny ny
(sin hny ny cosh ny)]coshnx uniquely determined, excepting rigid body dis-
(Eq 47) placements, from the relationship: cosh ny) 2n by sinh ny]cos nx (Eq 54)
from which are obtained:

N
2y
y yx
y2
Cy C0y
n1
Cny[2nb cosh ny 2n by sinh ny

(1 nb coth nb) (sinh ny
Removed layer
ny cosh ny)]cos nx (Eq 55)
N
2y
x
yy
x2

n1
Cny
x(x)
Ty (x) T (x ) [(1 nb coth nb)(sinh ny ny
y cosh ny) 2nby sinh ny]cos nx (Eq 56)
Internal forces Tx(x)
2 y N
syxy
xy

n1
Cny[nb sinh ny n2by cosh ny)

(1 nb coth nb) ny
x
x(x) sinh ny]sin nx (Eq 57)
Finally, the displacement is given by:

x(x)corr
v(1 v)

y2
y vy(x, y) Ey C0yy
E 2
N
1 v

2

E n1
Cny b sinh ny
v
nby cosh ny
1 v
x
(x) (b sinh ny nby cosh ny)
x(x)
x(x)
(1 coth nb) y sinh ny
2 v
cosh ny
Fig. 6 Residual-stress distributions, forces, and distortion of a plate before and after layer removal. Top: residual-stress n 1 v
distribution in the x-direction in the center of the plate in the x-z plane; center: same as top after removal of a
layer with the forces Ti(j) caused by the residual stresses tending to distort the plate; bottom: same as center with the
distortion displacement shown (Ref 25) y sinh ny cos nx (Eq 58)
By letting the stresses and displacements be using the exact equations of the previous sec- 1
Dz1 (0.05)H (Eq 69)
equal to the measured values, the following re- tions. The method is summarized for two of the 4
lations are obtained: previous cases as follows.
Flat Plate (see Flat Plate, Biaxial Stress). A For a plate 0.4 in. (10 mm) thick, for example,
rxx(xi, 0) ryx(x2, 0) Drx(xi) generalized solution is written: the slice depth is 0.005 in. (0.13 mm).
i 1, 2, (Eq 59) If the stress gradient is high, then the next term
H
rm(z)
m (xi, 0) m (xi, 0) m(xi)
x y
r(z1) rm(z1) 2 z1 z
in the correction series should be included and a
quadratic in Dz1 solved. This requires an esti-
H
rm(z)
mate of rm(H) based on experience.
i 1, 2, (Eq 60) dz 6z1
z1 z2
dz (Eq 64) Solid Cylinder (see Solid Cylinder Bar, Ro-
tationally Symmetric Stresses). A generalized
and satisfying the boundary condition stated in solution from Eq 16 and 17 is written:
Eq 44 at a suitable number of positions: The subscripts x, y, or xy have been dropped,
because the form of Eq 35 and that of Eq 36 are R
rm(r)
rxx(a, yi) rxy(a, yi) 0 i 1, 2, (Eq 61) exactly the same. r(z1) represents the true stress r(r1) rm(r1) k r1 r
dr (Eq 70)
in any direction at depth z1 before a layer was
Equations 53 to 61 form an overdetermined sys- removed, and rm(z1) represents the measured
tem, from which the unknown coefficients Cnx value at that depth. where, again, the subscripts r, h, and z have been
and Cny can be determined using, for example, The correction in stress c(z1) at z1 is the dif- dropped because the form is the same.
the method of least squares. The desired correc- ference between the true and measured value, When rr(r1) is desired:
tion of the stresses measured at the surface after given by:
removing material can finally be expressed as: r(r1) rr(r1)
H
rm(z) rm(r1) 0
rxcorr rxx(x, b) rxy(x, b) (Eq 62) c(z1) r(z1) rm(z1) 2 z1 z k 1
H
rm(z)
and dz 6z1 z1 z2
dz (Eq 65) rm(r) rhm(r) (Eq 71)
rzcorr When rz(r1) is desired,

The integrands are then expanded in a Tay-
m[rxcorr ryx(x, b) ryy(x, b)] (Eq 63)
lors series referred to the surface values, after r(r1) rz(r1)
which the integration is performed term by term.
Sikarskie (Ref 36) proposed a stress-recon-
The final form for the correction is: rm(r1) rzm(r1)
struction procedure (series method) when thin
layers were removed from the surface of a com- k 2
H z1
ponent. He described procedures applicable to
flat plates and solid cylinders. The procedure
c(z1) 4rm(H)
H rm(r) rzm(r) (Eq 72)
H z1 2

works well for shallow depths (a few percent of rh(r1) is calculated from rhm(r1) using Eq 18.
specimen diameter or thickness), or in instances [rm(H) 2Hrm(H)]
H The correction term in stress, c(r1), is written
where the stress gradient over the total depth re- as before:
1
moved does not change too rapidly and is of es- [2rm(H) Hrm(H)
3
sentially one sign. The practicality of this c(r1) r(r1) rm(r1) (Eq 73)
H z1 3
method depends on the fit of the measured
stresses in depth by a Taylors series referred to
2H 2rm(H)] H (Eq 66)
Again, expanding the integrand of Eq 70 in a
the surface values of stress and successive deriv- Taylors series and integrating term by term, a
atives at the surface. When the method is appli- where rm(H), rm(H), are true surface stress and final form for the correction is obtained:
cable, very convenient relations are obtained, successive derivatives with respect to z at the
which describe the stress correction in terms of R r1

surface. 1
the influencing factors, for example, layer depth, For shallow depths, only the first terms of the c(r1) k rm(R)
R 2
stress magnitude, stress gradient, and specimen series can be used and:
R r1 2

size. Judgment is necessary, however, in using 1
[rm(R) Rrm(R)]
the series approximation that does not arise when R 6
Dz1
c(z1) 4rm(H) (Eq 67) [2rm(R) 2Rrm(R) R2rm(R)]
H
R r1
y where Dz1 H z1. This correction is seen to R
(Eq 74)
be approximately proportional to the magnitude
of the surface stress and thickness of the re- where rm(R), rm(R), and so forth, are the surface
moved layer (Fig. 7). It is inversely proportional stress and successive derivatives with respect to
y to the specimen thickness. z at the surface.
x x By solving for Dz1, the question of proper Insight into the factors that influence the cor-
slice is given by: rection holds exactly as previously discussed, as
do the limitations of the method.
z 1 Hc(z1)
Removed layer Dz1 (Eq 68) Ruud et al. (Ref 2224) applied a modifica-
4 rm(H) tion of Johanssen method to measure the triaxial
stress condition of thick plate 214Cr-1Mo plate
H z1 x
Thus, for example, if the measured stress is to weldments. Ruud et al. actually measured the
x be in error by less than 5%, c(z1)/rm(H) strains in all directions and calculated the
Fig. 7 Stresses in flat plate after layer removal 0.05 and the appropriate slice depth is: stresses, but did not correct for layer removal due
to the complex nature of the stress field. Ruud et Sectioning and Material-Removal moval. These techniques may be used solely or
al. also measured the residual-stress condition of Methods in conjunction with, and after, the chip-removal
expanded tubing including 304 stainless steel method. It should be noted that material-removal
tubing (Ref 37) but focusing on the residual As discussed in the previous sections in this techniques such as electrodischarge milling
stresses on the inside surface of the heat-ex- article, many procedures require that the com- (EDM) induce residual stresses (Ref 44) as do
changer tube components. ponent (sample or part) be sectioned and/or chip-removal methods. Other methods, such as
some material be removed from it to measure the laser, flame, or plasma cutting that cause heating
residual stresses. This is especially true for the of the element, must be applied with caution be-
measurement of internal residual-stress fields cause they may reduce the stress field by an-
0
where the component nearly always has to be nealing before it can be measured.
to the milling direction, ksi
Residual stresses parallel
sectioned to reveal the internal stress field. The Thus, the only methods for material removal
10 two exceptions to the necessity of sectioning and from a component surface that do not induce re-
material removal, neutron diffraction and ultra- sidual stresses are electrolytic or chemical pol-
sonic methods, are described in the section ishing. Electropolishing is described in some de-
Nondestructive Procedures in this article. tail in Ref 45, and guidelines are provided for
20
Sectioning or material removal is required by a application to various ferrous alloys. In electro-
particular residual-stress measurement procedure polishing, the electrolyte and operating condi-
(see the section Stress-Field Condition Assump- tions depend on the alloy being polished, as
30
0 shown in Ref 4 and 45. Electropolishing com-
0 2 4 6 8 tions) or method (see the section Strain-
Measurement Methods). Mechanical chip- bined with XRD is used extensively to reveal
Distance from the workpiece surface, mils
removal processes are usually applied because residual-stress gradients on machined, ground,
Residual stresses at the surface and near the sur- of their economy and speed. All chip-removal and hardened surfaces. However, application of
Fig. 8 these techniques requires that the subsurface
face due to milling a medium-carbon steel work- processes, including lathe turning, drilling, mill-
piece stresses be corrected for the removal of prior sur-
ing, sawing, grinding, and so forth, introduce
surface residual stresses that can be as high as face layers (Ref 4).
the yield strength of the strain-hardened metal Another concern when reducing components
and several thousandths of an inch (tens of mi- to a more convenient smaller size to place them
40
crons) in depth (Ref 3843). Figures 8 to 10 on or in a measurement device is that the stresses
20 show the residual stresses in steels caused by of interest are not changed by the sectioning.
various machining processes. Furthermore, some Generally, plates should be cut to a length and
0 steels are especially prone to strain hardening width of at least three times the thickness to
for example, austenitic stainless steelsand ex- avoid end effects. Cylinders, both thin-walled
Residual stresses, ksi
20 tra care must be used with these materials when and solid, should be a minimum of three diam-
selecting a material-removal technique. Figure eters in length.
40 Where the manufacturing process affects the
11 shows plots of the residual stresses in 304
60 austenitic stainless steel caused by various grind- entire thickness of a component, such as heat
ing methods. Note that these plots are only a treatment or forging, it might not be advisable
80 sample and may not be typical. If the size of the to section without means of measuring the stress
element in which the strain change is measured change extensively over the entire component
100 is smaller, or thinner in the case of surface-depth before sectioning. In other words, selection of
gradients, than about 0.1 in. (23 mm), then a the stress-measurement procedure and methods
120
0 2 4 6 8 10 12 14 chemical or electrochemical material-removal should avoid sectioning unless techniques to
Distance from the workpiece surface, mils technique must be used to remove the surface measure the effects of sectioning are applied be-
residual stresses caused by mechanical chip re- fore sectioning is initiated. On the other hand,
Residual stresses in a 440 C (825 F) stainless when the processes that have induced the resid-
Fig. 9
steel workpiece induced by facing ual stress produce only shallow stress fields, then
the three-times rule suggested previously is ap-
100 plicable.
20 80
Strain-Measurement Methods
Handheld grinder Abusively
0
machine
60 ground As discussed in the section Stress Measure-
20
ment, all residual-stress-determination methods

40 40
measure elastic strain, not stress, and the residual
stress is calculated from the strain values. Sev-
60 Handheld eral methods for the measurement of strain have
20 flapper been applied in residual-stress studies and have
80 wheel
been mentioned previously. These methods in-
100 0 clude:
120 Mechanical gages
20 Electrical-resistance gages
140 0 2 4 6 8 10 12 14
0 2 4 6 8 Optical gages
Birefringent methods
Diffraction methods (x-ray and neutron)
Fig. 11 Samplings of residual-stress distributions in-
Residual stresses in an alloy steel workpiece duced in 304 stainless steel workpieces by Ultrasonic methods
Fig. 10 Magnetic methods
induced by turning common grinding procedures
Diffraction, ultrasonic, and magnetic methods 50), and others. Vikram and others (Ref 50) sug- steels has been investigated by several research-
are discussed in the section Nondestructive Pro- gested that a small volume of the material could ers (Ref 5456). One procedure consisted of im-
cedures in this article. be stress relieved by heating via a laser to induce mersing the specimens in a boiling aqueous so-
Mechanical Gages. The application of me- a change in the stress field and the strain change lution of 60% Ca(NO3)2 and 4% NH4NO3 for 31
chanical gages such as those described by Heyn measured by an optical technique to reveal the h. The crack patterns that developed were related
(Ref 26), Stablein (Ref 27), Gunnert (Ref 31), residual stresses existing in the volume before to the surface tensile residual-stress distributions
and others generally preceded the availability of heating. However, it must be recognized that in the specimen.
electrical-resistance strain gages and are not dis- heating a volume of steel sufficiently to change A number of standard practices for testing the
cussed due to their general lack of precision, the residual-stress field will result in tensile re- susceptibility of metals to stress-corrosion crack-
poor spatial resolution, and inefficiency. sidual stresses in the heated volume (Ref 51), ing have been published by ASTM, including:
Electrical-Resistance Strain Gages. Most and this would likely be detrimental to the com- ASTM G 38 Standard Recommended Prac-
bonded electrical-resistance strain gages are ponent in which stresses were being measured.
tice for Making and Using C-Ray Stress Cor-
made from either metallic wire or foil materials. Birefringent Methods. Under the action of
rosion Test Specimens, 1979
There are also the recently developed semicon- stresses, transparent materials become doubly re- ASTM G 58 Standard Practice for the Prep-
ductor gages. A variety of sizes, shapes, and con- fracting (birefringent), and if a beam of polarized
aration of Stress Corrosion Test Specimens
figurations are available including single-ele- light is passed through a model (under stress)
for Weldments, 1978
ment gages and rosettes with two, three, or four made of such a material, a colored picture is ob- ASTM G 39 Standard Practice for Prepara-
elements. Electrical-resistance strain gages are tained from which the stress distribution can be
tion and Use of Bent-Beam Stress Corrosion
available in sizes as small as about 1 mm and determined. This technique is called the photo-
Test Specimens, 1979
thus provide a resolution of strain measurement elastic technique (Ref 46). The actual component ASTM G 30 Standard Recommended Prac-
on that order. Information on electrical strain in which the stresses are to be measured is coated
tice for Making and Using U-Bend Stress
gages is available in numerous sources including with a photoelastic polymer. When residual-
Corrosion Test Specimens, 1979
Ref 46 and in reviews by Crites (Ref 47) and stress changes are induced in the component, ASTM STP 425 Stress Corrosion Testing,
Masubuchi (Ref 14) as well as suppliers (e.g., strain changes are caused and transmitted to the
1967
Measurements Group Inc., Raleigh, NC). polymer coating, which then becomes bire-
Changes in temperature tend to cause an ap- fringent. This can be observed and measured us- However, these tests for the most part do not
parent strain; therefore, some type of tempera- ing a reflection polariscope (Ref 14). Instructions reveal the residual stress, but rather the suscep-
ture compensation is needed. Frequently, a for analyzing fringe patterns in this application tibility of the metal to cracking under known
dummy gage, which is not subjected to the (nearly the same as those obtained in ordinary stresses in the specified corrosion medium.
strain, is exposed to the same temperature as the photoelasticity) are provided by the manufac-
actual gage to provide a basis for comparison. A turer.
temperature-compensated gage can also be used. The photoelastic coating may be applied by Semidestructive Procedures
Gages must be bonded securely to the speci- brushing a liquid polymer on the surface of the
men. Various types of cements have been de- specimen and polymerizing it by applying heat. Nondestructive methods of residual-stress
veloped. Sometimes gages must be protected Alternatively, a prefabricated flat or contoured measurement are characterized as methods that
from metal chips produced during machining as sheet of polymer may be bonded to the part at in no way affect the serviceability or reduce the
well as from the oil or water. A number of sys- room temperature (Ref 52). The maximum strain mechanical strength or other properties of the
tems have been devised for protecting gages un- that can be measured ranges between 3 and 50%, component in which stresses are measured. Be-
der various conditions. depending on the type of polymer used; the tween the nondestructive and destructive meth-
Brittle coatings are a simple inexpensive strain sensitivity usually decreases with the in- ods, which have a severe effect on the service-
strain gage that will only provide qualitative increase in the maximum measurable strain. ability, strength, and properties, are the
dications of residual stress. A brittle lacquer is semidestructive methods. These are methods
applied to the area where the stresses are to be Chemical Methods that have a small to negligible effect on the com-
measured by material removal. After the lacquer ponents in which stresses are measured, or meth-
has cured (dried), a change in the stress field is A number of qualitative methods to detect re- ods in which the component may be repaired af-
induced, and if the change is sufficient strain will sidual stresses that may lead to stress-corrosion ter the measurement.
be produced in the lacquer, causing it to crack. hydrogen-induced cracking in steel have been The methods that are considered semidestruc-
If the material removal is in the form of a hole applied to specimens representing components tive are those that require small holes to be
drilled in the lacquer, radial cracks indicate a ten- to be manufactured. Magnesium chloride solu- drilled or rings to be trepanned in the component
sile residual stress in the plane of the component tions have been applied extensively to the study or indentations to be made in the surface. The
surface and circular cracks indicate compressive of stress corrosion in austenitic stainless steels, first two methods provide quantitative data and
stress. including some recent work by Bouzina et al. the third only qualitative data.
Optical Gages. Light reflective methods can (Ref 53).
be used to magnify the movement of a reflective Masabuchi and Martin (Ref 54) studied the Blind Hole Drilling and Ring Coring
surface in a well-fixtured component that is held susceptibility of SAE 4340 steel weldments to
securely in place during material removal to hydrogen-induced stress cracking. The test pro- The hole-drilling method was proposed in the
change the stress field and therefore induce strain cedure was to immerse the weldment specimens 1930s (Ref 57) and is based on measurement of
change. This method can also be used if the com- in a 4% H2SO4 aqueous solution charged with the change in surface strain caused by stresses
ponent can be removed and replaced precisely in H2 and to which two drops of a 5% P solution relieved by machining a shallow hole in the test-
a fixture and the position of the reflected light of CS2 was dissolved. A direct current (dc) was piece. The principle is that removal of stressed
measured before and after removal and replace- applied between a specimen and a lead anode to material results in the surrounding material re-
ment during which a change in the residual- provide a current density of 0.35 to 0.8 A/in.2 adjusting its stress state to attain equilibrium.
stress field was induced. The crack patterns that developed were related The method has been standardized in ASTM E
Laser Methods. Other techniques applying la- to the surface tensile residual-stress distribution 837 (Ref 58). The ring-core method (Ref 59) is
ser light have been proposed as well. These have in each specimen. also based on the strain caused by disturbing the
included shearography (Ref 48), interferometry Stress-corrosion cracking induced by residual stress field, but in this case a relatively stress-
(Ref 49), speckle-correlation interferometry (Ref stresses in carbon and low-alloy high-strength free island of material is isolated by making a
shallow ring around a strain gage. This method assumed to be constant across the hole or ring 72) proposed that residual stresses could be mea-
is also called trepanning. These two methods are diameter. sured by pressing a ball-shaped penetrator into
the least destructive mechanical stress-relief Areas where stresses are greater than one- the component in which residual stresses were
techniques and are relatively simple and eco- third the yield strength of the material are to be measured and establish the relationship be-
nomical. They, as do nearly all stress-relief tech- likely to produce erroneous results due to lo- tween the pressing load while it was progres-
niques, rely on electrical-resistance strain gages cal plastic yielding during metal removal. sively increased, and the electrical resistance at
to measure the strain change due to metal re- The thickness of the part or specimen must the interface between the penetration and the
moval. Rosettes of strain gages are available es- be at least four times the hole or core diam- component. He maintained that a smaller de-
pecially for hole drilling. The size of the rosettes eter. crease in electrical resistance indicated that por-
has been progressively reduced over the last few Strain hardening of the steel in the vicinity of tions of material under the ball were plastically
decades and are now available in sizes less than the hole may result during metal removal, yielding and that the corresponding load on the
about 10 mm from a number of manufacturers. which can cause tens of ksi (10 ksi 69 ball could be related to the existing residual
As with most residual-stress techniques, hole MPa) error. stress.
drilling and ring coring have been applied Heating may result during the metal removal. Later, Chiang et al. (Ref 73) provided a cri-
mostly to steels. Most applications have been Holes or cores must be spaced at least eight tique of several existing indentation analyses and
done on flat plate or cylindrically round parts times their diameter apart. proposed an interpretation of indentations exhib-
(Ref 5, 60, 61). Stresses can be determined at The area in which stresses are to be measured iting hemispherical plasticity. Nevertheless, the
various depths into the surface of the material, must be accessible to a rather bulky drilling applications illustrated in this paper focused on
down to a depth equal to the diameter of the hole or coring alignment device. brittle materials and not metals.
or core (Ref 62, 63). Kelsey (Ref 64), however, Preparation of the surface for strain-gage ad- There have been numerous papers published
observed that stresses with depth cannot be mea- herence may induce residual stresses that in- proposing various approaches to interpreting the
sured accurately to greater than half the hole di- troduce substantial error to the subsequent indentation loads and shapes so as to estimate
ameter. The thickness of the layers in which measurement (Ref 69). the residual-stress field on the surface and near-
measurements are resolved is about 10 to 20% surface regions of materials. However, indenta-
In conclusion, the drilling and ring-coring
of the hole or core diameter. tion methods have not earned the degree of con-
methods are nearly nondestructive variations of
The equipment necessary to perform the mea- fidence of XRD or hole-drilling methods for
the destructive mechanical stress-relief tech-
surement is reasonably inexpensive, portable, general applications and thus are rarely applied.
niques and require only rather simple equipment
and can be used in a manufacturing shop envi-
and instrumentation. The state-of-the-art is rela-
ronment. However, experienced technologists
are needed to take the readingsfrom selecting
tively well developed compared to many non- Spot Annealing
destructive methods, some of which require con-
the area in which stresses are to be measured to
siderable research and development work before Another method that has been proposed to
preparing the surface, applying the strain gages,
they will ever be suitable to general application measure residual stresses in metal surfaces is to
and reading and interpreting the data. Due to the
in terms of alloys and stress-field conditions. reduce the residual stresses in a small volume by
possibility of residual stresses being induced by
the hole-drilling or coring technique, prior cali- Technological advancements in hole drilling and annealing the metal in the volume. It has been
bration of the application is recommended in all ring coring have largely been due to advance- proposed that this annealing be performed by in-
cases, with the possible exception of certain ap- ments in the more general area of mechanical tense laser light (Ref 50). This technique was
plications where holes are produced by abrasive stress-relief methods and research in new metal- envisioned to be similar to residual-stress relief
jet machining (AJM) (Ref 65). removal techniques for metal fabrication. by removal of the material as accomplished in
Rendler and Vigness (Ref 66) developed cal- the hole-drilling techniques. However, as Cullity
ibration constants for cold-rolled steel that they Indentation Methods discussed in Ref 51, such localized heating
proposed as generally applicable to all metals would induce high surface residual tensile
provided that the elastic constants were known. Engineers and scientists have proposed the stresses in the heat-affected region.
However, they seem to have overlooked varia- use of indentors, such as those used to perform
tions in the strain-hardening coefficients and the hardness measurements, as a means to measure
accompanying residual stress, which exist be- or detect surface-residual stresses since the Nondestructive Procedures
tween alloys and even between tempers of the 1930s. Kokubo in 1932 reported that stresses ap-
same alloy. Dini et al. (Ref 67) showed that di- plied under bending load changed the apparent The methods described in the section Strain-
rect experimental determination of the necessary Vickers hardness values in carbon-steel rolled Measurement Methods all measure the change
constants for any isotropic material with known sheets, both as-rolled and annealed (Ref 70). He in some dimension (strain) of the component
elastic constants can be eliminated by using data showed that tensile stresses tended to decrease produced by the removal of a finite volume of
available for cold-rolled steel and calculating the apparent hardness and compressive stresses stressed metal from that component. Thus, they
these constants using a formula presented. De- tended to increase the hardness. The stresses ap- measure the strain induced by removing material
spite the success that some researchers have plied in tension and compression were sufficient so as to perturb the residual-stress field. On the
claimed in circumventing the development of to cause 0.3% strain. other hand, nondestructive procedures measure
calibration constants, experimental calibration is In the 1950s, Sines and Carlson (Ref 71) pro- a dimension in the crystal lattice of the metal or
strongly recommended. This is best done by ap- posed a method that required various amounts of some physical parameter affected by the crystal
plying strain gages and drilling the holes in test- external loads to be applied to the component in lattice dimension. Whenever a mechanical force,
pieces prior to stressing them known amounts which residual stresses were to be measured resulting in stress that is less than the yield
(Ref 65, 66). The AJM technique should be ap- while hardness measurements were made. The strength, is placed on a solid metal component,
plied to any material with high propensity to loads were made to cause both tensile and com- that component distorts and strains elastically.
work-hardening during machining, for example, pressive applied stresses. The quality, that is, That elastic strain results in a change in the
austenitic stainless steel (Ref 68). whether the residual stress was compressive or atomic lattice dimension, and this dimension, or
The following are general limitations and/or tensile, was then revealed by comparing the ef- change, is measured by the nondestructive
concerns of hole drilling and ring coring: fect of the applied stress, and whether it was ten- stress-measurement procedures. For example,
Areas of high stress gradients should be sile or compressive, on the hardness measure- the diffraction methodsx-ray and neutron
avoided because the stress gradient must be ment. At about the same time Pomey et al. (Ref measure an actual crystal dimension, and this
222 / Residual Stress During Hardening Processes
austenite grains would grow, which also shot hardening, the inductor is designed so nology of heating and cooling or quenching
means that there is no danger of formation of that it heats as well as quenches. The coil one can ensure a hardened surface layer and
coarse and brittle martensite . around the workpiece functions as an induc- a refined core. Thus one can create the re-
The quenching procedure is easy to perform, tor in the heating phase, and after the austen- quired wear resistance of the machine com-
contributing to short surface hardening times. itization temperature has been reached the ponent on a certain location as well as the
In progressive induction hardening, a spray current is interrupted and the coil starts func- required load-bearing capacity of the com-
coil is located right beneath the inductor, di- tioning as a quenching spray. ponent with only a slight loss in toughness of
rectly quenching the heated surface. In single- Induction hardening is a short procedure that the core.
does not require any additional protection
In induction heating there are a number of pa-
against oxidation. Thus, compared with other
rameters influencing the heating process with the
similar procedures such as cementation, it
103 given heat treatment. This article discusses the
does not require much subsequent machining.
influence of individual parameters on surface in-
Because of the nature of the procedure, the
duction hardening. In surface induction harden-
workpieces are less susceptible to undesirable
ing the heating conditions should be treated as a
deformation after induction hardening, espe-
system consisting of a high-frequency generator,
cially if they are symmetrical. The volume
f = 104 an induction loop, and the workpiece, which has
changes in the workpieces after hardening the
to be defined by the characteristic system param-
102
surface layer can be very accurately predicted
Skin thickness (), 103 cm
eters.
or estimated. The volume changes after in-
The course of surface induction hardening de-
duction hardening of thin layers are so small
pends on:
f = 105 that quite often the function of the machine
component is not affected. The type of steel or cast iron
Especially in induction hardening of thin lay- Electrical and magnetic properties of the ma-
f = 5 105 ers and workpieces with low mass, it is pos- terial
10 sible to achieve the desired critical cooling The effect of the primary material microstruc-
rate by self-cooling in air alone, that is, by ture on the properties of the hardened micro-
heat conduction from the heated surface layer structure
f = 106 into the remaining cold part of the workpiece. The time/temperature relationship in induc-
With thicker layers and workpieces of greater tion hardening and possible tempering
mass, it is necessary to use such quenching The selection of power density and current
f = 5 106 agents that move the actual cooling rates frequency
1 close to the critical cooling rate. These re- The workpiece shape and the shape of the
102 103 104 quirements can be met with the right selection hardened surface layer
Power density (Q ), W/cm2 of quenching oils or polymer water solutions. A correct execution of the coupling between
Practical experience has shown that polymer the induction loop and the workpiece
Fig. 2 Reference depth of skin effect as a function of
power density and selected generator frequency
water solutions are very suitable for quench- Selection of appropriate heating and harden-
for ferromagnetic steel. Source: Ref 1 ing induction-heated surfaces, since with the ing processes
right choice of concentration of the polymer Selection of the induction loop with or with-
water solution optimal quenching can be en- out magnetic-flux concentrator
sured.
10 200 The induction hardening procedure enables
Power
the engineer, by simply adapting the shape of Time/Temperature Dependence in
density
curves the induction coil, to ensure a desired shape Induction Heating
5 100
3 kHz of the hardened profile of the surface layer.
Likewise, the engineer can surface harden The time variation of temperature in induction
Surface power density (Q), MW/mm2
only that part of the surface (local hardening) heating of the thin surface layer depends on the
50
on which a certain increased level of hardness type and shape of the induction coil used,
2
and wear resistance are wanted. One of the alternating-current frequency f (Hz), and power
Heating time (t H ), s
main advantages of induction hardening is density Q (W/cm2). Power density is defined by

that it makes it possible to harden a surface the selected power of the high-frequency (HF)
1 20 layer only on certain places, at defined pen- generator and the surface layer of the workpiece.
etration depth and shape. Surface heating depends on the coupling be-
3 kHz
Induction hardening can be fully automated tween the induction coil and the workpiece. Fig-
450 kHz
0.5 10 and is especially suitable for large series of ure 2 shows the influence of the selected power
Heating
workpieces. density and frequency on the reference depth of
time 10 kHz Induction hardening always leaves compres- the skin effect in a ferromagnetic material. A
curves 5 sive residual stresses in the surface layer, higher power density results in a greater refer-
0.2 which make machine components more resis- ence depth of the skin effect and a greater depth
tant to dynamic loads. Compressive residual of the heated layer with the same maximum tem-
10 kHz 450 kHz stresses in the surface layer after induction perature obtained at the workpiece surface. (Ref
0.1 2 hardening prevent the occurrence of cracks in 1). Figure 3 shows the interdependence between
0.2 0.5 1 2 5 10 20 dynamically loaded components and prevent the heating parametersthat is, power density
Hardened depth (z ), mm the growth of existing cracks on the work- and generator frequencyas a function of the
piece surface if these are present due to hard- specified depth of hardened layer and the heating
Fig. 3 Influence of high-frequency generator on selec-
tion of power density and heating time with
ening or hardening and grinding. time required for single-shot techniques of sur-
given thickness of surface induction hardened layer. Induction hardening is appropriate for small- face induction hardening (Ref 1). Although the
Source: Ref 1 sized workpieces, since by well-chosen tech- data supplied by the diagram provide basic in-
measurement, attempting to apply conventional the neutron radiation (h), which are equal, and within the phase (e.g., martensite, austenite, fer-
scanning x-ray diffractometers and techniques to the wavelength of the monochromatic radiation rite) of the alloy at various locations. Additional
residual-stress measurement. For example, in (k) by Braggs Law: limitations are that the component must be
conventional XRD analysis and crystallography, brought to a nuclear reactor, each strain mea-
sharp resolution of the diffracted spectra is very k 2d sin h (Eq 76) surement requires over an hour, a single stress
beneficial. However, in XRD stress measure- determination in one small volume of the com-
ment the need to measure psi (w) angles that are The elastic strain (e) induced by the residual ponent requires at least three strain measure-
not zero defocuses the beam, and attempts to re- stress perpendicular to the diffracting crystallo- ments, and the measurements are very costly.
focus leads to significant error in the stresses graphic plane then is related to d by: Nevertheless, the ND methods have been applied
read (Ref 83). In XRD stress measurement, the to residual-stress measurements in steel weld-
ability to repeatedly measure the position of a d do sin h0 ments (Ref 85), cylindrical steel forgings, plas-
e (Eq 77)
defocused diffracted x-ray peak is more impor- do sin h sin h0 tically deformed steel plate (Ref 86), steel rocket
tant than sharp resolution (Ref 84). Thus, it is case forgings (Ref 87), and many other types of
recommended in most cases that XRD residual- where do is the distance between the unstressed components.
stress measurement be performed by trained crystallographic planes. If the orientation of
technologists using x-ray instrumentation spe- principal stresses are known in the component, Ultrasonic Velocity
cifically designed and built for stress measure- the stress in any principal direction may be cal-
ment, not conventional scanning diffractometers. culated by: The principle underlying the measurement of
Software packages specifically for residual- stress and thus elastic strain by ultrasonic (acous-
stress measurement used with conventional E tic) techniques is the phenomenon of an approx-
rA
scanning diffractometers do not in most cases (1 m) imately linear change in ultrasound velocity with
eliminate the mechanical and focusing problems applied stress. In addition, it has been shown that
e
m
of applying these instruments to residual-stress A (eA eB eC) (Eq 78) under certain narrow conditions residual stress
(1 2m)
measurement. It is necessary to mount the com- can be measured by exploiting this phenomenon.
ponent (or specimen) in which stresses are to be Stress is measured by inducing a sound wave in
where rA, rB, and rC are the principal stresses,
measured on the conventional scanning diffrac- the frequency of several megahertz into the
eA, eB, and eC are the strains measured in the
tometer, which usually requires sectioning of the metal specimen and measuring the time of flight
corresponding principal directions, and E and m
component and which complicates and adds er- or some other velocity-related parameter. Since
are the Youngs modulus and Poissons ratio,
ror to the measurement procedure. many other characteristics of metals besides
respectively. If the principal stress directions are
unknown, strains in at least six directions must stress-induced elastic strain affect velocity, these
Neutron Diffraction be measured to determine the residual stresses must be sorted out; however, neither the tech-
acting on the volume of material in which strains nology nor the fundamental knowledge for such
Neutron diffraction (ND) is capable of mea- are being measured. sorting is usually available. The great interest in
suring the elastic strains induced by residual Limitations and Applications. For residual- ultrasonic techniques for residual-stress mea-
stresses throughout the volume of relatively stress measurements in most alloys, especially surement stems from their promise for three-di-
thick steel components with a spatial resolution steels and cast irons, the unstressed spacing (do) mensional nondestructive measurements within
as small as 1 mm3. Such capabilities provide for between crystallographic planes at the exact the material.
residual-stress measurement inside components point of strain measurement is not known and Principle. A number of velocity-related phe-
without sectioning or layer removal. Principal not easily measured. This means that do or ho in nomena have been used in various methods to
ND methods, as with XRD methods, measure the Eq 77 cannot be precisely established, and this measure stress effects by ultrasound. All utilize
spacing between crystallographic planes in a leads to various degrees of error in the accuracy the deviation of the reaction of the metal from
component, and this spacing is affected by resid- and precision of ND residual-stress measure- the linearity of Hookes law of elasticity, r
ual and applied stress. The spacing between a ments. This condition is aggravated by the fact Me, where r is stress, e is strain, and M is elastic
selected set of crystallographic planes (u) is re- that the elemental composition, and thus do, vary modulus. This has been referred to as the anhar-
lated to the angle of incidence and diffraction of considerably within a component and markedly monic property of the solid and may be repre-
sented by a power series r Me Ce2 De3
, where C is the third-order anharmonic
constant, D is the fourth, and so on. Most re-
search done for stress measurement has used ex-
21/ 4 in. (5.7 cm) 51/ 16 in. (12.9 cm) pressions in which terms past the third-order
41/ 8 in. (10.5 cm) constant, C, are dropped. Of the several anhar-
monic property effects that may be used to mea-
sure stress, the following are probably the most
exploited:
Velocity dependence on the elastic modulus
Dispersion of frequency amplitudes in sur-
11/ 4 in.
face waves
(3.3 cm) Birefringence of orthogonally polarized shear
waves
Harmonic generation in surface waves
A very simplified form of the anharmonic
1.6 in. (12.9 cm)
stress strain law has been written as r Me
Ce2 and rewritten as r e(M Ce). The term
in parentheses is approximately related to the ve-
locity of sound as qV 2 M Ce, where q is
Fig. 14 Engineering drawing of the miniature XRD stress measurement head showing major dimensions the density of the medium and V is the velocity
of sound. This may be approximately rewritten structural materials are not readily available the wheel rims during use and attributed changes
in terms of velocity dependence on strain as: from the literature, ultrasonic stress measure- to residual-stress changes (Ref 102). Schramm
ment must be calibrated relative to the particular in his paper mentioned a number of approaches
q 1 2M e material being investigated. In the same paper for the application of ultrasound to the measure-
M c
V (Eq 79)
they discounted the possible effect of mobile dis- ment of residual stresses in railroad wheels, and
locations on the sound velocity in structural en- these examples may find application in the mea-
Then, to solve for strain, e 2(V Mq gineering metals with high yield strengths due surement of residual stress in other axially sym-
2M)/C (Ref 88). to the short dislocation loop lengths prevalent. metric shapes (Ref 100). Ultrasonic residual-
A simple view of the dependency of ultrasonic However, they did mention that crystallographic stress measurements have also been applied to
velocity on the elastic modulus and density may preferred orientation (texture) during deforma- rails as reported by Egle and Bray (Ref 103) and
be shown by rewriting the equation pV 2 M tion or fatigue is capable of severely modifying Bray and Leon-Salamanca (Ref 104).
Ce in terms of V, differentiating, and dividing the elastic constants on which the sound velocity
by V to yield an expression for DV/V. The result depends. Barkhausen Noise Analysis
will readily show that a fractional change in elas- Papadakis (Ref 95) noted marked velocity
tic modulus or density would affect the velocity. changes for ultrasonic waves in various steel mi- The Barkhausen noise analysis technique
The density of metal, for which the Poisson ratio crostructures, and Moro et al. (Ref 96) measured (BNA) is concerned with measuring the number
is near 0.3, obviously changes as a compressive the effect of microstructural changes caused by and magnitude of abrupt magnetic reorientations
or tensile stress is placed on the specimen, and tempering on the ultrasonic velocity in low-alloy made by expansion and contraction of the mag-
it is reasonable that the speed of sound would steel. Tittman and Thompson (Ref 97) evaluated netic domains in a ferromagnetic metal. These
then change. the near-surface hardness of case-hardened steel reorientations are observed as pulses somewhat
Limitations and Applications. Ultrasonic with Rayleigh waves; because hardness in this random in amplitude, duration, and temporal
technology offers a number of types of wave case is a combination of composition, micro- separation and therefore are roughly described as
modes in which to probe metals; these include stress, and macrostress, the velocity change was noise.
bulk waves, such as longitudinal and shear, and due to a combined effect. Applications. A few applications of BNA to
surface waves usually confined to Rayleigh type. The temperature sensitivity of ultrasonic ferromagnetic metallic components have been
Each mode offers many unique parameters for stress measurements has also been cited as an made, Gardner (Ref 105) mentions a number of
extracting information. As has been discussed, important source of error. Salama et al. (Ref 98, applications that include helicopter rotor blade
the primary effect of stress-induced strain on ul- 99) proposed that this dependence be used as a spans, autofrettaged gun tubes, gas turbine en-
trasonic propagation in metals is on velocity. means to measure stress, but also noted the gine components, and rolling-element antifric-
This may be detected in a number of ways, in- marked effect of dislocations and did not address tion bearing components. In these examples, the
cluding measurements of wave velocity, shear a methodology of separating the stress from the change in residual stresses caused by known ser-
wave birefringence, and dispersion. However, dislocation effect. vice histories was measured.
there are other characteristics of metals that af- Much of the work cited above is concerned Chait (Ref 106) qualitatively measured the re-
fect the ultrasonic velocity to the same degree as with attempts to measure the effects of a variety sidual-stress condition of a high-hardness lami-
stress. These include crystallographic texture, of material properties on the changes in ultra- nar composite steel weldment and compared
microstresses, multiple phases, coherent precip- sonic velocity. However, there apparently is no some of the BNA data with XRD stress readings.
itates, composition gradients, and dislocation comprehensive study that demonstrates the ca- Sundstrom and Torronen (Ref 107) applied their
density and distribution. pability of quantitatively separating stress effects BNA method to a number of microstructural
Crecraft (Ref 89) discussed velocity effects, on ultrasonic propagation from other variables measurements, including evaluation of grain-
manifested as texture-induced birefringence, and found in structural metals, such as dislocation size measurement for low-carbon ferritic and fer-
the marked change seen with ultrasonic fre- density or crystallographic texture. Furthermore, ritic-pearlitic steels, evaluation of anisotropy in
quency. He also reported birefringence due to most of the studies cited observed velocity deep drawing and textured steels for electrical
cold-work in nickel-steel specimens, but did not changes in bulk waves. Velocity measurements applications, measurement of the degree of aging
attempt to separate the cold-work effects in on these waves must be measured through the in rimmed carbon steels, and pearlite morphol-
terms of texture, dislocation density, and so thickness of a component, and, as most metal- ogy in steel wires. They have also measured iron
forth. In the early 1950s, Bradfield and Pursey lurgists recognize, obtaining uniform properties loss in magnetic material used for transformers
(Ref 90) and Pursey and Cox (Ref 91) reported through thicknesses greater than a few millime- and have proposed using BNA for residual-stress
showing the influence of small degrees of texture ters, especially in steels, is difficult. The subtle measurements, pointing out that quantitative re-
on ultrasonically measured elasticity in poly- property variations to which ultrasound velocity sults can be obtained if the material and its fab-
crystalline bars. They showed how the true iso- is sensitive and the inherent lack of homogeneity rication history are known and calibration is pos-
tropic elastic constants can be determined using in engineering metals present additional serious sible.
measurements of both longitudinal and shear problems for through-thickness stress measure- Most studies and applications of BNA to
wave speeds along several directions. They pre- ments. stress measurement have focused on the uniaxial
sented stereographic charts that illustrated the re- In spite of the microstructural variations in stress state. However, Sundstrom and Torronen
lationship between elastic behavior of cubic manufactured steel products, success in the ap- (Ref 107) implied that the instrumentation they
crystals and results of x-ray texture determina- plication of ultrasonic methods to residual-stress used could simultaneously measure stress in two
tions. measurement has been achieved in specific directions to give biaxial stress conditions for
McGonagle and Yun (Ref 92) noted the cold- cases. One is in the measurement of hoop magnetic inspection of roller-bearing compo-
work effects in a paper comparing XRD results stresses in railroad wheels (Ref 100). Here nents, including BNA for monitoring residual-
with Rayleigh wave velocity measurements. Bo- changes or variations of the residual stress in the stress change.
land et al. (Ref 93) also recognized that other hoop direction is of concern while that in the Summary. The BNA method certainly has
material properties can affect ultrasonic velocity radial or axial direction can often be assumed to been demonstrated to be sensitive to the stress
and recommended that methods be developed to be constant or negligible. Some techniques then condition in ferromagnetic materials (Ref 108).
distinguish stress-induced velocity changes from for the measurement of the residual hoop stresses Nevertheless, its possibilities for application are
those from other sources. has relied on normalizing the hoop velocity limited by the condition that the material must
James and Buck (Ref 94) pointed out that against the axial (Ref 101). Also, European rail- be ferromagnetic, the narrow total range of stress
since the third-order elastic constants for most roads have monitored ultrasonic velocity along sensitivity (i.e., 40 ksi, or 5.6 MPa), and the
Induction Hardening / 225
surface hardening. For an analysis, a represen- domain TA2 is reached and exceeded. The course process as well as the quenching process, various
tative size of machine parts, for example, a cy- of surface heating indicates that the transforma- thermokinetic changes of microstructure affect-
lindrical specimen 40 mm in diameter, was cho- tion temperature TA2 was obtained in 10 s. In ing volume changes, development of internal
sen. Induction-heating conditions were selected spite of the same power density, further heating stresses, and distortion of machine parts occur;
so that the temperature of the diameter TA1 was of the surface up to 850 C was very slow due therefore, knowledge of changes of material
exceeded to a depth of 5.0 mm. This means that to nonmagnetic character of the surface layer of properties such as yield stress of individual
a change of microstructure and hardness was ex- steel and took another 28 s. Which models of phases which in the given moment compose the
pected even to the depth of 5.0 mm, where only induction heating are more suitable than others microstructure, permeability, and electric con-
partial austenitization was obtained. Such is difficult to assess. It turned out, however, that ductivity, as a function of temperature is indis-
induction-heating conditions were chosen that the heating process suggested more reliably en- pensable.
the surface layer was subjected to heating for up sured a homogeneous, fine austenitic microstruc-
to 35 s. Time variations of temperature at the The entire process of evaluation, that is, mod-
ture giving, after quenching, the finest martensite eling, of surface induction hardening is shown
surface of the cylindrical specimen and in its with the highest possible hardness of the given
subsurface in the depths of 2.0, 4.0, and 10.0 mm in Fig. 12. Modeling of the induction heating and
steel. Because of the presence of alloying ele- quenching processes includes following essen-
are shown in Fig. 11. Time/temperature dia-
grams differ from the previous figures since a ments and high rates of cooling of the surface tial numerical calculations (Ref 23):
distinctive deviation occurs in heating the spec- layer, in addition to fine martensite up to 3%
imen material when the temperature of magnetic residual austenite also appears. Based on the 1. Determination of a relationship between the
time/temperature variation of heating, it can be density of induced currents and the tem-
evaluated that the depth of hardened layer ranges perature field created in the specimen ma-
1000 between 2.0 and 4.0 mm. From the time/tem- terial (Joule heating effect)
t =9s t = 12 s t = 14 s perature variation in the depth of 10 mm it can 2. Influence of a temperature on electrical and
be assumed that the specimen was heated magnetic properties of the material
800
through the entire volume, that is, to the very 3. Determination of the influence of the in-
TAC core of the specimen. Because of a different time duced currents or the magnetic field in the
3 variation of temperature of the fourth tempera- material on transformation of microstruc-
Temperature (T ), C
ture cycle, it may be concluded that the maxi- tural phases in the material
600
mum temperature obtained at the depth of 10 4. Determination of the influence of individual
mm is lower than the magnetic transformation microstructural phases in the workpiece ma-
temperature of the given steel. Because of strong terial on electromagnetic properties of the
400 overheating of the cylindrical specimen toward material
its center, lower temperature gradients occur, re-
5. Description of mechanical characteristics of
sulting in a reduction of thermal stresses during
the material as a function of temperature
200 the heating process. Because of a comparatively
6. Description of the relationship between heat
high temperature in the core, temperature gra-
Material: Ck45 energy and mechanical strains
dients between the surface and the core are gen-
Q = 2.4 109 W/m3 erally lower, producing a decrease of axial in- 7. Description of volume changes due to phase
0
ternal stresses generated during quenching and transformations
0 15 30 45 60 75
also a decrease of axial residual stresses. 8. Description of transformation plasticity in
Radius (r ), mm
Langeot and Delalean (Ref 23) treated nu- phase changes during heating and quench-
Calculated variation of temperature through merical simulation of the induction heating pro- ing
Fig. 10
specimen cross section in induction heating of cess for materials and machine parts from in- 9. Influence of latent heat of phase transfor-
specimens of different masses up to given hardening tem- mations on individual characteristics of
perature. Source: Ref 19 dustrial practice. A general method of modeling
is based on knowledge of the magnetic field sur- surface-induction hardening
rounding the induction loop with the inserted 10. Description of phase transformations as a
specimen, that is, workpiece. Knowledge of the function of thermokinetic processes during
1000 temperature field in the workpiece, namely, per- surface-induction heating as well as quench-
Surface mits an analysis of momentary conditions in the ing
Depth 2.0 mm
Depth 4.0 mm material during working, for example, strain, 11. Influence of strain and distortion of machine
800 Depth 10.0 mm stress state during induction heating and quench- parts on magnetic and electrical properties
ing, and residual stresses. During the heating of the material
Temperature (T ), C
600
1
Magnetic field
analysis Temperature
400
Eddy current
2
11 10
200
3 4 5 6
9 12
0 7 Material
0 20 40 60 80 Mechanical properties
Time (t ), s Phase
Internal stresses
transformation
Residual stresses
Time/temperature cycle during single-shot sur- 8 Strain
Fig. 11
face induction heating and quenching. Source:
Ref 20 Fig. 12 Langeots method of mathematical modeling of surface induction heating and quenching. Source: Ref 23
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Sensitivity of Shear Process on Metal Cut- 52. C.O. Ruud, Residual and Applied Stress Stress Measurement, ISA Trans., Vol 12
ting to the Development of Residual Analysis of an Alloy 600 Row 1 U-Bend, (No. 3), 1973, p 249259
Stress, Rev. Prog. NDE, Vol 14, 1995, p NP-5282, R.P 53033, Electric Power Re- 66. N.J. Rendler and I. Vigness, Hole-Drilling
11831188 search Institute, 1987, p 211 Strain-Gage Method of Measuring Resid-
40. Y.C. Shin, S.J. Oh, and C.O. Ruud, Inves- 53. A. Bouzina, C. Braham, and J. Ledion, ual Stress, Exp. Mech., Vol 6 (No. 12) Dec
tigation of Residual Stresses of Machined Evaluation and Prediction of Real Stress 1966, p 577586
Surfaces by an X-Ray Diffraction Tech- State Stress Corrosion Cracking Speci- 67. J.W. Dini, G.A. Beneditti, and H.R. John-
nique, NDC of Materials IV, Plenum Press, mens, Fifth Int. Conf. Residual Stresses, son, Residual Stresses in Thick Electro-
1992, p 408418 Vol 2, Institute of Technology, Linkopings Deposits of a Nickel-Cobalt Alloy, Exp.
41. J.E. Hoffman, D. Lohe, and E. Macher- University, Sweden, 1997, p 10601065 Mech., Feb 1976, p 5660
auch, Influence of Machining Residual 54. K. Masubuchi and D.C. Martin, Investi- 68. F. Witt, F. Lee, and W. Rider, A Compar-
Stresses on the Bending Fatigue Behaviors gation of Residual Stresses by Use of Hy- ison of Residual Stress Measurements Us-
of Notched Specimens of Ck45 in Differ- drogen Cracking, Weld. J., Vol 40 (No. ing Blind-Hole, Abrasive-Jet and Trepan-
ent Heat Treating States, Residual Stresses 12), Research Supplement, 1961, p 553s ning Methods, Exp. Tech., Vol 7, Feb
in Science and Technology, Vol 2, DGM 556s 1983, p 4145
Informationsgesellschaft Verlag, Ger- 55. C.E. McKinsey, Effect of Low-Tempera- 69. P.S. Prevey, Residual Stress Distribution
many, 1987, p 801814 ture Stress Relieving on Stress Corrosion Produced by Strain Gage Surface Prepa-
more favorable due to a lower temperature, well as quenching. The simulation can be en- C 103
which ensures lower residual stresses after hard- hanced by a denser grida greater number of Max 0.9372
ening. calculated values, for example, of temperature,
0.9600
Figure 20 shows a volume-fraction distribu- distribution of microstructural phases, and so 0.8800
tion of martensite calculated with the finite- forth, at the same area of the gear-wheel tooth. 0.8000
0.7200
element method and using a relatively coarse The paper treats a simulation with a very coarse 0.6400
grid for calculation of the conditions existing in grid, which provides a less accurate image of the 0.5600
dual-frequency heating of the gear-wheel tooth heating process and the final result of quenching, 0.4800
0.4000
(Ref 24). Figure 21 shows a volume-fraction dis- that is, of reliability of the assessment of volume 0.3200
tribution of martensite in single-frequency heat- distribution of martensite after quenching, re- 20 mm t = 2.88 s 0.2400
0.1600
ing. The temperature distribution in heating spectively. 0.0800
shows an exceptionally good relationship with Figure 22 shows the temperature distribution Min 0.0399
the result of quenching, that is, with the volume- transverse to the half-cut of the gear-wheel tooth
fraction distribution of martensite through the in dual-frequency induction heating of the gear Fig. 18 Temperature distributions in the tooth gear at t
2.88 s induction heating (dual frequency).
gear-wheel tooth (Ref 24). The results obtained wheel, and Fig. 23 shows the same in single- Source: Ref 24
confirm that the mathematical model used was frequency induction heating (Ref 24). In the par-
correctly chosen and the procedure of numerical allel figure, a gray scale indicating the time var-
calculation of the temperature field as well as of iations of power density per volume unit in
the volume-fraction distribution of martensite individual fields of the gear-wheel tooth or the C 104
suitable. Simulation of the heating process can amount of heat generated in the gear-wheel tooth Max 0.1042
be monitored in time by a momentary tempera- is shown. The greatest amount of heat generated 0.1100
ture distribution in the gear-wheel tooth, which at the end of heating (legend) was 96,500 MW/ 0.1000
0.0900
can point out possible weaknesses in heating as cm3 with the dual frequency and 81,320 MW/- 0.0800
0.0700
0.0600
0.0500
1200 0.0400
Simulated Measured 20 mm 0.0300
1000 0.0200
Tip 0.0100
PCD 0.0000
Temperature (T ), C
800 Bottom Min 0.0030
Fig. 19 Temperature distributions in the tooth gear at t

600 2.8 s induction heating (single frequency).
Source: Ref 24
400
Max 0.9970
200 1.0000
0.9000
0.8000
0 0.7000
0 1 2 3 4 5 6
0.6000
Time (t ), s 0.5000
0.4000
Measured and calculated time variations of temperature in dual-frequency induction heating of teeth followed 0.3000
Fig. 16 0.2000
by quenching. PCD, pitch circle diameter. Source: Ref 24
0.1000
0.0000
Min 0.0000
1200
Fig. 20 Simulated volume fractions of martensite in the
Simulated Measured tooth gear after induction surface hardening
1000 (dual frequency). Source: Ref 24
Tip
PCD
Temperature (T ), C
800 Bottom
Max 0.9970
1.0000
600 0.9000
0.8000
0.7000
400 0.6000
0.5000
0.4000
200 0.3000
0.2000
0.1000
0 0.0000
0 1 2 3 4 5 6
Min 0.0000
Time (t ), s
Fig. 21 Simulated volume fractions of martensite in the
Fig. 17 Measured and calculated time variations of temperature in single-frequency induction heating of teeth fol- tooth gear after induction surface hardening
lowed by quenching. PCD, pitch circle diameter. Source: Ref 24 (single frequency). Source: Ref 24
cm3 with the single frequency. The value of the structure can be analyzed and hardness mea- was attained. It decreased slowly towards the
entire analysis of thermal conditions increases if sured. The authors decided to measure hardness tooth core. The hardness of the tooth core after
they are monitored in frequent time intervals and along the tip, the middle, and the root of tooth. hardening was 220 HV. The data on the hardness
with as fine a grid as possible for their calcula- Because of different tooth widths at different lo- measured confirm that in dual-frequency heating
tion. cations, namely, radii, a greater number of mea- the gear-wheel tooth is hardened only to a small
The theoretically calculated values of the heat surements with the same distances between the depth, that is, approximately 0.4 to 0.6 mm at
distribution in the gear-wheel tooth can be ver- measuring points were made. Figure 24 shows the tip, up to 1.5 mm in the middle, and approx-
ified only by relevant measurements carried out the hardness variation at the tip, the pitch circle imately 1.0 mm at the root.
at thermally treated gear wheels. Thus, a micro- diameter (PCD), and the root of gear-wheel tooth In single-frequency induction heating, hard-
after dual-frequency induction hardening (Ref ening layers are much thicker. Thus, the depth
24). Along the entire tooth surface from the tip of hardened layer at the tip of tooth was 1.1 mm
[W/m3]
to the root of tooth the same hardness, 750 HV, and the greatest depth in the root of tooth. Figure
25 shows the variation of hardness at the same
1011
measuring points at the gear-wheel tooth after
Max 0.0965 single-frequency induction hardening (Ref 24).
800
0.1100 Along the entire length of the tooth surface from
0.1000
0.9000 the tip to the root of tooth the same hardness,
Hardness, HV 600
0.8000 800 HV, was attained. At the tip and the root of
0.7000 tooth it changed gradually with the depth. The
0.6000 400
0.5000 results obtained show that in single-frequency
0.4000 induction hardening the thickness of the hard-
t = 2.88 s 0.3000 Tip ened layer increases with the increase in distance
20 mm 0.2000 200
PCD
0.1000 from the tip of tooth.
Root
0.0000 Conditions are somewhat different in dual-
0.100 0
0 1 2 3 4 5 6 7 frequency hardening in which the greatest depth
Min 0.0000 of hardened layer was obtained in the middle of
Distance from surface (z ), mm
Generated heat distributions in the tooth gear the tooth, and hardness decreased toward the tip
Fig. 22
at t 2.88 s induction heating (dual fre- Fig. 25 Measured hardness profiles across the tooth and the root of tooth. It follows from the hard-
gear after induction surface hardening (single
quency). Source: Ref 24
frequency). PCD, pitch circle diameter. Source: Ref 24
ness variation transverse to the gear-wheel tooth
that the core of the tooth was through-hardened
and a uniform and very high hardness, even up
[W/mm3] to 800 HV, was obtained through the entire tooth
Volume fraction of martensite (Vf )
width.
M
1010 1.0
Tip Figure 26 shows calculated line changing of
Max 0.8132
0.8 PCD the volume fraction of martensite transverse to
0.9000 Root the tooth after dual-frequency induction hard-
0.8250 0.6
0.7500 ening at the characteristic measuring points. Fig-
0.6750 ure 27 also shows calculated line changing of the
0.6000 0.4 volume fraction of martensite transverse to the
0.5250 tooth, but this time after single-frequency induc-
0.4500 0.2
0.3750 tion hardening (Ref 24). The efficiency of the
20 mm t = 2.8 s numerical calculation of the volume distribution
0.3000 0
0.2250 0 1 2 3 4 5 of martensite can be assessed by the microhard-
0.1500 Distance from surface (z ), mm ness measured at the characteristic points. In the
0.0750
0.0000 case given, major deviations occurred between
Fig. 26 Simulated volume fraction of martensite across the calculation of volume distribution of marten-
Min 0.0000 the tooth gear after induction surface harden-
ing (dual frequency). PCD, pitch circle diameter. Source:
site and the hardness measured at the given mea-
Fig. 23 Generated heat distributions in the tooth gear Ref 24 suring points only in dual-frequency induction
at t 2.8 s induction heating (single fre- hardening, whereas in single-frequency induc-
tion hardening the deviation was much smaller.
Fujio and coauthors (Ref 25) monitored dis-
M
1.0 tortion of gear-wheel teeth and the variation of

800 residual stresses after induction hardening of
Tip 0.8 gear wheels. The authors treated the conditions
600 PCD in induction hardening and quenching of gear
Hardness, HV
Root 0.6 wheels made of carbon hardening and tempering

400
steel S35 experimentally and theoretically. The
0.4
experiments of induction hardening were carried
Tip out at gear wheels with an outer diameter of 196
200 0.2 PCD
mm and width of 150 mm and the tooth of 22.9
0 mm in height. The inductive loop surrounding
0 0 1 2 3 4 5 6 7 the gear wheel had nine windings with an inner
0 1 2 3 4 5 Distance from surface (z ), mm diameter of 226 mm and a width equal to the
Distance from surface (z ), mm gear-wheel width, 150 mm. The output power of
Fig. 27 Simulated volume fraction of martensite across
Measured hardness profiles across the tooth the tooth gear after induction surface harden-
the high-frequency generator was 400 kVA and
Fig. 24 the frequency 10 kHz. The gear wheels were in-
gear after induction surface hardening (dual ing (single frequency). PCD, pitch circle diameter. Source:
frequency). PCD, pitch circle diameter. Source: Ref 24 Ref 24 duction heated to a maximum temperature of 860
pressed empirically, that is, fatigue strength in ence in the achieved fatigue strength is min- The question arises as to the fatigue strength
torsion sw 0.58 rwb, and fatigue strength in imal. This can be attributed to a very desirable in those specimens where the slot reaches deeper
tension/compression rwz 0.70 rwb. distribution and size of compressive residual than the hardened layer. A regular problem oc-
Figure 68 presents Wohler curves for different stresses throughout the hardened layer. Since curring in these cases is crack occurrence and
modes of dynamically loaded specimens made the depth of the slot reaches only one quarter crack propagation starting from the slot. Due to
from different steels that had been heat treated of the hardened surface layer, the size of com- the shape of the specimen and the slot, stresses
in different ways. From among six curves, four pressive residual stresses at the slot is still start concentrating at these places, depending of
represent specimens made from heat treatable very high, so that the weakening due to the course on the kind and size of external loads.
steel and two for cementation steel specimens slot and stress concentration along the slot Here it should not be forgotten that along the slot
(Ref 11). The heat treatable steel is Cr-Mo-Ni does not cause any essential drop in fatigue there are no compressive residual stresses, and
steel with 0.37% Ni, and the specimens were strength. that the size of tensile stresses along the slot
heat treated in two different ways: In quenched-and-tempered specimens with plays a decisive role in crack occurrence.
Surface hardening applied to specimens with no earlier prestressing of the surface layer en- Figure 69 shows bending stress in the tooth
a smooth shape (curve 1) and specimens with sured, the fatigue strength was considerably root subjected to dynamical load versus the num-
a slot (curve 2) lower than in surface hardened specimens. ber of oscillations (Ref 32). Figure 69(a) shows
Quenching and tempering applied to smooth Also remarkably lower was the fatigue the bending stress for the case of induction sur-
specimens (curve 4) and specimens with a strength of quenched-and-tempered speci- face hardening of adjacent flanks of two teeth
slot (curve 6) mens with a slot. The results in the graph with a coil reaching into the tooth gap. In the
show that the difference in fatigue strength in process the tooth flank as well as the tooth root
The cementation steel is a chromium nickel steel slotted surface hardened specimens and slot- are hardened. This kind of heat treatment of
with 0.15% C where the specimens were ted quenched-and-tempered specimens is 5 to gears from steels for induction surface hardening
smoothly shaped (curve 3) and slotted (curve 5). 1. gives a fatigue bending strength in the range
The achieved hardness on the surface of the Smooth cemented specimens displayed 25% from 320 to 490 N/mm2. Figure 69(b) shows the
hardened specimens was 56 to 59 HRC and on lower fatigue strength than the surface hard- same relationship for a case when the induction
the cemented specimens 58 to 59 HRC. In order ened specimens of the same shape, whereas coil encircles an individual gear tooth. In this
to test the effects of the slot on fatigue strength the cemented specimens with a slot displayed process, the tooth flank is hardened and the mi-
on all the specimens, whether they were
50% lower fatigue strength than the same sur- crostructure and hardness in the tooth root are
quenched and tempered, hardened, or cemented,
face hardened specimens. preserved. A result of this method of hardening
a slot of equal size and shape was made. It was
is that the fatigue strength is drastically lowered
made in the middle of the cylindrical specimen
to values ranging from 200 to 300 N/mm2 for
to an equal depth of 0.4 mm. The depth of the
surface hardening and cementation was the the entire range of steels suitable for induction
same1.5 mm. The test results showed that surface hardening. This is a considerable drop in
Tooth-root bending stress (b), N/mm2
1400 fatigue strength of the material in the root of the

there are significant differences in terms of dif- 1200 Confidence limit
ferent heat treatment methods and that the high- 1000 according to DIN 3990
tooth (Ref 34, 35).
est fatigue strength was found in surface hard- 800
ened specimens.
A comparison of the results of fatigue testing 600 Residual Stresses after Induction
has shown that: Surface Hardening and Finish
400
In surface hardened specimens with a smooth Grinding
cylindrical shape and with a slot, the differ- 300
For manufacturing crankshafts, a heat treata-

200 ble 4140 AISI steel was used. This steel is very
70 appropriate for statically and dynamically loaded
Surface-hardened (smooth) 103 104 105 106 107 parts of car engines and machines, especially be-
60 Number of load cycles, N cause of its high hardness achieved after hard-
Surface-hardened (notched) (a) ening (57 HRC). The steel is characterized by
50
good hardenability and is thus suitable for manu-
Carburized (smooth) 1400 facturing machine parts with large cross sections
1200
wb, daN/mm2
Confidence limit in which after refinement a very high strength

40 Quenched and tempered (smooth) 1000
according to DIN 3990 can be obtained. After tempering the steel does
800
not show a tendency to brittleness, and therefore
30 600 no special heat treatment procedures are re-
Carburized (notched) Shot peened
quired. This steel is also suitable for surface
20 400 hardening (flame hardening, induction surface
hardening) and displays a very good resistance
300
10 Quench and tempered (notched) to wear. However, special attention has to be
paid during product design, and great care
200 should be given to the design of radius and tran-
0
0 1 2 3 4 5 6 7 sition areas to prevent notch effects under dy-
103 104 105 106 107 namical loads. The steel is adapted for the use
Number of load cycles, N 106
Number of load cycles, N in a wide range of temperatures and preserves
Fatigue strength of surface hardened and car- (b) high toughness even at low temperatures (Ref
Fig. 68
burized specimens. Curves: 1, surface hard- 17, 36).
ened (smooth); 2, surface hardened (notched); 3, carbu- Fig. 69 Bending fatigue strength of gear tooth at tooth
rized (smooth); 4, quenched and tempered (smooth); 5, gap hardening (a) and flank hardening (b) for
Figure 70 shows residual stress distribution
carburized (notched); 6, quench and tempered (notched). various steels. Dashed lines denote confidence limit ac- after induction surface hardening in the central
Source: Ref 11 cording to DIN 3990. Source: Ref 32 bearing location (A) and on the extreme left-side
equal and unequal principal stresses of the same for at least 1 h. The annealing temperature is coating in various stress states can be determined
sign, whereas Fig. 2(c) corresponds to a biaxial dependent on the substrate material. using Eq 8.
stress state with principal stresses of opposite Fourth, for coatings with an inherently smooth Biaxial Stress. At a free plane, the out-of-
signs. Using Fig. 2(a) as an example, the mea- surface, such as those produced by PVD and plane stress components rz, sxz, and syz are all
sured deflection, d, is equal to the wavelength of CVD, the deflection can be determined either by zero, at a free surface. Because the penetration
monochromatic light multiplied by the number interference fringe or microstylus profilometer depth of x-rays is very small, the resulting mea-
of light fringes (d 632.8 nm 17). measurements on the coated surface. For a coat- surements refer specifically to near-surface ma-
Figure 3 shows typical microstylus traces on ing with a relatively rough surface, such as those terial. Plane stress conditions, therefore, often
the titanium nitride coated surface of an AISI produced by thermal spraying and electroplat- apply to x-ray measurements, and Eq 8 is sim-
304 stainless steel disk, both before and after ing, the measurements can be made on the sur- plified to:
coating deposition. The curvature of the coated face that is opposite the coated surface.
uw (d uw d 0 /d 0 [(1 m )/E ]
ehkl hkl hkl hkl hkl hkl
surface was downward (convex), viewed from Significance and Use. The deflection mea-
the coated side. With the values of Es 193 surement method is recommended for determin-
ru sin2 w (m hkl/E hkl)(rx ry) (Eq 9)
GPa (28 106 psi), ms 0.28, ds 4.74 mm ing the average stress in the cross section of a
(0.186 in.), r 11.94 mm (0.4700 in.), dc 20 coating with a thickness ranging from several
lm (800 lin.), and the deflection Dd 6.3 hundred angstroms to several hundred micro- where ru rx cos2 u ry sin2 u is the ma-
106 m (2.5 104 in.), the stress in the tita- meters. Typically, the elastic constants of a thin crostress in the coating parallel to its surface at
nium nitride coating is 4.44 GPa (0.644 106 coating are much different from those of a bulk an angle u with the principal axis of the sample.
psi) in compression. The measurement errors material. Equation 3 provides a means for stress For a biaxial stress state, rx ry ru, and
from both the optical and the microstylus trace measurement on a thin coating without any at w 0:
setups are within one-half light band and 0.1 knowledge of its elastic constants. The measure-
u,w0 d 0 )/d 0 2m ru/E
(d hkl hkl hkl hkl hkl
lm (4 lin.), respectively. ment normally applies only to a test sample. The (Eq 10)
Practical Considerations. First, either strip disk deflection method is particularly useful for
or disk-shape substrate specimens should be par- the direct inspection of silicon wafers used in From Eq 9 and 10:
allel within 0.02 mm (0.001 in.) over their length solar cells or integrated circuits.
uw d u,w0 rud 0 [(1 m )/E ] sin w
d hkl hkl hkl hkl hkl 2
or diameter. Specimen edges should be free from
visible flaws and chips. In addition, the surfaces (Eq 11)
on which the deflection measurements (interfer- X-Ray Diffraction Method
ometer or profilometer) will be performed should In practice, high-angle diffraction peaks of an
be ground and lapped to a finish better than 0.08 (hkl) reflection are obtained from w to w at
Basic Principles. Stress measurement, using a given angle u. Lorentz polarization, absorp-
lm (3 lin.) Ra. the x-ray diffraction method, is based on the
Second, the dimensions of a strip of length L, tion, and background corrections are applied to
change in the interplanar spacing (strain) close the diffraction peak profile. The peak positions
width w, and substrate thickness ds should obey to the surface of the specimen material. The de-
L 10w 10 ds. The substrate thickness of a tails of the theory and interpretation of residual
are determined by profile fitting or other methods
strip or disk depends on the coating thickness to and are subsequently converted to interplanar
stress measurements are well described in the ar- spacing d hkl
be deposited. The thickness ratio of the substrate uw for stress analysis.
ticle X-Ray Diffraction Residual Stress Tech- In the linear plot of d hkl 2
to the coating, ds /dc, should be greater than 50 uw versus sin w, the
niques in Volume 10 of the ASM Handbook, as intercept is I d hkl , and the slope is M
to ensure the accuracy of the stress calculation well as in Ref 9 to 11. Consider an isotropic
u,w0
0 [(1 m )/E
rud hkl hkl hkl
from Eq 3. ]. The stress of the coating
material with a lattice parameter d hkl0 for un- can then be determined by:
Third, substrate specimens should be stress re- stressed material in the sample plane normal.
lieved before coating deposition. They should be The strain in a direction inclined by an angle y
placed between two stainless steel surface plates ru M/{d 0hkl[(1 m hkl)/E hkl]} (Eq 12)
to the surface normal of the coating and the stress
under at least an 8.8 kPa (1.3 psi) normal load, acting in the surface plane of the coating at an
at an annealing temperature, in a vacuum furnace Triaxial Stress State without Shear Stress. For
angle u with the principal axis of the specimen a material in a three-dimensional (triaxial) stress
are related by: state without shear stress, but with the stress
component rz having a finite value within the x-
uw (d uw d 0 )/d 0
ehkl hkl hkl hkl
ray penetration volume, Eq 8 becomes (Ref 9,
[(1 m hkl)/E hkl] 11, 12):
(rx cos2 u sxy sin2 u ry sin2 u rz)
uw (d uw d 0 )/d 0
ehkl hkl hkl hkl

[(1 m hkl)/E hkl](rx cos2 u ry sin2 u rz)
(rx ry rz) [(1 m hkl)/E hkl]
(sxz cos u syz sin u) sin w)
2
(Eq 8)
(rx ry rz) (Eq 13)
where h, k, and l are the indices of the Bragg Two data sets, u 0 and u 90, are needed
reflection; ehkl hkl
uw and d uw are the strain and inter- to obtain rx, ry, and rz. The slopes and intercepts
planar spacing of (hkl) in the direction of (u, w),
uw versus sin w at u
of a linear function of d hkl 2
respectively; m hkl and Ehkl are Poissons ratio and 0 and u 90 are given by:
Youngs modulus in (hkl) in the coating; rx, ry,
and rz are normal stresses; sxy, syz, and sxz are Mu0 d hkl
0 [(1 m )/E ](rx rz)
hkl hkl
shear stresses; rx is the normal stress acting in
the x direction on a plane perpendicular to the x Mu90 d 0hkl[(1 m hkl)/E hkl](ry rz)
axis; and syz is the shear stress on a plane normal I d hkl
0 {[(1 m )/E ]rz (m /E )
hkl hkl hkl hkl
Fig. 3 Typical microstylus trace on titanium nitride-
coated AISI 304 stainless steel disk before and to the y axis (the first subscript) in the z direction
after coating deposition (the second subscript). Residual stresses of the (rx ry rz)} (Eq 14)
Hardening by Reheating and Quenching

M. Narazaki, Utsunomiya University
G.E. Totten and G.M. Webster, G.E. Totten and Associates Inc.
OF THE VARIOUS STEEL PROCESSING Measurement and evaluation of quenching in the transformation process is to heat steel to
METHODS, heat treating has the greatest over- power its austenitizing temperature. Steel is then cooled
all impact on control of residual stress and on Effect of process variables on cooling behav- rapidly to avoid the formation of pearlite, which
dimensional control. Among the various pro- ior and heat transfer is a relatively soft transformation product, to
cesses involved in heat treating, quenching is Effect of cooling characteristics on residual maximize formation of martensite, a relatively
one of the most important. One author has esti- stress and distortion hard transformation product, to achieve the de-
mated that approximately 20% of the problems Methods of minimizing distortion sired as-quenched hardness.
in heat treating relate to heating and as much as Tempering The most common transformation products
80% of the problems relate to cooling (Ref 1). Prediction of residual stress and distortion that may be formed in quench-hardenable steels
This article provides an overview of the effects from austenite are in order of formation with de-
of various material- and quenchant-related pa- creasing cooling rate: martensite, bainite, pearl-
rameters on residual stress, distortion control, Phase Transformation during Heat ite, ferrite, and cementite. The formation of these
and cracking. The subjects that are discussed in- Treating products and the proportions of each are depen-
clude: dent on the time and temperature cooling history
of the particular alloy and elemental composition
Phase transformations during heat treating
of that alloy. The transformation products
Metallurgical sources of stress and distortion Steel Transformation formed are typically illustrated with the use of
during reheating and quenching transformation diagrams that show the tempera-
Effect of materials and quench process design Properties such as hardness, strength, ductil- ture-time dependence of the microstructure for-
on distortion ity, and toughness are dependent on the micro- mation process for the alloy being studied. Two
Quenchant selection structures that are present in steel. The first step
of the most commonly used transformation dia-
grams are time-temperature-transformation
(TTT) and continuous-cooling-transformation
(CCT) diagrams.
800 A3 TTT diagrams, also called isothermal trans-
formation (IT) diagrams are developed by heat-
ing small samples of steel to the temperature
700 A1
where austenite transformation structure is com-
Pearlite start pletely formed, that is, austenitizing temperature,
600 then rapidly cooling to a temperature interme-
Bainite
Bainite start Pearlite end
end diate between the austenitizing and the marten-
Temperature, C
500 site start (Ms) temperature, and then holding for

Bainite end a fixed period of time until the transformation is
400 complete, at which point the transformation
products are determined. This is done repeatedly
300 until a TTT diagram is constructed such as that
Martensite
shown for an unalloyed steel (AISI 1045) in Fig.
200
1. TTT diagrams can only be read along the iso-
therms.
CCT Diagrams. Alternatively, samples of a
100
given steel may be continuously cooled at dif-
ferent specified rates, and the proportion of trans-
0
1 101 102 103 104 105
formation products formed after cooling to vari-
Seconds
ous temperatures intermediate between the
1 2 4 8 15 30 60 austenitizing temperature and the Ms are deter-
Minutes mined to construct a CCT diagram such as the
1 2 4 68 16 24 one shown for an unalloyed carbon steel (AISI
Time
Hours
1045) in Fig. 2. CCT curves provide data on the
Time-temperature-transformation (TTT) diagram of an unalloyed steel containing 0.45% C. Austenite tempera- temperatures for each phase transformation, the
Fig. 1
ture 880 C. Courtesy of Verlag Stahlessen mbH Dusseldorf amount of transformation product obtained for a
Fifth, an appropriately sized collimator should practice. For biaxial stress analysis, the lattice stress analysis, the difference between d hkl uw0
be selected. It should have an irradiated area spacing measured at w 0, d hkl uw0, can be sub- and d hkl
0 is included in the calculation. Conse-
large enough to ensure that a statistically rele- stituted for d hkl
0 . In this case, the contribution to quently, a small error in d hkl
0 can lead to a rela-
vant number of grains or subgrains in the coating the total error is less than 0.1%. For a triaxial tively large error in the measured stress. To ob-
are included in the measurement. The angular tain acceptable stress results, d hkl
0 must be within
resolution is essential in stress measurement. If 0.01% of its true value. The stress-free inter-
the spot mode of x-ray beam cannot sample a planar spacing d hkl
0 in the strain-free direction w*
sufficient number of grains, one should use an- is given by (Ref 20):
other method.
Sixth, appropriate methods (Ref 9, 10, 15 sin2 w* [S hkl hkl
1 /(S 2 /2)]
17), such as modified Lorentzian, Gaussian,
{1 [(ry rz)/(rx rz)]
Cauchy, Pearson VII, parabola, center of gravity,
gravity line, and cross correlation should be ap- [3 (S hkl
2 /2S 1 )rz]/(rx rz)}; u 0
hkl
plied to determine the peak positions of the re-

sin2 w* [S 1hkl/(S 2hkl/2)]
flection line (hkl).
Seventh, a sufficient number of measurements {1 [(ry rz)/(rx rz)]}
in the w and w directions should be con-
when |rx ry 2rz| 2|rz|
ducted to obtain an accurately linear distribution
or w-splitting of d hkl 2
uw versus sin w. The signifi- d hkl
0 d uw0
hkl
/[1 S hkl
1 (rx ry rz)
cance of this distribution should be verified by
(S hkl
2 /2)rz]
repeating measurements at different u angles. If
a nonlinear relation other than w-splitting is ob-
tained in the d hkl 2 Significance and Use. The advantage of the
uw versus sin w distribution, then
x-ray diffraction method is its capability for
the coating being measured is inhomogeneous
measuring residual stress directly and nonde-
and, therefore, the x-ray diffraction sin2 w
structively on a product component. Portable dif-
method is no longer applicable.
fractometers are commercially available and can
Eighth, the x-ray elastic constants of the coat-
be used for on-site measurement. The method
ing for an (hkl) plane, S hkl 1 m /E
hkl hkl
and
can apply to a coating with a thickness ranging
S hkl /2 (1 l hkl
)/E hkl
, can be calculated from
2
from 0.5 to 350 lm (2 105 to 1.4 102
single-crystal compliance, according to an ap-
propriate model (Ref 11, 12), or measured ex- in.). However, it is difficult to measure residual
perimentally in uniaxial tension or bending tests stresses in extremely thin coatings and, in some
with a series of loads (Ref 13, 18, 19). X-ray cases, highly textured coatings. Furthermore, x-
elastic constants and applied loads (ra) obey ray diffraction is inapplicable to amorphous
coatings, and a large scatter in stress measure-
these equations:
ment is often encountered in coatings with large
grain size.
2 /2 (1 m )/E
S hkl hkl hkl
(1/d hkl hkl 2

0 )[/ra(d uw/sin w)] Hole-Drilling Method
S 1hkl m hkl/E hkl [1/(2d 0hkl)](d hkl
uw0/2ra)
Basic Principles. The hole-drilling method
Fig. 7 (a) Typical three-element strain-gage rosette. (b)
In-plane strain components caused by release of
for measuring residual stresses involves drilling
Ninth, a stress-free interplanar spacing, d hkl
0 , residual stress through introduction of a hole. Source: a shallow hole in the test specimen to a depth
for a coating may not be readily available in Ref 21 approximately equal to the hole diameter. Typ-
Fig. 6 Typical ellipse distribution of d uw

hkl
as a function of sin2 w of titanium nitride coating from (333)/(511) reflection at varying angles. (a) u 0. (b) u 45. (c) u 90
Hardening by Reheating and Quenching / 251
sibly even reverse the thermal stresses. If this changes occurring during the tempering of hard- occur in the plastic zone and are permanent.
occurs, a spool shape will be formed. ened steel (Ref 10). Upon heating, the stresses are gradually relieved
These data show that the position of cooling Figure 14 (Ref 11) illustrates the effect of di- by changes in the shape of the part due to plastic
curves for both the surface and the core for the mensional variation and retained austenite con- flow. This is a continuous process, and as the
quenching process must be considered with the tent of a bearing steel (100 Cr 6) as a function temperature of the part is increased, the material
appropriate TTT curve for the steel of interest of tempering temperature. In addition to those yield stress decreases as shown in Fig. 16 (Ref
and that there are numerous mixtures of thermal effects discussed previously, tempering may also 13). It is a function not only of temperature but
and transformational stresses possible. Table 3 lead to dimensional variation due to relaxation also of time, since the material will creep under
provides a summary of these processes (Ref 6). of residual stresses and plastic deformation, lower applied stresses. It is apparent that the
In some steels, those with higher carbon con- which is due to the temperature dependence of stresses can never be reduced to zero, because
tent and alloy steels, the martensite finish (Mf) yield strength (Ref 10). the material will always possess some level of
temperature is below 32 F (0 C), which means yield strength below which residual stresses can-
that it is likely that at the conclusion of heat treat- not be reduced.
ing there will be as much as 5 to 15% of austenite Metallurgical Sources of Stress and Material Movement. When parts are heated
remaining (Ref 11). The amount of retained aus- Distortion during Reheating and during heat treatment, a thermal gradient exists
tenite will exhibit significant effects on the mag- Quenching across the cross section of the component. If a
nitude of compressive stresses formed and ulti-
mately on dimensional changes to be expected.
Some of the factors affecting retained austenite Basic Distortion Mechanism. Shape and
formation include: chemical composition (which volume changes during heating and cooling can 3
dictates the Ms temperature), quenching tem- be attributed to three fundamental causes (Ref
12): 285 MPa
perature, quenching cooling rates, austenitizing
temperature, grain size, and tempering. Residual stresses that cause shape change
when they exceed material yield strength. 2
Strain (L/Lo), %
Tempering This will occur on heating when the strength
properties decline. 209 MPa
The tempering process involves heating hard- Stresses caused by differential expansion due
ened steel to some temperature below the eutec- to thermal gradients. These stresses will in- 107 MPa
toid temperature in order to decrease hardness crease with the thermal gradient and will 1
and increase toughness. In general, tempering is cause plastic deformation as the yield 18 MPa
divided into four stages, which are summarized strength is exceeded.
in Table 4 (Ref 10). These include: Volume changes due to transformational
Tempering of martensite structure phase change. These volume changes will be 0
Transformation of retained austenite to mar- contained as residual stress systems until the 0 100 200 300
tensite yield strength is exceeded. Temperature (), C
Tempering of the decomposition products of
Relief of Residual Stress. If a part has locked- Fig. 8 Dilatometer curves for a 0.6% C steel
martensite and at temperatures 900 F (480 in residual stresses, these stresses can be relieved (60NCD11) for different applied stresses
C) by heating the part until the locked-in stresses
Decomposition of retained austenite to mar-
exceed the strength of the material. A typical
tensite (Ref 11) stress-strain curve obtained from a tension test
Figure 13 illustrates the effect of microstructural is shown in Fig. 15 (Ref 12). Initial changes in
variation during tempering on the volume shape are elastic, but under increased stress they
200
1000
900
800
Tim e ( t ) , s
1 atm
700
F.P. =(12
12kbar)
kbar
Temperature, C
600 F.P. =(23

23kbar)
kbar 100
500
B =(11atm)
atm tF
400
Mss =(11atm)
atm B =(12
12kbar)
kbar
300
B =(23
23kbar)
kbar tD
200 Mss =(12
12kbar)
kbar
0
100 Mss =(23
23kbar)
kbar 0 20 40 60 80
Tensile stress (), MPa
0
1 10 102 103 104 105
Time, s Fig. 9 Effect of tensile stress on pearlite transformation
starting and ending times. Isothermal transfor-
Fig. 7 Effect of hydrostatic pressure on the transformation kinetics of 50CV4 steel. B, bainite; F.P., ferrite-pearlite mation at 673 C, eutectoid steel. The tD and tF times are
transformation; Ms, martensitic start temperature. Source: Ref 7 transformation starting and ending times, respectively.
Table 3 Hole-drilling residual stress measurements on a detonation gun WC-Co coating

Average stress
Depth Strain, le rx ry sxy rmax rmin smzx
mm in. e1 e2 e3 MPa ksi MPa ksi MPa ksi MPa ksi MPa ksi MPa ksi
0.00 0.000 0 0 0 271 39.3 275 39.9 13 1.9 260 37.7 286 41.5 13 1.9 41
0.10 0.004 56 52 52
0.20 0.008 116 107 109
0.28 0.011 163 155 168
0.36 0.014 210 200 218
Note: Rosette type, EA-XX-062RE; Youngs modulus, 172.0 GPa (25 106 psi); Poissons ratio, 0.3; hole diameter, 2.440 mm (0.0961 in.); and rosette mean diameter, 5.13 mm (0.202 in.)
0.015 D0. A measurement microscope lation of blind-hole measurements to the near 12. H. Dolle, J. Appl. Crystallogr., Vol 12,
should be used to align the drill holder or surface, the stress measurement is in good agree- 1979, p 489
abrasive-jet nozzle with the center of the ro- ment with that measured by x-ray diffraction 13. J.A. Sue, Surf. Coat. Technol., Vol 54/55,
sette. (Ref 25). A user can select the most suitable 1992, p 154
Precautions should be taken to ensure that the method based on economics, environment, coat- 14. C.H. Macgillavry and G.D. Rieck, Ed., In-
walls of the drilled hole are square to the coating microstructures, and the geometry of the ternational Tables for X-Ray Crystallogra-
ing surface on which the rosette is cemented. component to be measured. phy, The Kynoch Press, Birmingham, 1962
It is important to protect the strain gage from 15. W. Parrish, T.C. Huang, and G.L. Ayers,
abrasive-particle erosion or mechanical dam- Trans. Am. Cryst. Assoc., Vol 12, 1976, p
age during the drilling operation. REFERENCES 55
Values for the Youngs modulus and Pois- 16. A. Brown and J.W. Edmonde, Adv. X-Ray
sons ratio of the coating should be indepen- Anal., Vol 23, 1980, p 361
1. G.G. Stoney, Proc. R. Soc. (London) A, Vol
dently measured in order to determine the re- 17. A. Brown and S. Linde, Adv. X-Ray Anal.,
82, 1909, p 172
sidual stress from strain relaxations. Vol 30, 1987, p 343
2. C.N. Kouyumdjev, Surf. Technol., Vol 26,
18. V. Hauk, International Conference on Re-
Significance and Use. The hole-drilling 1985, p 35 sidual Stresses, ICRS2, G. Beck, S. Denis,
strain-gage method is a semidestructive tech- 3. C.N. Kouyumdjev, Surf. Technol., Vol 26, and A. Simon, Ed., Elsevier, London, 1989,
nique for measuring residual stress on a coating 1985, p 45 p 292
with a thickness of at least 0.1 mm (0.004 in.). 4. G. Sotirova and S. Armyanov, Surf. Coat. 19. H. Behnken and V. Hauk, International
The method, which is quite versatile, can apply Technol., Vol 28, 1986, p 33 Conference on Residual Stresses, ICRS2, G.
to test samples as well as to actual components 5. M. Ohring, in The Materials Science of Thin Beck, S. Denis, and A. Simon, Ed., Elsevier,
with complex geometries. Furthermore, it can be Films, Academic Press, 1991, p 461 London, 1989, p 341
used for on-site measurements. 6. R.W. Hoffman, in Physics of Thin Films, 20. V.M. Hauk, Adv. X-Ray Anal., Vol 27,
Vol 3, 1966, p 211 1984, p 101
7. D.S. Campbell, Handbook of Thin Film 21. Determining Residual Stresses by the
Technology, L.I. Maissel and R. Glang, Ed.,
Method Comparison McGraw-Hill, 1970, p 1221
Hole-Drilling Strain-Gage Method, E 837-
92, Annual Book of ASTM Standards,
8. R.E. Cuthrell, D.M. Mattox, C.R. Peeples, ASTM
The mechanical-deflection method is capable P.L. Dreike, and K.P. Lamppa, J. Vac. Sci. 22. Measurements of Residual Stresses by
of measuring the average stress throughout the Technol., Vol 6A (No. 5), 1988, p 2914 Hole-Drilling Strain Gage Method,
coating thickness, but requires the stress to be 9. V.M. Hauk, Adv. X-Ray Anal., Vol 27, TN503-4, Measurements Group, Wendell,
uniform over large distances in the in-plane di- 1984, p 81 NC, 1993
rections. In contrast, the x-ray diffraction and 10. Residual Stress Measurement by X-Ray Dif- 23. G.S. Schajer, J. Eng. Mater. Technol.
hole-drilling methods can make a much more lo- fraction, J784a, 2nd ed., SAE Handbook, (Trans. ASME), Vol 103 (No. 2), 1981, p
calized measurement in-plane, but they have a Society of Automotive Engineers, 1971 157
significantly more limited depth capability. A 11. I.C. Noyan and J.B. Cohen, Residual Stress 24. M.T. Flaman and J.A. Herring, Exp. Tech.,
good agreement in stress measurements between Measurement by Diffraction and Interpre- Vol 9 (No. 8), 1985, p 30
the deflection and x-ray diffraction methods has tation, B. Ilschner and N.J. Grant, Ed., 25. C.O. Ruud, P.S. DiMascio and J.J. Yavelak,
been demonstrated (Ref 13). With the extrapo- Springer, 1987 Exp. Mech., Vol 25 (No. 4), 1985, p 338
Methods for Determination of

Inhomogeneous Residual Stress Fields
I.A. Razumovsky, M.V. Medvedev, and A.V. Fomin, Mechanical Engineering Research Institute of the Russian Academy of
Sciences, Moscow
AMONG NUMEROUS PROBLEMS en- method) is based on measuring changes in dis- Also presented are problems encountered in
countered by mechanics of nonrigid solids, anal- tances between atomic planes of metal grain lat- obtaining experimental data necessary for deter-
ysis of residual stress presents one of the most tice (i.e., microstrains). mining residual stress, including requirements to
challenging tasks because it involves the analy- With regard to problems considered in do- the nature and scope of acquisition procedures
sis of physical-mechanical processes and struc- mains of strength evaluation, reliability, and op- as well as descriptions of special equipment used
tural changes in the material under various me- timal structure design, different methods and rein solving practical tasks. Examples of applying
chanical and heat impacts. Although methods of spective experimental techniques have been these techniques to the study of high-gradient
analyzing residual stress have been under devel- developed to solve typical problems of residual residual stress fields are given.
opment since the 1930s, this field still presents stress analysis for most practical cases.
quite a number of problems to be solved. De- Efficiency of one or another method is deter-
velopment of experimental techniques providing mined by the studied object geometry, type of Study of Residual Stress as Inverse
for large amounts of strain field data suitable for stress state, nature of residual stress distribution, Problem of Experimental Mechanics
later mathematical processing gave impetus both and materials properties. Methodology of re-
to the beginning of new and the development of search, including distinctive features of experi-
The source of residual stress appearance lies
already available approaches to residual stress mental techniques and facilities are given in
in the initial strain, e 0ij, that fails to meet the equa-
analysis, this fact significantly expanding the Ref 8.
tions of strain compatibility. This strain is con-
range of solvable applied problems. The objec- Classical methods of residual stress research
nected by the Hookes law to the elastic strain,
tive of this chapter is to present results from new used nowadays, both destructive and nonde-
developments in methodology and applied tech- structive, provide no opportunity to reliably de- eij e 0ij, emerging in the body (where eij are full
niques for solving problems in the field of resid- termine residual stresses in terms of their high strains corresponding to the general solution of
ual stress analysis. gradients when a pronounced change of stress the problem with external loads missing). Resid-
Residual stresses can be subdivided provision- occurs on the gage length in the order of 1 mm ual stress is adjusted for equilibrium inside the
ally into two classes: macrostresses (stresses of (0.04 in.). At the same time, determining residual body after eliminating the impacts that caused it.
the first type) and microstresses (stresses of the stress on this gage length is necessary when an- In the theoretical study of residual stress, either
second type). Microstresses are stresses that ac- alyzing strength, integrity, and durability of the initial incompatible strain, e 0ij, or the se-
tually exist directly in the crystalline grain and structures with welded joints, welded deposits, quence of changes in force and temperature con-
experience changes within the crystalline aggre- and other inhomogeneities. ditions of loading that leads to initial strains,
gate (grain) due to crystal inhomogeneity, dif- Special methods that provide for analysis of e 0ij, are assumed to be known.
ferent alignment of crystallographic planes, and high-gradient (up to breakage) fields of residual The approaches to the study of residual stress
some other factors. Macrostresses can be re- stress in parts made of homogeneous and bime- presented in this chapter belong to destructive
garded as averaged microstresses on some finite tallic materials have been developed to analyze methods. Yet, in contrast to the known investi-
base. It must be noted that to determine macro- such problems. gation techniques that involve notching, these
stresses by microstress averaging is possible This chapter is dedicated to methodology de- methods do not assume any a priori correlation
only if microstress distributions comply with velopments that accompany experimental deter- between distribution of residual stress to be
consistent patterns of statistics. mination of significantly inhomogeneous fields found, on the one hand, and the stress-strain state
Most methods for determining residual stress of residual stress. It presents a systematic outline of the investigated part after notching, on the
aim at obtaining values of macrostresses. This is of modern methods for determining residual other, the latter being determined experimen-
because the majority of modern approaches to stress fields characterized by significant inhom- tally.
stress-state evaluation are based on continual ogeneity, including theoretical foundations of Following are experimental design methods of
models of material whose deformation and de- respective methods as well as aspects of their determining the continuous distribution of resid-
struction are described on the basis of continua application. These methods are based on math- ual stress in flat parts of arbitrary shape by mea-
mechanics. It might be well also to point out ematical processing of extensive experimental sured parameters of stress-strain state close to
considerable difficulties in experimentally deter- data obtained when notches of various types are notches made. Such parameters can be repre-
mining the microstress due to minuteness of made in the part under investigation. Here, the sented by stress-strain tensor components or
crystal grains characterized by arbitrary irregular procedure for obtaining stresses from experi- those of displacement vector, as well as by some
form and generally being inhomogeneous. mental data is based on the fact that residual of their functionals (e.g., the first invariant of
At the same time, for example, the x-ray study stress determination is posed as an inverse prob- stress tensor) that retain the attribute of linear
of residual macrostress (the so-called sin2 w lem from the mechanics of nonrigid solids. dependence on residual stress to be found.
The problem of determining residual stress should be considered. While preparing the ex- tional experiment to select measurement lines
from measured parameters of stress state in the periment, account is taken of its conditions and and points with high information resolution.
vicinity of a created notch belongs, by the man- measuring tool sensitivity in choosing the value As for Eq 2, its solution is a correctly solvable
ner of posing, to the class of inverse problems. of a step in expanding the notch and taking mea- problem, and the operator of this equation is a
The observed picture of the stressed state is a surements. In this case, the discrete character of regularizing operator for Eq 1. When using Eq
response of the residual stress that is relieved obtained information is in no way connected to 2, the accent in solving is on finding an efficient
along the notch line and must be restituted by the nature of measured distributions. From this algorithm for numerical differentiation of dis-
this response. Inverse problems are distin- factor develops the task of subjecting the initial crete experimental data.
guished by being ill defined in most natural (with data to preliminary processing and that of cre- Values l(x) and l(s) are known from the ex-
regard to practice) spaces (C and L2), which in- ating some continuous and differentiable ana- periment in the presence of additive random dis-
corporate initial data and target distributions of logues from discrete data and within error limits turbance whose value is dependent both on the
residual stress (Ref 1). These problems are ill comparable to experiment errors. Particular pat- experimental method used and the specific con-
defined because close distributions of observed terns for processing initial data can be designed ditions of measurements. The accuracy of mea-
stressed-state parameters (close within measure- in various ways, including regularization meth- surements cannot be increased as far as it is pro-
ment error limits) can be matched against sig- ods. vided by the numerical methods used to
nificantly different distributions of residual Method of Fredholm Integral Equation of determine kernels of integral operators. They are
stress along the notch line. the First Type. A line running close to the notch constructed by multiple solving of boundary
Consistent procedures for determining resid- tip is selected (Fig. 2). Due to the linearity of the problems for the notched part studied. As a rule,
ual stress can be based on regulating algorithms problem under consideration, the relationship errors of initial data are always significantly
for various integral-solving equations. Consider between the required residual stress ry(n) along
two variants of obtaining consistent derivation the notch with length L and the values of the
procedures with differently posed problems. measured parameter l(n) on this line is: y()
In the first variant, the notch is gradually ex-
panded and measurements are made for a certain L
parameter of stress state at some specific locus
0
H(s,n)ry(n)dn l(s) s S,n L (Eq 3)
that follows the shift of a notch tip. Thus, the
distribution of the observed parameter is deter-
x,
mined along the notch line as the part geometry The kernel of integral operator H(s,n) is de-
changes. The corresponding inverse problem is termined in the region S L and corresponds
reduced to the Volterra integral equation. to measured parameters l(n) on line S from d
In the second variant, the created notch cor- impacts at points n L. From the point of meth-
responds to its final length, and the respective odology, reducing the problem to solving the
overall effect along some line in the vicinity of Fredholm equation of the first type is very im- (a)
the notch is measured. The corresponding in- portant. First, conducting an experiment is rela-
verse problem is reduced to the Fredholm inte- tively simple compared with the approach that x
gral equation. uses the Volterra equation because in this case, (x)
Method of Volterra Integral Equations. As all experimental data are obtained from the sin-
the notch is expanded, residual stress on its gle length notch. Second, when solving Eq 3 nu-
edges is relieved, this stress playing the role of merically, creating a matrix analogue of an in-
edge load for a new section of part boundary tegral equation would require (under equal x
(Fig. 1a). Due to the superposition principle, the discrete values) significantly fewer boundary
relationship between the required residual stress, problems to be solved in comparison with the l
ry (n), and the measured parameter of stress state first approach, which allows for the changing
(b)
along the notching line, l(x), (Fig. 1b) may be boundary of the notch tip area.
represented as the Volterra integral equation of Solutions of equations of the first type (Eq 1, Design diagram of Volterra integral equation
the first type: 3) are unstable toward variations of initial data Fig. 1
method. (a) Residual stress relieved at notching.
(right side) and call for regularizing methods. (b) Measured parameters of stress state at the notch-
x following point
B(x,n)r (n)dn l(x)
The indicated distinctions in experiment ar-
y 0nx L (Eq 1)
0 rangement determine specific features in the
mathematical structure of these equations. Thus,
where L is the maximum length of the notch. The the Volterra equation (Eq 1), all other factors y
S
operator kernel, B(x,n), corresponds to values being the same, is conditioned with regard to ry
l(x) at point x from d-impact at point n, while to a greater degree (i.e., has wider information
the domain of its definition is a triangle (i.e., at possibilities than Eq 3). According to the regu- (S)
n x, B(x,n) 0 is obtained. larization principle (Ref 1), information possi- y(x)
Apart from considering Eq 1, it is possible to bilities of considered computational/experimen- +
suggest its transformation on the basis of an ad- tal procedures can be evaluated by the
ditional conditionsmoothness of the changed maximally admissible degree of smoothness in x S
function l(x). Then, by way of differentiating, solving respective integral equations. Informa-
Eq 1 is reduced to the Volterra equation of the tion capacities are largely determined by
second type: smoothness of integral equation kernel. The
higher the kernel smoothness, the higher is the
x

smoothing (averaging) effect of the integral op-
B(x,x)ry(x) B(x,n)r
x y(n)dn l(x) (Eq 2) L
0 erator, and consequently, the less distribution ry
manifests itself in peculiarities of measured dis-
When applying the method of the Volterra in- tributions l(s). Accordingly, the considered ap- Design diagram for method of Fredholm integral
tegral equation, the following important fact proaches provide for a preliminary computa-
Fig. 2
equation
agitation (as shown in Fig. 75). Therefore, stress of the vapor blanket collapse on the surface. Figures 100 and 101 show the effect of agi-
and distortion are largely affected by agitation. However, agitation of polymer quenchant does tation of quenchants on the residual stresses on
However, polymer quenchant agitation hardly not decrease the quench distortion (Fig. 97) be- the side surface of 20 mm diam, 60 mm long
affects the degree of nonuniformity of the sur- cause the instantaneous and explosive collapse carbon steel bars quenched in water and a poly-
face cooling (as shown in Fig. 77) because of the of the vapor blanket on the specimen surface oc- mer quenchant. Figure 100 shows that nonuni-
explosive collapse of vapor blanket. curs with and without the agitation. form surface cooling in still water quenching re-
Figures 96 and 97 show the effect of agitation Figures 98 and 99 show the effect of agitation sults in uneven residual stress distribution on the
of quenchants on the profile of the flat surface of methods of quenchants on the quench distortion surface of the steel bar. Agitation of water results
the steel disk after quenching. Figure 96 shows of 20 mm in diam, 60 mm long carbon steel bars in even stress distributions except near the ends.
that nonuniform surface cooling in still water quenched in water and a polymer quenchant. In addition, the submerged and open spray cool-
quenching results in concaving of the steel disk Figure 98(a) shows that nonuniform surface ing result in high compression stresses. Figure
specimen and the agitation of water significantly cooling in still water quenching results in uneven 101 shows the effect of agitation on stress dis-
decreases the quench distortion in water quench- diameter of the steel bar. The increases of di- tribution after polymer quenching. Agitation of
ing. This occurs because agitation reduces the ameters near the ends of bars that were observed polymer quenchant results in even stress distri-
nonuniformity of the surface cooling of the steel are attributable to heat extraction from the edges bution and high compression stresses except
disk since agitation accelerates the propagation of the bar by edge effect. The upward flow of near the ends. However, still polymer quenching
water decreases end effect, because the agitation can also make even and high compression stress
reduces the nonuniformity of the surface cooling
of the steel bar. The lateral submerged and open
spray decrease the diameter and increase the
Temperature difference (T ), C
800 TA (center) length of steel bars, because the lateral flow 800 TA (center) TA TB
800 800
TA TB causes the fast cooling of the side surface and TB TC
Temperature (T ), C
Temperature (T ), C
TB (surface: B) TB TC the thermal shrinkage of diameter, which also TB (surface: B) TB TD

600 TB TD 600 results in the elongation in length of the steel bar 600 TC (surface: C) 600
TC (surface: C) (Fig. 98b). On the other hand, agitation of poly- TD (edge: D)
mer quenchant hardly affects the quench distor- A
400 TD (edge: D) A 400
400 B 15 400
B 15 tion (Fig. 99) because the instantaneous and ex-
C C 7
7 plosive collapse of the vapor blanket on the D 7
200 D 7 200 200 1 200
1 specimen surface definitely occurs with and
without the agitation.
0 0 0 0
0 10 20 0 10 20
Time (t ), s 30 Time (t ), s
(a) (a)
Still
Still
Wetting length (Lf ), mm
800 800 0.3 m/s 800 800

TA T B 20 0.7 m/s T A TB
TB T C T B TC
Temperature (T ), C
Temperature (T ), C
TA (center) TA (center)
600 TB T D 600 600 T B TD 600
TB (surface: B) TB (surface: B)
10
400 TC (surface: C) 400 400 TC (surface: C) 400
TD (edge: D) Lf TD (edge: D)
200 200 200 200
0
0 1 2 3
0 0 Time (t ), s 0 0
0 10 20 (a) 0 10 20
Time (t ), s Time (t ), s
(b) (b)
3
t s : Starting time of wetting
Starting (t s ) and finishing (t f )
800 800 800 T A TB 800

TA T B t f : Finishing time of wetting
T B TC
Temperature (T ), C
Temperature (T ), C
time of wetting, s
TB T C TA (center) T B TD
600 2 600
TA (center) TB T D 600
TB (surface: B)
600
TB (surface: B)
TC (surface: C)
400 400 400 400
TC (surface: C)
1 TD (edge: D)
TD (edge: D)
200 200 tf 200 200
ts
0 0 0 0 0
0 10 20 0 0.3 0.7 0 10 20
Time (t ), s Flow velocity (v ), m/s Time (t ), s
(c) (b) (c)
Fig. 75 Effect of agitation on cooling curves and tem- Fig. 76 Effect of (a) agitation and (b) flow velocity on Fig. 77 Effect of agitation on cooling curves and tem-
perature differences of stainless steel disk spec- wetting process on the surface of stainless steel perature differences of stainless steel disk spec-
imen during water quenching. Quenchant: 30 C city wa- disk specimen (30 mm diam by 10 mm thick) during poly- imen during polymer quenching. Quenchant: 30 C 10%
ter. Flow velocity: (a) still, (b) 0.3 m/s, (c) 0.7 m/s. Source: mer quenching. Quenchant: 30 C 10% PAG polymer PAG polymer aqueous solution. Flow velocity: (a) still, (b)
Ref 68 aqueous solution 0.3 m/s, (c) 0.7 m/s
the propensity to cause increased distortion or quenching, press quenching, plug quenching, upon removal from the marquenching bath while
cracking. Although a reduction of quench sever- and so forth. the part is still hot. Marquenching can be accom-
ity leads to reduced distortion, it may also be Interrupted quenching refers to the rapid plished in a variety of baths including hot oil,
accompanied by undesirable microstructures. cooling of the steel parts from the austenitizing molten salt, molten metal, or a fluidized particle
Therefore, it is difficult to select an optimal temperature to a temperature where it is held for bed. Cooling from the marquenching bath to
quenchant and agitation. Cooling power of quen- a specified time, followed by slow cooling. room temperature is usually conducted in still
chant should be as low as possible while main- There are several different types of interrupted air. Deeper-hardening steels are susceptible to
taining a sufficiently high cooling rate to ensure quenching: austempering, marquenching (mar- cracking while martensite forms if the cooling
the required microstructure, hardness, and tempering), time quenching, and so forth. The rate is too rapid. Marquenched parts are tem-
strength in critical sections of the steel parts. temperature at which the quenching is inter- pered in the same manner as conventionally
Specific recommendations for quench media se- rupted, the length of time the steel is held at tem- quenched parts. The time lapse before tempering
lection for use with various steel alloys and gen- perature, and the cooling rate can vary, depend- is not as critical because the stress is greatly re-
eral comments regarding quenchant selection ing on the type of steel and workpiece thickness. duced.
were already shown in the section Effect of Ma- Marquenching (martempering) is a term that The advantage of marquenching lies in the re-
terials and Quench Process Design on Distor- describes an interrupted quenching from the aus- duced thermal gradient between surface and core
tion. tenitizing temperature of steels. The purpose is as the part is quenched to the isothermal tem-
Nonuniformity of cooling is perhaps the great- to delay the cooling just above the martensitic perature and then is air cooled to room tempera-
est contributor to quench distortion and cracking. transformation temperature until temperature ture. Residual stresses developed during mar-
Nonuniform cooling can arise from nonuniform equalization is achieved throughout the steel quenching are lower than those developed
flow fields around the part surface during part. This will minimize the distortion, cracking, during conventional quenching because the
quenching or nonuniform wetting of the surface. and residual stress. The term martempering is
Nonuniform quenching creates large thermal somewhat misleading, and the process is better
gradients between the core and the surface of a described as marquenching. Figures 104(a) and 800
steel part, or among the surfaces of the parts. (b) (Ref 81) show the significant difference be-
These contributing factors, agitation, and surface tween conventional quenching and marquench-
Temperature (T ), C
wetting should be considered to select a quen- ing. The marquenching of steel consists of: 600
chant and an agitation method. R3
1. Quenching from the austenitizing tempera- JIS
Good designs of agitation, racking, and sup- R5
port fixturing are major factors of uniform ture into a hot quenching medium (hot oil, R0
400
quenching. The purpose of the agitation system molten salt, molten metal, or a fluidized par-
ticle bed) at a temperature usually above the C1
is not only to take hot fluid away from the sur-
face of steel parts, but it is also to provide uni- martensite range (Ms point)
200
form heat removal over the entire cooling sur- 2. Submerging in the quenching medium until
face of all of the parts throughout the load being the temperature throughout the steel work-
quenched. piece is substantially uniform 0
3. Cooling (usually in air) at a moderate rate to 0 2 4 6 8 10 12
prevent large differences in temperature be- Time (t ), s
Quenching Methods tween the outside and the core of the work-
piece Fig. 90 Effect of specimen shape on the cooling curves
Part design, material selection, quenchant se- of cylindrical silver specimen cylinder (10 mm
lection, and so forth. are the most important fac- The formation of martensite occurs fairly uni- diam by 30 mm long) during quenching in 80 C still oil.
Specimen shape: JIS, JIS silver probe type; R0, with flat ends
tors to suppress the quench distortion and crack- formly throughout the workpiece during the and sharp edges; R3, with rounded edges of 3 mm radius;
ing of steel parts. In addition, several methods cooling to room temperature, thereby avoiding R5, with hemispherical ends of 5 mm radius; C1, with
for minimizing distortion and eliminating crack- excessive amounts of residual stress. Straight- chamfered edges of 1 mm by 45
ing are employed, for example, interrupted ening or forming is also easily accomplished
104
Heat-transfer coefficient (h), W/m2 K
Still 0.2 m/s 1.0 m/s 5000

800 800
Stainless steel
cylinder
2000 Nickel cylinder
Temperature (T ), C
Temperature (T ), C
600 600 Silver cylinder

1000
C1 R0
400 400 C1 500

R5
R5
C1
JIS JIS
R5 200
200 200 R3
R3 JIS 100
R0 R0 R3
0 0 50
0 2 4 6 8 10 12 14 16 18 20 0 2 4 6 8 10 12 14 16 18 20 0 200 400 600 800
Time (t ), s Time (t ), s Tl = TW Tl, (K)
(a) (b)
Fig. 91 Effect of specimen material on the heat-transfer
Fig. 89 Effect of specimen shape on the cooling curves of cylindrical silver specimen cylinder (10 mm diam by 30 coefficients during oil quenching. Quenchant:
mm long) during quenching in 30 C 15% polymer (PAG) quenchant. Specimen shape: JIS, JIS silver probe 80 C still quenching oil (JIS 1-1 type). Specimen: cylindri-
type; R0, with flat ends and sharp edges; R3, with rounded edges of 3 mm radius; R5, with hemispherical ends of 5 mm cal silver, nickel, and stainless steel specimen with hemi-
radius; C1, with chamfered edges of 1 mm by 45 spherical ends (10 mm diam by 30 mm long)
greatest thermal variations occur while the steel toughness, and wear resistance. However, aus- curve and then to transfer the part to a second
is in the relatively plastic austenitic condition tempering is applicable to a limited steel and medium (for example, oil, air, an inert gas), so
and because the final transformation and thermal parts size. Important consideration for the selec- that it cools more slowly through the martensite-
changes occur throughout the part at approxi- tion of steel parts for austempering are: formation range. Time quenching is most often
mately the same time. Marquenching also re- used to minimize distortion, cracking, and di-
The location for the nose of the TTT curve
duces susceptibility to cracking. mensional changes.
and the speed of the quenching
Modified marquenching differs from standard Restraint quenching refers to the quenching
The time required for complete transforma-
marquenching only in that the temperature of the under restraint of distortion of steel, for example,
tion of austenite to bainite at the austempering
quenching bath is below the Ms point (Fig. 104c) quenching by using restraint fixtures, press
temperature
(Ref 81). The lower temperature increases the quenching, cold-die quenching, plug quenching,
The location of the Ms point
severity of quenching. This is important for and so forth. There are many round, flat, or cy-
Maximum thickness of section that can be
steels of lower hardenability that require faster lindrical parts that distort to an unacceptable de-
austempered to a fully bainitic structure
cooling in order to harden to sufficient depth. gree by conventional immersion quenching. Un-
Therefore, modified marquenching is applicable Carbon steels of lower carbon content will be der such conditions, it is necessary to resort to
to a greater range of steel compositions than is restricted to a lesser thickness. For 1080 steel, special techniques. However, the equipment for
standard marquenching. the maximum section thickness is about 5 mm those special techniques are expensive and pro-
Austempering consists of rapidly cooling the (0.2 in.). Low-alloy steels are usually restricted duction rates are slow. Consequently, the result-
steel part from the austenitizing temperature to to about 10 mm (38 in.) or thinner sections, while ing cost of heat treatment is relatively high.
a temperature above that of martensite forma- more hardenable steels can be austempered in Therefore, use of these techniques should be
tion, holding at a constant temperature to allow sections up to 25 mm (1 in.) thick. Nevertheless, considered only when minimal distortion is man-
isothermal transformation, followed by air cool- sections of carbon steel thicker than 5 mm (0.2 datory.
ing. The steel parts must be cooled fast enough in.) are regularly austempered in production Restraint fixturing is costly and is used pri-
so that no transformation of austenite occurs dur- when some pearlite is permissible in the micro- marily for highly specialized applications. Rep-
ing cooling and then held at bath temperature structure (Ref 82). resentative examples are the quenching of rocket
long enough to ensure complete transformation Time quenching is an interrupted quenching and missile casings or other large components
of austenite to bainite. Molten-salt baths are usu- method and is used when the cooling rate of the with thin wall sections.
ally the most practical for austempering appli- part being quenched needs to be abruptly Press Quenching and Plug Quenching. Prob-
cations. Parts can usually be produced with less changed during the cooling cycle. The usual ably the most widely used special technique is
dimensional change by austempering than by practice is to lower the temperature of the part press quenching. To minimize distortion caused
conventional quenching and tempering. In ad- by quenching in a medium with high heat re- by the quenching cycle, press and plug quench-
dition, austempering can decrease the likelihood moval characteristics (for example, water) until ing dies must be made to provide the proper
of cracking and can improve ductility, notch the part has cooled below the nose of the TTT quenchant flow and hold critical dimensions of
the part being quenched. In quenching, the die
or plug contacts the heated part, and the pressure
of the press restrains the part mechanically. This
occurs before quenching begins, while the part
is hot and plastic. The machine and dies then
Change of thickness (t/2), mm
0.05 force the quenching medium into contact with

the part in a controlled manner.
0.025 Cold-Die Quenching. Thin disks, long thin
rods, and other delicate parts that distort exces-
0 sively by conventional immersion quenching can
often be quenched between cold dies with no
0.025 distortion. Cold-die quenching is limited to parts
with a large surface area and small mass, such
0.05
15 10 5 0 5 10 15 as washers, rods of small diameter, thin blades,
(Left side) Radius horizontal (l s ), mm (Right side) and so forth. Large, thin thrust washers have to
be flat after quench hardening, but considerable
Water (30 C, still)
10% PAG polymer solution (30 C), still)
distortions are developed as a result of blanking
Oil (80 C, still) and machining stresses. To ensure the required
(a)
flatness, the washers are squeezed between a pair
of water-cooled dies immediately after they
leave the furnace.
ds ls
Other quenching techniques that can be
Distance from the center
5 used to minimize cracking and distortion are dis-

of thickness ds, mm
2.5 cussed here. Selective quenching is used when it

o is desirable for certain areas of a part to be rela-
t = 10 mm
ls 0 tively unaffected by the quenching medium. This

o can be accomplished by insulating an area to be
2.5
more slowly cooled so the quenchant contacts
5
only those areas of the part that are to be rapidly
0.1 0.05 0 0.05 0.1
cooled. The clay-coating method is employed for
Change of radius (r), mm
2r = 30 mm dia. selective quenching, for example, water quench-
(b) ing of Japanese swords. The distortion and mi-
Effect of quenchants on quench distortion of JIS S45C carbon steel disk quenched in still quenchants. Specimen
crostructure of Japanese swords is controlled by
Fig. 92 the thickness distribution of the clay layer. A
dimensions were 30 mm diam by 10 mm thick. (a) Distribution of axial distortion. (b) Distribution of radial
distortion thick clay layer (0.1 mm) suppresses the cool-
exceed 5% of the maximal stress (and 3% from dicator-crack tip zone on the determining accu- mental information (Ref 1618 et al.). There-
the value of stress leap at point x a/2) in both racy. On the other hand, presence of local plastic fore, for the measurement of strains and dis-
considered cases of the partitioned section 0 strain to some extent influences the stress-strain placements fields in the area of the crack
x a. state of the object surfaces relieved on object cut- indicator, the optical-geometrical methods
Some Peculiarities in Applying the ting. It is determined experimentally (on the ba- should be used in the first place, as well as the
Method. Practical application of the developed sis of strain field results) whether local plastic methods of holographic interferometry and elec-
approach to investigation of residual stress com- strains are present or absent. Each specific case tronic digital speckle interferometry, and also the
prises three principal methodological aspects: calls for assessment of their impact on residual method of photoelastic coatings (Ref 8). In con-
Technique for creating the indicator crack, stress to be found with due consideration to their sidering the holographic methods, the scheme of
which would preclude extra stresses in the actual level and peculiarities of the problem the receiving of real-time hologram (Ref 19) can
workpiece and coating solved. Still, it should be pointed out that devel- be used for the receiving of the interferencion
Methods for determining SIFs at combined opment of secondary plastic strains is not limited pictures.
loading on the basis of results processed for to the method of built-up crack. This phenome- The modern methods for SIF determination
stress fields, strains, or displacements in the non may well attend any destructive method under combined loading require only the deter-
zone of crack tip for example, in the widely used method of cir- mination of the function coefficients. This func-
Selection of procedure for solving equations cular hole drilling when, due to stress tion describes the field of stresses in the crack
that connect residual stresses to be found with concentration in the contour zone, there may de- zone on the basis of the experimental informa-
experimentally discovered relationships KI(x) velop stresses that exceed the yield point of the tion. The function of stresses in the form of the
and KII(x). material under investigation. series can be used for the analytical representa-
The problem of determining SIF from pro- tion of the field of stresses in the crack zone. The
A rectangular cutout made by a 0.2 to 0.5 mm cessed results of polarization-optical measure- terms of the series are the own functions (Wil-
(0.0080.02 in.) milling cutter can be used as an ments at combined loads is that there is a pro- liams functions) of the solution of elastic theory
indicator crack. If the cutout length is much nounced experimental error (Ref 8, 14, 15, et al.) problem for the regions with the wedge cutouts:
greater than its width, h (h/a 0.03), then, on in the crack tip zone (Fig. 9), where the stressed
the basis of methods described in the section
state is assumed, from the standpoint of fracture
Experimental Methods and Equipment, it is mechanics, to be described by Vestergards as-
U(r,h) r n/21f (h)
n1
(Eq 11)
possible to determine quite accurately those SIFs ymptotic relationships:
that could develop should a corresponding crack where r,h are the polar coordinates, f (h)
be created. In this case, the source information 1
3 an{sin[(s 1)h] (s 1)/(s 1) sin [(s
about the stress-strain state is obtained in the re- rij(x,y) KN FN (h) 1)h] bn{cos[(s 1)h] cos [(s 1)h]}; s
2pr k1
gion that excludes the vicinity of cut-out extrem- n/2; and an,bn are the coefficients for the sym-
ity r 3h (r, distance to the cut out tip). It (i.j x,y; N I, II, III) (Eq 10) metric and antisymmetric components of the
might be practical to use a narrow rectangular function U(r,h) expansion. Notice that KI
cutout instead of an indicator crack also because This calls for applying data obtained at some a12p, KII b12p.
at high levels of residual stress, local secondary distance from the crack tip while determining The finding coefficients an, bn, (n 1,2,3
plastic strains can develop due to high-stress SIF, and this fact, in turn, requires that not only N) are defined on the basis of the mathematical
concentration in the vicinity of the crack tip. If asymptotic elements be considered, but also reg- treatment of the measurement data of the band
narrow indicator-cutouts are used, the likelihood ular ones of the full solution for the respective order smax (the method of photoelastic coatings
of developing secondary plastic strains is re- problem of elasticity theory. is using) or the normal displacements, w (the ho-
duced. It is worth noting that the use of SIF- For the reliable determination of the SIFs KI lography method) in i points (i N ).
determination methods presented in the section and KII under combined loading, it is necessary Using the method of photoelastic coatings: the
Experimental Methods and Equipment rules to use the methodology, based on mathematical expressions for the stresses have the form:
out the impact of local plastic strains in the in- treatment of a substantial volume of the experi-
2smax r1 r2 (rh rr)2 4s r2h

rr rh n
2
r n/21(an F1n bn F2n)
n1 2

n
sr h r n/21(an F3n bn F4n)
n1 2
(Eq 12)
where:
F1n (s 1) sin[(s 1)h]
(s 1) sin[(s 1)h]
F2n (s 1) cos[(s 1)h]
(s 1) cos[(s 1)h]
F3n (s 1) cos[(s 1)h]
(s 1) cos[(s 1)h]
F4n (s 1) sin[(s 1)h]
(s 1) sin[(s 1)h] (Eq 13)
and, using the method of holographic interfer-

ometry:
N
lt
w
E n1
r n/212n
Fig. 8 Results of calculation of the test problem. I, number of steps {an sin[(s 1)h] bn cos[(s 1)h] (Eq 14)
ume at 300 C (570 F) is attributed to the trans- compositions. These convex distortions are was examined for analyses and experiments of
formation of retained austenite to bainite. At 400 caused by nonuniform thermal contraction and tempering performed after water quenching. Cal-
C (750 F), the dimensions revert to values resultant thermal stress during cooling. Figures culated residual stress distributions after water
closer to the original values, prior to quenching 105(b) and (e) are the results of quenching from quenching are shown in Fig. 106; open and solid
and tempering. 850 C with phase transformation. The distortion circles correspond to measured stresses on the
In addition to dimensional change by micro- in Fig. 105(e) (hardenable steel) shows a convex surface of the cylinder by x-ray diffraction. Re-
structural variation, tempering may also lead to configuration, but the distortion in Fig. 105(b) sidual stress distributions after tempering at 400
dimensional variation due to relaxation of resid- (medium-carbon steel of poor hardenability) C are shown in Fig. 107(a) and (b) for typical
ual stresses and plastic distortion caused by the shows a configuration that combines convex and elapsed times of 2 and 50 h with measured val-
temperature dependence of yield strength (Ref concave distortion. In addition, water quenching ues on the surface. These results show that the
85). Figure 105 shows the distortion of round (WQ) has a greater effect on distortion than oil stresses in all directions decrease with elapsed
steel bars (200 mm in diameter and 500 mm in quenching (OQ). Figures 105(c) and (f) show the time in tempering.
length) by quenching and by stress relieving in configurations after tempering. These results
tempering. A medium-carbon steel bar (Fig. show that tempering after quenching results in
105a to c) and a hardenable steel bar (Fig. 105d not only volumetric changes but also in convex Prediction of Distortion and
to f) are used in this experiment. Figures 105a distortions. Such distortions seem to be related
and d are the results of quenching from 650 C to relieving residual stresses by tempering.
Residual Stress after Quenching
without phase transformation. The distortion in Figures 106 and 107 (Ref 86) show an ex-
each case is almost the same, regardless of the ample of stress relief by tempering. A solid cyl- The computer prediction of thermomechanical
different quenchants and the different chemical inder 40 mm in diameter and 100 mm in length behavior in quenching is very useful for the de-
termination of a quenching condition, because it
is possible to predict the microstructure, hard-
ness, distortion, and stress of steel parts after
60
quenching. In order to predict thermomechanical
4 6 10 10 behavior, residual stresses, and distortion in
quenching of steel parts, a simulation method
A based on metallothermomechanical theory (Ref
87, 88) and finite-element analysis is often ap-
z 20 plied. The metallothermomechanical theory is

coupled with temperature, phase transformation,
and stress/strain fields. In quenching, the fields
B of metallic structures and stress/strain as well as
600 temperature affect each other. The triangular di-
agram shown in Fig. 108 shows such coupling
400
effect (Ref 88). In carburizing-quenching pro-
200 cess, the effect of carbon content on the three
0
fields is also represented by the dashed lines in
the figure. A series of theoretical models with
200 consideration of the effect of carbon diffusion
400 and distribution is introduced.
600 Still water Spray (submerged) lateral
0.3 m/s upward Spray (open) lateral Governing Equations
800
0.7 m/s upward
1000
0 10 20 30 40 50 60 An example of introducing the governing
Distance from lower end, mm equations in the framework of thermomechani-
(a) cal behavior for describing temperature and
stress/strain fields incorporating metallic struc-
600 tures in the quenching process is summarized in
400 this section (Ref 8891).
Mixture Rule. When a material point under-
200
going heat treatment is assumed to be composed

0 of a multiphase structure, an assumption is made
200
that a material parameter is described by the
mixture law:
400
600 N N
800
Still water
0.3 m/s upward Spray (submerged) lateral
v vI nI and I1
I1
nI 1 (Eq 4)
0.7 m/s upward Spray (open) lateral
1000
0 10 20 30 40 50 60
where nI denotes the volume fraction for the Ith
Distance from lower end, mm phase.
(b) Heat-Conduction and Diffusion Equations.
The temperature field is governed by a special
Fig. 100 Effect of agitation methods on residual stress after water quenching of JIS S45C steel rod (20 mm diam by
60 mm long). Quenchant was 30 C city water. Agitation methods were still, 0.3 m/s upward flow, 0.7
heat-conduction equation coupling stress work
m/s upward flow and lateral submerge in immersion quenching, and lateral open spray quenching in air. (a) Axial stress and latent heat due to phase transformation dur-
on surface. (b) Tangential stress on surface ing quenching:
T
4 6 10 10
60
qCT
xi
k
xi rij e ijp
A

q l n 0
I I I (Eq 5)
where k and lI denote the coefficient of heat con-

z 20 duction and the latent heat produced by the pro-
gressive Ith constituent.
The boundary conditions of heat transfer on
B
the outer surface are assumed to be:
600
Still polymer, 10% Spray (open) 10%
400 T
0.3 m/s upward, 10% 0.7 m/s upward, 10% k ni h(T Tw) (Eq 6)
200
xi
0
where h is a function dependent on temperature,
200 h and Tw denote the heat-transfer coefficient and
400 the temperature of coolant on heat-transfer
boundary with unit normal ni, respectively.
600
Carbon content during carburizing is solved
800 by the diffusion equation:
1000
D C

0 10 20 30 40 50 60
C (Eq 7)
Distance from lower end, mm xi xi
(a)
600
where C is content in the position xi direction, D
is the diffusion constant determined by the
400 Still polymer, 10% Spray (open) 10% boundary condition being specified by the reac-
0.3 m/s upward, 10% 0.7 m/s upward, 10%
200 tion across the surface layer:
0
C
200 D ni hc(Ce Cs) (Eq 8)
xi
400
600 where hc and Ce are the surface reaction rate co-
800
efficient and the known content of the external
environment, respectively.
1000 Constitutive Equation. Total strain rate e ij is
0 10 20 30 40 50 60
assumed to be divided into elastic, plastic, and
Distance from lower end, mm
thermal strain rates and those by structural di-
(b) latation due to phase transformation and trans-
formation such that:
Fig. 101 Effect of agitation methods on residual in polymer quenching of JIS S45C steel rod (20 mm diam by 60 mm
long). Quenchant was 30 C 10% polymer (PAG) quenchant. Agitation methods were still, 0.3 m/s upward
flow, and 0.7 m/s upward flow in immersion quenching. (a) Axial stress on surface. (b) Tangential stress on surface e ij e eij e pij e Tij e m
ij e
tp
ij (Eq 9)
Here, the elastic strain:
1 m m
eeij rij (rkk)dij (Eq 10)
E E
Table 12 Effect of agitation on quench cracking in water and polymer quenching of steel
disks shown in Fig. 100
Steel materials are Japanese standard S45C, SK4, and SCM435. 2 10
Frequency of occurrence of quench cracking, %

S45C SK4 SCM435 7
Quenchants and its agitation 0.45%C-0.67%Mn 0.98%C0.77%Mn 0.35%C-0.76%Mn1.06%Cr-0.20%Mo
City water (30 C) 10
Still (nonagitated) 100 100 (flat surface) 100
0.3 m/s upward 70 30 (flat surface) 100
70 (hole surface) 30
100 (hole surface)
5 m/s open spray 0 10 (flat surface) 0
90 (hole surface)
10% polymer quenchant (30 C, PAG) Disk specimen for quench-cracking test.
Still (nonagitated) 0% 0 0 Fig. 102
Specimen dimensions were 30 mm diam by
0.3 m/s upward 0% 10 mm thick; specimen contains an eccentrically located
0.7 m/s upward 0% 0 0 10 mm diam hole.
Fig. 104 Comparison of cooling curves as workpieces pass into and through martensite transformation range for a conventional quenching and tempering process and for interrupted
quenching processes. (a) Conventional quenching and tempering. (b) Marquenching. (c) Modified marquenching
Fig. 105 Deformation of medium-carbon and hardenable steel bars by quenching from below and above transformation temperature and by stress relieving. lC, change of length.
(a) and (d) Quenched from 650 C. (b) and (e) Quenched from 850 C. (c) and (f) Tempered at 680 C (a) to (c) JIS S38C steel (0.38%C). (d) to (f) JIS SNCM 439 steel
(0.39C-1.80Ni-0.80Cr-0.20Mo).
150 150
150
T = 400 C T = 400 C
t =2h t =
100 100
100
50 50
Stress (), kg/mm2
Stress (), kg/mm2
50
Stress (), kg/mm2
0 0
0
50 50
50
z z
z 100 100
100 r r
r
150 150
150 0 5 10 15 20 0 5 10 15 20
0 5 10 15 20 Radius (r ), mm Radius (r ), mm
Radius (r ), mm (a) (b)
Fig. 106 Stress distribution in cylinder after quenching Fig. 107 Stress distribution in cylinder during tempering
N
caused by a low level of applied stress during where e c and {s} are equivalent creep strain and
ij
e m bI n I dij and
I1
the phase transformation. In addition to the cou- deviatoric stress vector. [D] denotes an elastic-
N pling effects between stress and phase transfor- plastic matrix based on Mises-type yield func-
3
ij
e tp KI h(nI )n I sij (Eq 19) mation, this phenomenon is also expected to in- tion. Here, the functions depending on tempera-
2 I1 fluence the stress and/or strain distribution ture and phase transformation and b can be
during quenching. Following Desalos et al. (Ref written as:
where b and KI stand for the dilatation due to 94), the transformation plastic strain rate e tp
ij is N
structural change and parameter due to transfor-
mation plasticity depending on the Ith constitu-
determined by: {}

T
([De]1{r})
I1
N1
2 K h(n )n s and
3
ent.
ij
e tp I I
Kinetics of the Quenching Process. In the
case of quenching, two kinds of phase transfor-
I I I ij
n {1} T n dT{1}
I I I (Eq 26)
h(nI) 2(1 nI) (Eq 22)
mation are anticipated: one is governed by the and
diffusionless or martensite mechanism. From Here, KI is the transformation plasticity coeffi-
([De]1{r}) b {1}
thermodynamic consideration, the formula for cient for martensitic or pearlitic transformation,
this type of reaction from austenite is often as- which may be identified by the experimental re- {b} I (Eq 27)
nI
sumed to be governed by the modified Magees sults dependent on dilatation-temperature dia-
rule (Ref 92) as: grams. I and bI are the coefficients of thermal expan-
sion and dilatation due to Ith phase transforma-
nM 1 exp{w1T w2(C C0) Coupling Algorithm in Simulation by tion, respectively. [De] denotes the elastic matrix
w31rij w32 J 21/2 w4 (Eq 20)
Finite-Element Analysis of materials.
In order to treat unsteady coupled equations
Based on the metallothermomechanical theory depending on time, a step-by-step time-integra-
where nM is the volume fraction of martensite (Ref 88, 89), the formulated finite-element equation method and Newton-Raphson method
that is the function of carbon content, tempera- tion system considering the coupling between in- are introduced in numerical calculation, while an
ture, and stress. Here J2 is the second invariant crement of nodal displacement {Du} and tem- incremental method is used for deformation and
of deviatoric stress. w1, w2, w3, w4 are all coef- perature {T} as well as volume fraction of stress analysis. Because heat-transfer coefficient
ficients obtained from experiments. structure nI can be expressed as: depends on variation of the temperature on the
The other type of phase transformation is con- boundary of heat transfer, one also uses the non-
trolled by diffusion mechanism, and the volume [P]{T } [H]{T} {Q(nI ), rij } (Eq 23)
uniform time step to calculate temperature,
fraction of developing phase such as pearlite and phase transformation, and deformation fields
may be expressed by modifying the Johnson- (Ref 89).
Mehl relation (Ref 93) as: [K(ui)]{Dui} {DF(T,nI)} (Eq 24)
Here, matrices [P], [H], and [K] represent the Examples of Simulation Results
np 1 exp t
0 matrices of heat capacity, heat conduction, and
stiffness, respectively, and the vectors {Q} and
Simulation of Quenching Processes of a
ft(T) fs(rij ) fc(C)(t s)3ds (Eq 21) Carbon Steel Disk and Cylinder (Ref 95). A
{DF} are heat flux and increments of thermal finite-element method code HEARTS was used
load. These equations are strong nonlinear equa- for simulating the quenching processes of steel
In this equation, ft(T), fs(rij), and fc(C) are the tions and are derived by the use of the expression
function of temperature T, stress rij, and carbon disk and cylinder (Ref 95). Models of a 0.45%
of stress increment vector as:
content C, respectively. Since the TTT diagram
N

under the applied mean stress rm in logarithmic 3d e c
scale deviates from the one without stress, which {dr} [D] {de}
2r
{s}
I1
is represented by the function f(T), the kinetic 30
N
equation of diffusion type is often applied to the
variations of pearlite or ferrite structure in
{}dT

I1

{b}dn I z
N1
quenching processes. Identification of the func- 3 1
tion f(T) can be made possible by the use of some I 2
KI h(nI )dnI {s}
S0
experimental data of the structure change. N 5
r 2 r 2
Transformation plasticity is known as the
phenomenon of accelerated plastic deformation
T
dT
I1 nI
dnI {s} (Eq 25)
o
r
10
Thermal stress
Temperature Stress/strain z
Heat generation due to work
Carbon content
Latent Stress-induced
heat transformation
o r
Metallic structure
Elements: 136
Temperature-dependent Transformation stress and Nodes: 162
phase transformation transformation plasticity
Fig. 109 Finite-difference mesh for steel disk speci-
Fig. 108 Coupling effects of temperature, stress/strain, and metallic structure in heat treatment men 30 mm diam by 10 mm thick)
C steel disk were employed to simulate the 5 104

quenching process. The diameter and thickness
of the disk are 30 and 10 mm, respectively. Then, 2 104 hside
the finite-element model shown in Fig. 109 per-

104
tained to an axisymmetrical problem.
Figure 110 shows the heat-transfer coeffi- 5000
cients used for the simulation. One of these co-
2000
efficients was estimated using the lumped-heat-
capacity method program LUMPPROB (Ref 1000
hend hend
63) and the cooling-curve data of the JIS silver 500
probe. Another coefficient was estimated using
the inverse method program InvProbe-2D (Ref 200
64, 65) and the cooling-curve data of the ISO 100 JIS probe + LUMPPROB
Inconel 600 alloy probe. These coefficients were ISO probe + InvProbe-2D
modified by a trial-and-error method repeating 50
Modified: Even hside
the calculation of cooling curve and the modifi-
20 (hside = hend)
cation of the surface-boundary condition.
10
Figure 111 shows the calculated volume frac- 0 200 400 600 800 Even
tion of martensite after water quenching of S45C
Temperature (T ), C
steel disk. The calculated volume fraction of
martensite depends largely on the accuracy of Heat-transfer coefficients used for the simulation. These coefficients were estimated by using the lumped-
the heat-transfer coefficients. Figure 112 illus- Fig. 110
heat-capacity method program LUMPPROB and the cooling-curve data of the JIS silver probe, or by using
trates the distribution of the calculated and the the inverse method program InvProbe-2D and the cooling-curve data of the ISO Inconel 600 alloy probe, and modified
measured distortion of steel disk These results by a trial-and-error method by repeating the calculation of cooling curve and the modification of the surface boundary
condition.
show that the modified heat-transfer coefficient
gave the most accurate simulation of the distor-
tion after water quenching. Figure 113 shows the
distribution of residual stress on the flat end sur-
face of S45C steel disk after water quenching.
The residual stresses measured by x-ray diffrac-
tion are compared with calculated results in Fig.
113. The calculated stresses of simulation have
good agreement to measured results as shown in
this figure. However, the modified heat-transfer
coefficient gave the better result of the simula-
tion than the other.
Finite-difference mesh for steel cylinder spec-
imen (1/4 model, 20 mm in diameter by 60 mm)
is shown in Fig. 114. Figure 115 illustrates the
distribution of residual stress on the side surface
of the steel cylinder after polymer quenching.
The calculated residual stresses have good agree-
ment to measured results. Figures 116(a) and (b)
are simulated shape changes of S45C steel cyl-
inder during water and polymer quenching, re-
spectively. These results clarify that nonuniform
cooling in water quenching causes larger distor-
tion near the end than in polymer quenching.
Prediction of Warpage of Steel Shafts with
Keyway (Ref 96). The finite-element method
system DEFORM-HT (Ref 97) was used for
simulating quenching of a JIS S45C (0.45% C)
steel shaft with keyway. A cylinder, 10 mm in
diameter and 100 mm long, was with a keyway,
2.5 mm deep and 4 mm wide. A tetrahedral mesh
containing approximately 33,000 elements was
applied to one-half of the specimen; symmetry
conditions were applied to the center surface.
The results were evaluated against the experi-
mental data. The simulated quench distortion
history was compared against its real counter-
part. Excellent resemblance was found between
them, as Fig. 118 is compared with Fig. 117. In
both reality and simulation, the shaft bent toward
the keyway side in the beginning 1.7 s and bent
to the other direction after 1.7 s. This phenom- Fig. 111 Calculated volume fraction of martensite after water quenching of S45C steel disk used for surface boundary
enon was believed to be caused by the combi- conditions in simulation of 1/4 F M model of disk specimen shown in Fig. 109
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Fig. 122 Simulated distortion after quenching with
measured data. Distortion is enlarged by 100
p 67120
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2
Time
10 s
60 s
2400 s
With transformation plasticity With transformation plasticity
Fig. 120 Mesh division near a edge of ring-shaped

model
930 C
850 C
4h 1h 1 h 30 min Without transformation plasticity Without transformation plasticity

(a) (b)
Cp
OQ
1.2% 0.85% (130 C) Fig. 123 Comparison of simulated results depending on the effect of transformation plasticity in course of quenching.
Distortion is enlarged by 100 times. Central axis is the left side. (a) Carburized quenching. (b) Normal
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300 300
200 z calculated 200 z calculated
100 calculated 100 calculated
z measured z measured
Residual stresses (z,), MPa
0 measured 0 measured
100 100
200 200
300 300
400 400
500 500
600 600
700 700
800 800
900 900
1000 1000
0 50 100 150 200 250 300 350 400 0 50 100 150 200 250 300 350 400
Distance (z ), mm Distance (z ), mm
(a) (b)
Fig. 126 Residual stresses along the surface of SAE1055 steel cylindrical specimen. Scanning velocity v (a) 10 mm/s and (b) 5 mm/s
Method for Determining Mixed-Mode Effects in Hole Method and Application of Yule, American Institute of Physics, 1983,
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Polarization Optic Methods/Testing Equip- Mechanics of Strained Solids, Nauka, Mos- Stress Determination through Combined
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(Moscow), 1989, Vol 2, IMEKO, p 513 Institute of Mechanics, USSR Academy of 33. L. Wang and J. Ke., The Measurement of
18. I.A. Razumovsky and M.V. Medvedev, Pro- Sciences, 1982, p 278 (in Russian) Residual Stress by Sandwich Holographic
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ciety for Optical Engineering, Vol 2791, Sciences, 1985, p 240 (in Russian) kanov, Reflectance Hologram Application
1995, p 129133 27. I.A. Razumovsky, Photoelastic-Coating of Interferometers to Determine Residual
19. N.A. Makhutov, V.J. Kulijev, I.A. Razu- Technique for Study of Zones with Large Stress by Probing Hole Method, J. Theo-
movsky, and N.S. Cherpakova, Experimen- Stress Gradients, Sov. Mach. Sci., Academy retical Phys., Vol 66 (No. 1), 1966, p 99
of Sciences of the USSR, No. 2, 1984, p 80 113 (in Russian)
tal Analytical Method for Investigating of
35. Y.I. Ostrovskii, V.P. Shchepinov, and Yu.I.
Local-Inhomogeneous Residual Stresses 84
Yakovlev, Holographic Interferometry in
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Experimental Mechanics, Springer Series in
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Vol 2791, 1995, p 115118 (Russia), translated from Russian original, 36. V.P. Shchepinov and V.S. Pisarev, Strain
20. A. Zak and M. Williams, Crack Point Stress (c/b Consultants Bureau New York and and Stress Analysis by Holographic and
Singularities at Bimaterial Interface, J. London), Vol 42 (No. 6), 1976, p 976984 Speckle Interferometry, Chichester: John
Appl. Mech. (Trans. ASME), Vol 30 (No. 1), 29. B.S. Kasatkin, A.B. Kudrin, and L.M. Lo- Wiley & Sons, 1996, p 496
1963, p 142143 banov, Experimental Methods for Defor- 37. R. Jones and C. Wykes, Holographic and
21. F. Zandman, S. Redner, and J.W. Dally, mation and Stresses Research, Kiev, Nau- Speckle Interferometry, Cambridge Univer-
Photoelastic Coatings, SESA monograph, kova Dumka, 1988, p 359 (in Russian) sity Press, 1984
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22. F. Zandman, Photoelastic Coatings Tech- rak, and S.G. Andrrushenko, Determination zumovsky, Application of Speckle Interfer-
nique for Determination Stresses Distribu- of Residual Stresses by Holographic Inter- ometry for Residual Stress Measurement,
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(No. 5), 1960, p 2329 Dokl. RAN (Proceedings of the Russian original, (c/b Consultants Bureau New
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Residual Stress in the Forming

of Materials
Z. Wang and B. Gong, University of Toronto, Canada
ALL METAL PRODUCTS, except casting (0.5 to 0.8 wt% C), for example, six or more either one (almost always the die) to the station-
components, are subjected at some point in their dies are needed. Power-driven capstans are pro- ary bed and the other to the reciprocating ram.
manufacturing process to at least one metal- vided between each die and the one ahead of it. The pressure can be applied rapidly by a sharp
working or metal forming operation. Such opera- Final drawing speed often reaches 7.5 m/s blow, as in a crank press or header (impact ex-
tions can be very diverse, but all have the same (1,500 ft/min). Dies are often made of tungsten trusion), or more slowly by a squeezing action,
primary objective: to produce a desired shape carbide. The reduction at each die in a range of as in a hydraulic press.
change. Several different operations may often 5 to 30% is determined by the size of the cur- Rolling is a process in which the thickness of
be necessary; for example, a specific steel chosen rent die and also the preceding one, and can be the material is reduced by passing between a pair
to make tubes for manufacturing golf clubs is altered by changing one of the dies. The defor- of revolving rollers, which are generally cylin-
first hot forged, rolled, extruded into tubular mation in wire drawing is not uniform, causing drical in shape for producing flat products such
shape, and then cold drawn with specific dies nonuniform hardness distribution along the ra- as sheets or strip. Their surfaces can also be
into final shape, apart from all the subsidiary dius direction. This phenomenon is particularly grooved or textured in order to change the profile
treatment. severe in the last couple of dies. The higher the as well as the emboss pattern of the products.
Metal forming can be further divided into hot die angle, the more severe the phenomenon (Ref Specifically, cold rolling is carried out for spe-
forming and cold forming. This article addresses 2). The total reduction after sequential passes cial purposes such as the production of good sur-
cold forming and its resultant residual stresses. could be more than 90%, allowing the tensile face finish or special mechanical properties. Ac-
Cold forming (working) is defined as a forming strength of the final wires to be doubled com- cording to statistics, more materials are rolled for
process or plastic deformation operation carried pared with that of the as-received rods (Ref 3). further manufacturing applications than are
out at temperatures below the recrystallization Tubes. Most tubes are made by hot extrusion treated by all other processes.
temperature of the workpiece material, but more to hollows, followed by one or multiple drawing
often it is simply referred to as the forming pro- Forging, Deep Drawing, and Pressing.
passes at room temperature. Several major cold Forging compresses metal between a hammer
cess at room or ambient temperature. The most drawing processes are used for the production of
commonly used cold forming operations (draw- and an anvil or in a pair of dies. Large-size ma-
tubes, as shown diagrammatically in Fig. 2. In terials such as castings and ingots are usually
ing, extrusion, rolling, and forging, deep draw- the first three processes (Fig. 2a-c), the major
ing, and pressing) are briefly discussed below. forged at high temperatures at which the yield
part of deformation is the reduction of wall strength is reduced as far as possible. Cold forg-
Drawing. Large quantities of metal or alloy thickness. But it is also possible for the diameter
products such as rods, tubes, and wires with vari- ing, often combined with cold extrusion, is mainly
to be reduced, accompanied usually by a small used for smaller-size stock. Deep drawing is an
ous special sections are finished by the cold increase in wall thickness, by sinking the tube
drawing process. extension of pressing in that the metal blank is
without internal support (Fig. 2d). The heaviest
Bars. Large bars, up to 150 mm (6 in.) in di- given a substantial third dimension after flowing
reduction in tube size may be reached with a
ameter or sometimes more, are frequently given through a die (Fig. 4). Simple pressing is carried
moving mandrel, because the friction at the inner
a light sizing pass, reducing the diameter by out by loading a blank between a punch and a
surface can also carry a portion of the drawing
about 1.5 mm (116 in.) to improve surface finish
load. Most tube drawing with a mandrel or plug
and dimensional tolerance (Ref 1). Light reduc-
tions are also made in the production of bright- involves some reduction in internal diameter, if
drawing angles, channels, and strips. Many of only an initial clearance in the bore is allowed.
the smaller-sized round bars, however, are drawn Extrusion. In this process a cylinder or billet
with much greater reductions of area, even up to of metal is forced through an orifice by means
50% per pass. The general configuration of dies of a ram so that the elongated and extruded metal
for rod and wire drawing is shown schematically has a transverse shape that coincides with the die
in Fig. 1. A theoretical approach can be used to orifice. Cold extrusions are usually with the final
predict the maximum reduction of area possible forming processes.
in a single pass. In drawing round bars, for in- Low- and medium-carbon steels, low-alloy
stance, the limiting reduction would be as high steels, and stainless steels are the common ma-
as about 63% (Ref 1). terials that can be cold extruded. In cold extru-
Wires are usually drawn through a large num- sion, a punch applies pressure to the slug or pre-
ber of dies before reaching the final size, and form, causing the work metal to flow in the
may be reannealed several times as drawing pro- required direction (Fig. 3). The relative motion Schematic of a converging die for rod and wire
between punch and die is obtained by attaching
Fig. 1
ceeds. For wire drawing of high-carbon steel drawing
since the normal direction of the function F in one obtains the expression for the total strain Here, the matrix [Dep] is given as (Ref 36):
stress space is represented by F/rij. The pa- rate:
rameter K is a function that depends on stress, [Dep] [De] [Dp] (51)
1 F F

stress rate, and strain and its history. Since the m
equation implies that the plastic strain rates de- r ij 2G dikdjl dijdkl
1 2m S0 rij rkl
rived from a potential F, the theory is known as with
the plastic potential theory. 1 F F T
(ekl dklT)
The next problem is how to identify the pa- S0 rij T 1 m

(Eq 47) sym
rameter K in Eq 40. During plastic loading, the 1 2m
stress components always satisfy the yield con- m 1 m
dition F 0 at any moment, which implies F where 1 2m 1 2m
0. Then, one has the relation called the Pra- m m 1 m
[De] 2G
gers consistency relation: 1 F F 1 2m 1 2m 1 2m
S0 (Eq 48)

2GG rmn rmn 0 0 0 1
2
F F F 0 0 0 0 12
F r ij p e ijp j
rij eij j For further application of the constitutive equa- 0 0 0 0 0 12
F
N
F
tion in the finite-element method, it is useful to (Eq 52)

T
T
I1 nI
nI 0 (Eq 41) present the relation in the matrix form (Ref 36):
and (see Eq 53).
[Dep] ({e} {}T)
{r}
As an example of yield functions, consider
Substituting the expression in Eq 40 into Eq 41
1 F F
as well as the definition of hardening parameters
in Eq 34 and 35, the parameter K is easily de-

S0 r T
T (Eq 49)
termined as: 0
where the components in matrices of stress and
strain in engineering notation and coefficient of
F r mn F T
KG
rmn T linear expansion are, respectively:
0.5
N
F
{r}T {rx ry rz sxy syz szx}
Axial dilation (Ez), %

nI (Eq 42)
I1 nI
{e}T {ex ey ez cxy cyz cyx} (Eq 50)
and finally: {}T { 0 0 0} 1.0
Axial stress, z (MPa)
50
F r kl F
e pij G
rkl T ij
p
0
30
1.5 50
N
F F
T
I1 nI
nI
rij (Eq 43)
ij
ij
Here, G is termed as the hardening function and (Prager) 2.5
(Ziegler) 0 200 400 600 800
takes the form:
Temperature (T ), C
P
(a)
F F F

1 ij
p rmn (Eq 44) 0.5
G emn j rmn ij ij
0
for the work-hardening parameter in Eq 34, and: ij
0 169 MPa
137
1 F F
92
rmn emn
Axial strain (z), %
G 55
2 F F 1/2
F 0.5 0
3 r mn rmn j
(Eq 45) Fig. 9 Direction of back stress evolution
for the strain-hardening parameter in Eq 35. 1

Rate Form of the Stress-Strain Relation. 41
The elastic strain rate e eij is easily derived from 82
Equivalent stress,

Eq 28: 1.5 137

d 164
H =

1 m
e eij r ij dijr kk dp
2G 1 m 2
0 200 400 600 800
dijT dijb (Eq 46)
Temperature (T ), C
0
where G, m, and stand for shear modulus, Pois- (b)
0 Equivalent plastic strain, p
sons ratio, and linear expansion coefficient, re- Experimental data of the effect of applied stress
spectively, in the global forms in the sense of Fig. 11
Fig. 10 Stress-plastic strain curve and definition of on induced strain. (a) Pearlitic transformation.
Eq. 29. Substituting Eq 44 and 47 into Eq 46, hardening coefficient (b) Martensitic transformation
the effect of reversing the direction of straining

in a testpiece. If a metal specimen is plastically
deformed first in one directione.g., in ten-
sionthe yield stress measured in the reversed
loadingi.e., in compressionis generally
lower than that measured in tension. Similarly,
an initial plastic compression produces a tensile
yield stress lower than the original compression
yield stress. Such an effect is due, in part, to the
internal stressesknown as residual stresses
developed during the initial deformation. In gen-
eral, residual stresses can be defined as the self-
equilibrating internal stresses existing in a free
body that has no external forces or constraints
on its boundary (Ref 4). As mentioned above,
these stresses arise from the elastic response of
the material to an inhomogeneous distribution of Fig. 6 Bending with superimposed tension. With sufficient tension, the neutral axis moves out of the sheet so that the
nonelastic strains. strain is tensile across the entire section (a). With the stress-strain curve shown in (b), the stress distribution in
Residual stresses are usually subdivided into (c) results. After removal of the moment, elastic unloading leaves very minor residual stresses, as shown in (d). Source:
Ref 5
macrostresses and microstresses, according to the
distances over which they show significant vari-
ation. The former vary continuously or smoothly
over distances of the order of the dimensions of
the body, and the latter show marked variations
in pattern and magnitude over distances of the
order of the dimensions of microstructural ele-
ments such as grains and particles. Both types
result from inhomogeneous deformation caused
by external forces. Note that in this article, re-
sidual stresses produced in cold forming pro-
cesses are mainly referred to as macrostresses.
It is generally realized that the shape of the
deformation zone, which is the region undergo-
ing plastic flow in the material, exerts a strong
influence upon the magnitude and distribution of
residual stresses. Deformation zone geometry for
forming processes such as drawing, extrusion,
and rolling can be characterized by a single pa-
rameter, D, defined as the ratio of the mean thick-
ness or diameter, h, of the work metal to the
contact length between tool and work metal:
h
D (Eq 1)
L
For drawing or extrusion, according to Fig. 1,

the contact length, L, is equal to (h0 h1)/(2sin)
and the mean thickness or diameter, h, is equal
to (h0 h1)/2. Thus,
D [(h0 h1) sin]/(h0 h1) (Eq 2)
For axisymmetrical drawing, where h is the di-

ameter, the reduction is given by r (d 20
d 2f )/d 20. Hence,
sin (1 (1 r)1/2)2
D (Eq 3)
r
Similarly, one can demonstrate that for flat roll-

ing,
(2 r)(h0 /rR)1/2
D (Eq 4)
r
In the formulas for drawing and extrusion, D in-

creases with decreasing reduction and increasing Fig. 7 Residual stresses in lightly drawn steel rods. Source: Ref 5
die angle; in the case of rolling, it increases with can be readily demonstrated by the example of the thickness direction. The stress is a maximum
ratio of the strip thickness to the roller radius the plastic bending of a piece of sheet. Figure in tension at the upper surface of the sheet, layer
(Ref 5). 5(a) represents a sheet bent in the manner shown, 5. It decreases to zero at the neutral layer 0 and
Nearly all cold-formed products contain resid- where the subject sheet is assumed to be com- increases to a maximum in compression at the
ual stresses. In most cases, these residual stresses posed of many contact thin layers stacked along lower surface. If the stress does not exceed the
are undesirable because they often lower the
elastic limit of the material and may cause war-
page during subsequent machining operations.
The usual pattern of residual stresses with the
surface in tension are particularly undesirable.
Once a product with such a residual stress state
is put in service under a certain external load, the
nominal applied stress would then be superim-
posed onto these residual stresses of tension
sense on the surface and in the subsurface. Hence,
the real stress on the surface and in the subsur-
face would become higher than the nominal ap-
plied stress leading to a significant reduction in
fatigue life of the product. Furthermore, even if
without such a superposition of stresses, surface
residual stresses alone would increase the sus-
ceptibility to stress corrosion.
In practice, these residual stresses can be elim-
inated by heat treatment such as annealing or
stress relieving. However, these treatments are
costly and time consuming because of the extra
operation; more importantly, heat treatment may
considerably soften the work-hardened materi-
als. From the point of view of forming, on the
other hand, it is possible to reduce the residual
stress or even to produce useful residual stress
by optimizing forming parameters to control the
deformation zone. Furthermore, for some pro-
cesses, an additional deformation can also re-
duce residual stresses significantly. This will be
discussed in later sections on wire drawing.
Nevertheless, it is of utmost importance to un- Fig. 8 Influence of area reduction on residual stresses after drawing with one die. Source: Ref 6
derstand the distribution and magnitude of resid-
ual stresses in cold forming products. There are
usually two major approaches to the study of re-
sidual stresses: direct experimental measure-
ments and theoretical simulations. Experimental
approaches such as hole-drilling, x-ray, and neu-
tron diffraction methods usually give reliable
and even straightforward results. However, hole
drilling requires destructive testing, and the latter
two methods are expensive and time consuming.
In recent years, the finite-element method (FEM)
has received considerable attention and has
proved a powerful tool for the analysis of metal
forming processes, including residual stress
analysis. In the following section, the generation
of residual stress due to inhomogeneous defor-
mation is illustrated by a few simple examples.
Residual stress distributions studied either ex-
perimentally or theoretically in workpieces un-
der various cold forming processes are presented
and discussed in detail.
Residual Stresses in Specific Cold

Forming Processes
Bending of Sheet
The development of a system of internal stress
as the result of inhomogeneous plastic straining Fig. 9 Residual stresses after drawing with different area reduction in the second die. Source: Ref 6
yield strength of the materials at any point, re- pected in cold-drawn rods due to the greater direction stress) and the center in compression.
moval of the applied bending force will permit elongation in the surface layers when compared The magnitude of the residual stresses usually
the sheet to return to its original shape and thus with those near the center. In reality, the problem increases with increasing D. However, the typi-
no internal stress can remain. If, however, the is much more complex than what is presented cal pattern of residual stresses may be com-
maximum stress exceeds that for yielding, then above. Residual stresses are rarely unidirec- pletely different if D is very largethat is, if the
the layers will extend or be compressed by an tional, and the inhomogeneity of the deformation reduction is so small that the actual deformation
amount that depends on the extent to which the usually produces a bi- or triaxial stress system. zone does not penetrate to a considerable depth
yield stress is exceeded. This amount is greatest Springback in the case of sheet bending would of the wire interior. In that case, the surface can
at the surfaces and decreases in the layers nearer not only create severe residual stresses but also be left in residual compression, as shown in Fig.
the neutral axis. cause problems in tool design. Fortunately, this 7 for lightly drawn steel rods (Ref 5).
While the bending load is still applied, the kind of problem often can be avoided. Taking The residual stress in cold-drawn steel rods
stress distribution across the thickness of the stretch forming as an example, the tooling does and wires can now be well described by using
sheet will be as represented by Fig. 5(b), with not apply a pure bending moment as assumed FEM verified by experimental measurements
layers 2 to 5 being on the plastic portion and above. Rather, tension is applied simultaneously (Ref 6, 7). Specifically, residual stresses in sin-
layer 1 on the elastic portion of the stress-strain with bending. With increasing tensile forces, the gle-pass drawing have been found to be not only
curve in tension. If the bending moment is now neutral plane shifts toward the inside of the bend, dependent on the reduction in area and die angle,
released, the beam will spring back toward its and in most operations this tension is sufficient but also affected by a light deformation through
original flat profile, but not entirely, since this to move the neutral plane completely out of the an additional die immediately after the preceding
would require the complete reversal of both elas- sheet so that the entire cross section yields in one. As an example, Fig. 8 shows the influence
tic and plastic strain. As a matter of fact, the tension. For such a case, the strain and stress of the value of area reduction (eA), after drawing
amount of springback will be very different distributions are shown in Fig. 6, leaving very with one single die, on the four components of
along the thickness direction of the sheet because minor residual stresses. the residual stressnamely, axial, radial, tan-
of different plastic deformation. Suppose layer 5 gential, and equivalent stresses. Param-
is isolated from layer 4; in this case, the unload- Drawing of Wire, Rod, and Tube eters and conditions for this analysis are as fol-
ing process of the layer will follow the dashed lows:
line of point 5 in Fig. 5(b). Considering the in- The nature of residual stresses introduced by
teraction of layer 5 with layer 4, the unloading drawing strongly depends upon the shape of the Material CK15 steel
path of point 5 is actually along the solid line, deformation zone (D parameter), as discussed Die angle 2 25
since layer 4 has less plastic deformation or dis- previously. With D-values equal to 1 or lower Final rod diameter d1 15mm
placement than layer 5 and thus tends to resist (i.e., with high reduction and small die angle), Area reduction eA
the plastic extension of layer 5. As a result, layer the flow pattern of the materials or the defor-
5 feels compression; the compression stress level mation is relatively uniform and the residual Take eA 18% as an example. Under this
would be DeE, where De is the residual strain stresses created are minor. In general, as D is condition, the axial residual stress in the core
shown in Fig. 5(b) and E is the Youngs modulus increased to values above unity, the surface of section is in the compression condition, while
of the material. For layer 4, the situation is a bit the product wire is left in residual tension (axial residual stress in tension can be seen in the sur-
complicated as layer 3 will resist the extension
of layer 4, but layer 5 promotes the extension.
The combined result will produce less compres-
sion residual strain. It is predictable that at a cer-
tain layer, these two influencing factors will be-
come balanced, resulting in zero residual stress
(strain) state, as shown by layer 3 in Fig. 5(b).
Likewise, layers below the zero residual stress
layer, such as layers 2 and 1, could feel exten-
sion.
The overall pattern of the residual stress dis-
tribution is shown in Fig. 5(c). Two important
points should be noted here: First, for equilib-
rium, the effect of tension must be balanced by
that of compression; second, the surface that
originally plastically extended finally remains in
compression, while that which was plastically
compressed is left in tension.
This analysis can also be applied to the de-
velopment of residual macrostresses in work-
pieces inhomogeneously deformed/formed by
other processing methods. For instance, rolling
sheet with insufficient camber produces material
with thin edges, so that, since lateral spread is
relatively difficult, the edges must be elongated
in the direction of rolling by a greater amount
than the central fibers of the sheet. The longitu-
dinal residual stress should therefore be com-
pressive near the edges, with the central fibers in
balancing tension. A somewhat similar residual
stress distributioncompressive at the surface
and tension in the central regionsmay be ex- Fig. 10 Residual stresses after drawing, with three different distances between the two dies. Source: Ref 6
face region. A lower reduction (eA 10%) re- the primary die is not only affected but also con- in.) and a wall thickness of about 3.5 to 4 mm
sults in a higher residual stress on the surface, trolled completely by the secondary die (Ref 6). (0.14 to 0.16 in.). The tool used for drawing con-
but a lower one in the core. Along the radial The residual stress pattern in multistage cold- sisted of a die and a mandrel (see Fig. 2a). The
direction, all residual stresses are in the com- drawn steel wire is quite similar to that of single- reduction in area is represented by a nature
pression condition, being highest at the core and die drawing. Figure 11 shows the distribution of strain, defined as u ln(A0 /A1), where A0 and
close to zero at the surface. Figure 9 shows the longitudinal residual stresses in 1H18N9 wire, a A1 are the initial and final cross-sectional areas,
influence of the area reduction in a second die high-chromium, high-nickel alloy steel, from respectively. Residual stresses were measured
on the residual stress distribution. The area re- center to surface (Ref 8). Chemical composition using the x-ray technique and calculated from
duction in the first die is 10%, the distance be- of the steel is similar to that for 300 series stain- the {200} and {211} reflections. Before defor-
tween the two dies is 5 mm (0.02 in.), and the less steels according to the SAE specification mation, the residual stress state at the outer sur-
die angle is 2 25. The small deformation of (0.12% C, 9.0% Ni, 2.0% Mn, 0.3% Mo, 18.0% face is compressive and of rotational symmetry.
only eA2 0.6 to 1% in the second die results Cr, 0.3% W, 0.15% V). The 1H18N9 steel wire As a result of the plastic processing during cold
in an effective reduction in stress levels, espe- was drawn through six or eight passes from 2.0 drawing (u 0.23), both the axial and tangen-
cially for axial and equivalent residual stresses. to 1.0 mm (0.08 to 0.04 in.), with a total reduc- tial residual stresses shift toward the tensile di-
Figure 10 demonstrates the influence of dis- tion in area of 75%. The tensile strength after rection. With further increasing in values of u,
tance between the main die and the second die drawing is 1540 MPa (220 ksi), and the yield they are reduced in both directions. When u
(5, 13, and 21 mm, or 0.2, 0.5, and 0.8 in., re- stress is about 1380 MPa (200 ksi). Residual 0.34, even compressive stresses, although small
spectively) on the residual stresses for an initial stresses, measured using the electrolytic etching in magnitude, occur.
wire diameter of 16 mm (0.6 in.). The area re-
method, were very high (close to the yield stress)
ductions in the first and the second dies are both
both at the wire surface and in the interior. To Extrusion and Rolling
constant (eA1 10% and 1%, respectively). The
relieve these high residual stresses, two destress-
stress distributions for the two inter-die dis-
tances, 13 and 21 mm (0.5 and 0.8 in.), are very ing operations were tried: multiroll straightening Similar to the case of the drawing process, re-
similar. However, the equivalent residual stress and additional light deformation drawing sidual stresses produced by extrusion and rolling
for the 5 mm (0.2 in.) distance is much lower. (3.8%). Figure 11 also shows the influence of processes are strongly dependent on deformation
This is because the plastic deformation zones in these two methods. It is apparent that additional zone shape. Figure 13 compares residual stresses
these two dies are connected due to the small light drawing can significantly reduce residual created by open-die extrusion without ejection
distance between the two dies, and thus the in- stresses. and by the single-die drawing process, and
homogeneous deformation pattern produced by The pattern of residual stresses in cold-drawn shows very similar patterns and magnitudes of
tubes, on the other hand, seems sensitive only to residual stresses upon the same amount of form-
the area reduction. Figure 12 shows axial and ing ratio. If the extrusion is rapid enough, tem-
tangential residual stresses at the outer surface perature gradients caused by inhomogeneous de-
of tubes before and after cold drawing (Ref 9). formation may cause an added effect upon
The tubing was made from ferritic steel (DIN St subsequent cooling. Nevertheless, this is not the
35) with an initial outer diameter of 28 mm (1.1 major cause of residual stresses (Ref 5). The ef-
Fig. 11 Influence of destressing in multiroll straight-

ening and additional drawing (3.8%) on the
distribution of longitudinal residual stresses in 1H18N9
steel wire. Deformation, 75% (six passes). Source: Ref 8
Fig. 12 Residual stresses at the outer surface of the Fig. 13 Comparison between residual stresses after open-die extrusion without ejection and after drawing with one
tubes. Source: Ref 9 die. Source: Ref 6
fect of die angle, reduction in area, and defor- Residual Stresses in Cold-Formed Steel strain corresponds to a compression residual
mation zone parameter D on surface residual Members stress. The figure provides following informa-
stresses in extruded steel rods is shown in Fig. tion:
14. The numbers marked in the figure are the Steel elements (members) produced by cold
axial residual stress values on the surface in kg/ forming are a valuable alternative to hot-rolled 1. Compression residual stresses (positive resid-
mm2, and the solid lines represent the constant sections. They offer weight savings because of ual strain) were found on the inside surface
D-lines. Apparently, higher die angles and lower their wall thinness, as well as a greater variety of the sections, and tension residual stresses
extrusion rates produce higher residual stresses. of shapes. The cold forming processes com- (negative residual strain) were found on the
The residual stress pattern within the kernel of monly used for steel members are rolling and outside surface.
the cold extruded rods, on the other hand, seems press braking. The latter is a procedure in which 2. The magnitudes of the surface residual
dependent only on area reduction (Ref 9). sheet metal is bent to a desired angle. Rolling, stresses of the sections ranged between ap-
Residual stresses at the surface of rolled strip used mainly for large-section series because it is
are shown in Fig. 15 (Ref 5). The residual continuous, increases both yield strength and ul-
stresses are normalized by the yield strength in
timate strength. Press braking is economical for
the figure, and the abscissa is D2. With the in-
a limited series of section, the length of which
crease of D, residual stress goes up and could
even reach the yield stress of the material. High is restricted by the length of the press machine
residual stresses, coupled with damage at the itself.
centerline, can result in spontaneous splitting or As a typical example, the distribution of re-
alligatoring of the work material as the mate- sidual stresses in steel members formed by press
rial leaves the deformation zone (Ref 5). This braking and rolling methods, respectively, are
type of failure is most likely in early breakdown shown in Fig. 16(a) and (b) (Ref 10). Tensile
rolling of ingots because the section thickness is strength for the rolled steel member is 480 MPa
usually large relative to the roll diameter, while (70 ksi) and for the press-braked member is 350
the reduction per pass is low. Furthermore, the MPa (50 ksi). At the top of Fig. 16 are geometric
ingot structure will not have benefited from prior locations for residual stress measurement, which
deformation. was performed using electric discharge machin-
ing (EDM). It should be noted that a measured
negative residual strain corresponds to a tension
residual stress, and a measured positive residual
Fig. 17 Residual stresses in a sunk tube of mild steel.

Source: Ref 11
Fig. 14 Effect of die angle and reduction on residual

stresses in extruded steel rods. Numbers are the
axial residual stress on the surface in kg/mm2, and the con-
stant D-lines are calculated from Eq 4. A0 and A1 are the
initial and final cross-sectional areas, respectively. Source:
Ref 5
Fig. 15 Residual stresses at the surface of rolled strip.

The residual stresses are normalized by the Fig. 16 Residual strain. (a) Press braking. (b) Rolling. Fig. 18 Residual stresses at the middle height of a cup
yield strength, and the abscissa is D2. Source: Ref 5 Source: Ref 10 wall. Source: Ref 11
proximately 25 and 70% of the yield stress

of the material.
3. The magnitudes of the residual stresses on the
flat portions of the section were found to be
approximately uniform along the section pe-
rimeter.
4. The magnitudes of the residual stresses on the
corner regions were higher than those on the
flat portionsup to 30% of the yield stress
of the material.
5. At the same location, the magnitudes of the
residual stresses on the inside and outside
surfaces of the flat portions of the section
were quite close.
Fig. 19 Schematic of the dies used in a radial forging machine. Source: Ref 12
The fact that residual stress in the corner re-
gions was higher than in the flat portions is un-
derstandable, since more and nonuniform cold
work was introduced in the corner regions. Thus,
the yield stress at corners increased, which in
turn increased residual stress. in the AISI specification (1986) would not be
The residual stress pattern and magnitudes in appropriate, because this standard was based on
cold-formed steel members are quite different the residual stresses measured in hot-rolled steel
from those in hot-rolled shapes, where the max- shapes (Ref 10).
imum residual stress is about 30% of the yield
stress of the material and the residual stresses are Residual Stresses in Deep-Drawn Cups,
assumed to be uniformly distributed throughout
Sunk Tubes, and Radial Forging
the plate thickness. Therefore, the direct appli-
cation of the design standard for flexural buck- Products
ling strength of cold-formed steel columns used
The residual stresses in deep-drawn cups and
sunk tubes are related to season cracking phe-
nomena that occur in cylindrical products. The
Table 1 Tube sinking conditions cracks usually appear in the longitudinal direc-
Element/parameter Condition
tion. Therefore, the cause of cracking must be
Original tube 0.15% C steel; outside diam, 30 mm Fig. 20 Residual stress distribution on the outer surface circumferential residual stress or hoop stress in
(1.2 in.), wall thickness, 1 mm (0.04 in.) of the workpiece. Source: Ref 12 the tube walls. The residual stresses in these
Die Die hold diam, 24 mm; half-die angle, kinds of products are considered to be caused by
20; die profile radius at the exit, the axial unbending of the wall at the die exit
20 mm (0.08 in.)
Lubricant Machine oil mixed with MoS2
(see Fig. 4). To demonstrate the relation, Fig. 17
Drawing speed 1 m/min (3.3 ft/min) shows the residual stress distribution through the
wall thickness of a sunk, low-carbon steel
(0.15% C) tube (Ref 11). The tube sinking con-
Table 2 Deep drawing conditions ditions are listed in Table 1. The yield stress of
Parameter Value the sunk tube is 570 MPa (80 ksi). The circles
Die throat diam 66.4 mm (2.6 in.)
and squares in the figure are measured residual
Punch diam 64.0 mm (2.5 in.) stresses obtained using the Sachs method. The
Blank diam 120 mm (4.7 in.) solid and dashed lines are from numerical anal-
Blank holding force 5 tons ysis, and r*1 and r* t represent residual stresses
Die profile radius 3 mm (0.12 in.)
Punch profile radius 3 mm (0.12 in.)
in the longitudinal and circumferential direc-
Blank thickness 1 mm (0.04 in.) tions, respectively. The experimental and theo-
Fig. 21 Residual stress distribution on the inner surface
Maximum punch load 9 tons
of the workpiece. Source: Ref 12 retical methods give a very close result. The re-
sidual stress pattern and magnitude are very
similar in the longitudinal and circumferential
Table 3 Forging geometry and process con-
directions. At the inner surface, the residual
ditions
stress in compression is rather severe, while at
Geometry Value the outer surface it is relatively lower in tension.
Workpiece geometry The residual stress distribution in a cold-
Outside radius 33 mm (1.3 in.) drawn cup is similar to that in the sunk tube case.
Inside radius 7.94 mm (0.31 in.) Figure 18 plots the residual stress distribution at
Mandrel radius 7.94 mm (0.31 in.)
Outside radius of forged tube 30 mm (1.2 in.) the middle height of a cold-drawn cup of mild
Reduction in area 18.3% steel (0.23% C); the corresponding deep drawing
Die configuration conditions are given in Table 2. The notations in
Length of die land 12.7 mm (0.5 in.) the figure have the same meaning as those in Fig.
Die inlet angle 6
Process conditions 17 (Ref 11).
Friction Rigid Coulomb friction Radial forging is a cost-effective and material-
Friction 0.05 Residual stress distribution with respect to saving forming process for reducing the cross
Contact stiffness 4.0 106 N mm2 Fig. 22 sections of rods, tubes, and shafts. The advan-
thickness. Source: Ref 12
taining more than 50% martensite was 5 mm; the axial stresses to become negative and remain ments have been made in the search for inten-
total depth of the hard layer was 7.5 mm. Figure compressive until cooling was complete. Figure sively cooling quenchants, such as aqueous so-
4 shows curves (1) of the change in temperature 8 shows calculated residual stresses compared lutions of salts with special admixtures
on the surface of a specimen, (2) at a depth of 5 with experimental data. One can consider that preventing surface corrosion of quenched parts.
mm, and (3) at a depth of 7.5 mm. the results of calculations agree well with ex- Optimal concentrations of aqueous polymer so-
Figure 7 shows circumferential stresses at perimental data. lutions have been found, which exhibit the in-
characteristic points versus time. At the begin- The most important results used for develop- verse solubility. Such solutions provide inten-
ning of cooling, the stresses on the surface were ing the intensive methods of quenching are dis- sive and uniform cooling of parts to be
tensile because of the thermal reduction of the cussed next. It has been stated that with the quenched.
material. From 0.15 s on the surface martensite quench-intensity increase, the residual stresses Circular residual stresses on the surface of cy-
transformation started, and an abrupt extension grow at first, then lower, with further increase in lindrical bodies versus generalized Biot number
of the steel resulted, causing circumferential and Biot number and change over to compression are presented in Fig. 9. Intensive quenching
stresses. Intensive quenching can be reached methods suppose that after quenching on the sur-
through the application of jet cooling, directed
1100 streams of water, and aqueous solutions provid-
2 25% ing high critical heat flux densities. In the afore- 400
0%
1000
mentioned conditions, the boiling film is reduced
to the minimum or eliminated. The basic pro- 200
3 cesses are nucleate boiling and one-phase con-
100%
900 75% vection heat transfer. In this case, it is important 0
50%
to know conditions of the transfer from nucleate
e, MPa
800 boiling to one-phase convection heat transfer. 200
On the basis of this approach, a lot of experi-
400
T, K
700
0%
600
600 1300
10%
0.2 s 0s 800
500 30% 400
50% 1100
70% 1s 200
400
1 90% 900 2s 0
z, MPa
300
101
T, K
1 10 102 103 104 3s

, s 200
700
Fig. 4 Continuous cooling transformation diagram of 400
cooling austenite transformation for steel 45 4s
500 600
400
1200
r, MPa
300 200
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
1000 0.5
Radius of the specimen, R, m 0
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
0.4 Fig. 6 Temperature field at the time of cooling of the R, m
800
specimen
u
Fig. 8 Residual stresses in the specimen. Solid lines re-
600 0.3 late to calculations; dotted lines relate to exper-
u, y, MPa
iment.
T, 106/K
y 400
400 0.2 3
200 400
4
200 2
300
0
Residual stress ( ), MPa
200
, MPa
0 0 200 100
1
0
200 2 400
100
400 600 200

300 500 700 900 1100
300
T, K 800
102 101 1 10 102 103 400
Isochronous curves exhibiting dependencies of , s 0 2.5 5 7.5 10 12.5
Fig. 5
mechanical properties on temperature. Dashed Biot number
lines relate to handbook data; solid lines relate to data used Fig. 7 Circumferential stresses for cooling of the spec-
in experiments. ru, ultimate strength; ry, yield strength; T, imen. 1, on the surface; 2, at 5 mm depth; 3, at Fig. 9 Circular residual stresses versus generalized Biot
coefficient of linear expansion 7.5 mm depth; 4, at the axis number
The Effect of Final Shaping

Prior to Heat Treatment
T. Ericsson, Linkoping University, Sweden
FINAL SHAPING OF PARTS, including energy used in the machining process results in 100 lm. The magnitude depends on the material
operations such as grinding, cutting, milling, temperature increase and plastic deformation. and grinding conditions. In principle it should be
turning, drilling, and processes such as shot Three factors that can cause residual stresses can less than the yield strength of the affected ma-
peening and blasting, involves local plastic de- be distinguished: terial. For AISI 5100, values between 600 MPa
formation. This means that they invariably are (87 ksi) in tension and compression have been
Plastic deformation involving a smearing of
accompanied by residual stress formation. The reported (Ref 9).
residual stress can be compressive or tensile and the material in the plane of the surface tends Milling. In contrast to grinding, there is a
at times even have large shear components. The to give compressive residual stresses. well-defined cutting geometry in milling. Simi-
primary concern regarding residual stresses has Temperature increase that momentarily
lar to grinding, a particular tool is not continu-
been the effect on the mechanical properties causes an expansion, which is constrained by ously in action. Down-cut milling, up-cut mill-
in particular, fatigue, contact fatigue, wear, and the bulk material. The resulting thermal ing, and face-milling are distinguishable (Fig. 4).
stress-corrosion cracking (SCC). However, the stresses may exceed the yield stress at the ac- In all cases the residual stresses are due to the
presence of residual stresses also means the pres- tual temperature and, therefore, the surface balance between the three factors mentioned pre-
ence of elastic deformation, although usually on material will be upset. During the subsequent viously. The mechanical process usually is di-
a very small scale. If this deformation is included cooling, tensile residual stresses are created. vided into chip formation and smearing of the
in the final shape, distortion may result if the If the workpiece is made of hardenable steel,
workpiece surface. Chip formation (i.e., metal
residual stresses are released by, for instance, martensite may form due to the rapid heating separation) tends to give tensile residual stresses
heat treatment. The degree of distortion depends and cooling, causing compressive residual while smearing (i.e., plastic deformation) of the
on the magnitude and geometric extension of the stresses. surface tends to give compressive ones. Most of
residual stresses. A highly stressed but thin sur- the generated heat is stored in the chip and is
The total resulting residual stress depends on
face layer is less disturbing than the presence of removed from the workpiece. Factor 2, the tem-
the balance between these three factors (Fig. 1).
a large zone with smaller residual stresses.
The residual stress is given as a function of
Therefore, it is also important to consider resid-
ual stresses from preceding operations such as grinding power, but it could equally well have
straightening. This article first discusses the been described as machining power. The higher
mechanism for residual stress formation due to the grinding power, the more dominant the ten- +
the most important final shaping operations and sile residual stress contribution rthermal due to
typical examples of residual stress distributions. factor 2 will be. For the highest powers, marten-
This is an area that is fairly well understood and sitic hardening may occur, shifting the residual
for which mathematical models for calculating stress in the compressive direction. therm
the residual stress are becoming available. Next, The residual stress creation during grinding
Residual stress
the effect on shape of relaxing the residual has been modeled mathematically (Ref 4, 7). Im-
stresses, a less-studied topic, is discussed. Only portant parameters are the cutting speed; the 0
for applications with extreme requirements of depth of cut and the feed rate, which results in
cutting forces; the mechanical properties of the res
shape precision has this been done. Examples
based on published work about bearing rings and workpiece; and the heat conductivity of the
turbine blades are presented. Recent experimen- grinding wheel and the workpiece. The impor- mech
tal studies of straightening of bars also are re- tance of the latter is well illustrated when com-
viewed. paring the residual stresses after grinding with
an alumina wheel and cubic boron nitride (CBN)
wheel, respectively. The much better heat con- a b c d
Final Shaping Processes ductivity in the CBN wheel causes less tempera-
Grinding power
ture increase and, hence, more compressive re-
Grinding is a chip-forming machining sidual stresses (Ref 4). Contributions to the residual stress after grinding
Examples of residual stress depth profiles are
Fig. 1
method. Many similarities when it comes to re- as a function of the grinding power. rtherm is the
sidual stress creation exist between grinding, given in Fig. 2 for a 0.45% C steel in two heat thermoelastic part, rmech is the mechanical part, and rres is
the total residual stress. In region a, only elastic deforma-
milling, turning, and planing (Ref 1). The crea- treatment conditions and in Fig. 3 for the steel tion occurs; in region b, thermoplastic deformation; in re-
tion of residual stresses by grinding has been AISI 1055. Typically, the affected depth is rela- gion c, thermoplastic plus thermomechanical deformation;
treated in many studies, (Ref 17). The cutting tively shallow, usually considerably less than and in region d, rehardening occurs. Source: Ref 2
Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 327
Table 6 Tool life of punches in automatic Thermal and Physical Fundamentals tirely dependent on the composition of the steel
forming machine (machine capacity: 175 of Making High-Strength Materials alloys available. As a practical matter, it may be
strokes/min) difficult to obtain steel alloys having a suitable
composition. Accordingly, in practice, the hard-
Durability(a), No. of strokes
In 1967, it was established that a high cooling ening method should be adapted to those steel
Test Existing Intensive Increase in rate within the martensite range results in not
No. technology technology tool life(b)
alloys that are available.
only the creation of high compressive surface Another known steel-quenching method is de-
1 6,460 15,600 2.4
2 6,670 16,500 2.5
stresses, but also the additional strengthening of scribed in Ref 59. This steel-quenching method
3 3,200 5,300 1.65 material (Ref 56). These investigations are dis- involves shell hardening, which results in uni-
4 4,000 12,075 3.0 cussed in more detail in Ref 14, 18, 57, and 58. form quenching of the entire surface to a certain
5 6,620 8,110 1.2 A rapid induction heating and intensive cooling
6 2,890 10,500 3.6
depth until reaching high hardness using inten-
7 2,340 7,300 3.1
of steel parts where the depth of the quenched sive jet cooling. In this method, examples of the
surface layer is controlled, which increases the application of medium carbon 1045 steel are
(a) Number of strokes until a tool wore out. (b) Increase in tool life is service life, is described in (Ref 2). Steel given. One advantage of this method is the op-
due to intensive quenching quenched using this method generally has low portunity to increase the service life of steel parts
depth of hardened layer and fine grain with ar- using standard carbon steels, rather than alloy
rested growth of austenite grains at high tem- steels where the depth of the hardened surface
peratures. Due to limited hardenability, com- layer is controlled by the composition of the
pressive stresses appear on the surface of such steel. As discussed in publications (Ref 60), no
of polymers of optimal concentration exhibiting steel parts and the fine grain provides high consideration in this method is given to the pa-
inverse solubility (Ref 19). During cooling in strength. In addition to providing an increase in rameters necessary to optimize the depth of the
aqueous solutions of polymers exhibiting in- the service life of such heat treated steel parts, hardened surface layer, and the following cor-
verse solubility, a polymer film forms on the sur- there is an opportunity to replace relatively ex- relation that the depth of the hardened surface
face of parts, and thus the duration of the full- pensive high-alloy steels with less expensive layer should be changed for steel parts having
film boiling is reduced to the minimum. The lower-alloy steels and replace fire and environ- different configurations and sizes should be
mechanism of the heat transfer in these condi- mentally dangerous quench oils with water and added:
tions has been studied insufficiently and requires water-based quenching solutions. However, the
the further experimental studies. In still another depth of hardness in steel parts hardened using Dd
application (Fig. 30), the service life of dies this method is controlled by the chemical com- constant (Eq 13)
made of ShKh15 (AISI 52100) bearing steel D
position of the steel parts being hardened.
doubled when the tools were intensively Steel quenching where the depth of the hard-
quenched. where Dd is the optimal hardened depth, and D
ened surface layer is controlled in accordance
Intensive heating and cooling have been is the cross-sectional thickness. This correlation
with this method is made in water jets. The ser-
widely used in practice. Some benefits of this was developed in Ref 60 and is considered to
vice life of such heat treated steel parts where
technology are given in Ref 42 and 45 to 55 and the depth of the hardened surface layer is con- provide a foundation for the quenching appara-
in Table 7. This technique, on the whole, pro- trolled generally increases when compared to oil tus and method for hardening steel parts. In ad-
duces good results at numerical experiments and quenching. However, it is often necessary to se- dition, this method does not have any criteria
design of technological conditions. lect or create an appropriate steel alloy for use allowing the calculation of the optimal cooling
in steel parts having different configurations and solution quench flow, and the technological pro-
sizes to obtain the effect of high surface com- cess is not optimized.
pressive stresses. Another steel-quenching method is described
In addition, with this quenching method no in Ref 61. In this method, alloy steel parts are
criteria exist for calculating the rate of water flow quenched in such a manner that a hard surface
for steel parts having different configurations layer of a given depth and an arbitrarily hard
and/or sizes. Thus, a relatively high water flow matrix are obtained. For given steel grades,
rate is normally chosen for all steel parts that is ranges for hardening regimes are found by ex-
not always justified, results in unnecessary en- perimentation to increase the service life of such
ergy expenses, and makes the industrial process steel parts. One example of this method involves
15 50 more complicated than necessary. While the an alloy steel specimen containing 0.65 to 0.85%
high service life of steel parts where the depth C, 0.23 to 0.32% Si, 0.4 to 0.9% Mn, approxi-
of the hardened surface layer is controlled is con- mately 2% Ni, 0.5 to 1.5% Cr, and 0.1to 0.2%
sidered an advantage for certain steel grades, Mo that is heated to 800 to 850 C and spray
other steel grades can also achieve the effect of quenched with water fed under a 0.4 to 0.6 MPa
increased strength (as compared with steel pressure for 0.2 to 0.8 s. The steel specimen is
quenching methods known before) and high re- then isothermally heated at 150 to 250 C for 10
50
sidual compressive surface stresses if the heat to 50 min. This method considers only high-car-
Fig. 30 Die made out of AISI 52100 steel quenched treating parameters are properly controlled. The bon alloy steels. In this method, the depth of the
intensively heat treating method described previously is en- hard surface layer is not optimal for steel parts
Table 7 Production applications of intensive-quenched limited-hardenability steels

New steel
Applications Former steel and process and process Advantages
Gears, modulus, m 5 to 8 mm 18 KhGT 58 (55PP) No carburizing; steel and part costs decrease; durability increases
Large-modulus gears, m 10 to 14 mm 12 KhN3A ShKh4 No carburizing, durability increases by 2; steel cost decreases by 1.5
Truck leaf springs 60 C2KhG 45C Weight decreases by 1520%; durability increases by 3
Rings and races of bearings thicker than 12 mm ShKh15CG and 20Kh2N4A ShKh4 No sudden brittle fracture in service; durability increases by 2; high production rate
6 1 m h
thickness of the surface layer with residual stress This formula permits calculation of the bending 1 E h2sub 1
r (Eq 1)
and the magnitude of the stresses are then deci- of a strip due to a surface layer with a coating film R
sive. To estimate if any noticeable effect is to be with residual stress. It is in analogy with the Al-
expected, Stoneys formula (Ref 20) can be used. men strips: where r is the stress in the surface layer, E is
the elastic constant, m is the Poisson constant,
hsub is the thickness of the substrate, hfilm is the
thickness of the surface layer, and R is the radius
Face-milling
of curvature of the strip. For the present appli-
Cutting axis Cutting axis
Down-cut milling Up-cut milling perpendicular perpendicular cation, it is of interest to calculate the bending
out d of a strip of length 2l (Fig. 12). It is similar
to the bending of an Almen strip used to measure
the shot-peening intensity. For small d it holds
that:
d 2R 2 (Eq 2)
Residual stress
Inserting Eq 2 into Eq 1:
+ + + +
r
3(1 m) 2
r r d
E
hsub
r hfilm (Eq 3)

r
r
r r
r The important quantity when comparing the ef-
fect of different manufacturing processes, is the
product r hfilm. The stress, r, cannot exceed the
Distance from surface
yield stress of the workpiece material. In prin-
ciple, it should be considered that work harden-
Fig. 4 Characteristic residual stress distributions in steels due to different milling processes. Longitudinal (solid line) ing in the affected layer could increase the stress
and transverse (dashed line) residual stresses are shown. Source: Ref 1 value. It is also obvious that the thickness of the
workpiece has a strong effect because d depends
on the inverse square of the substrate thickness,
400 400 hsub.
SAE1045, normalized SAE1045, normalized According to this analysis, grinding should be
Up-cut milling Down-cut milling the least risky operation to cause distortion and
200 200 straightening, shot peening, and pressure rolling

Longitudinal the most risky, with milling and turning in-be-
Longitudinal tween. Shot peening, however, rarely is followed
0 0 by heat treatment because the beneficial effect
Transverse
against fatigue or SCC may be lost due to resid-
Transverse
ual stress relaxation.
200 200
Some careful studies about distortion due to
prior final shaping are reviewed next.
400 400 Experimental and computational studies of
0 0.02 0.04 0.06 0.08 0 0.02 0.04 0.06 0.08 distortion of some components have been per-
Distance from the surface, mm Distance from the surface, mm formed.
Bearing rings are an example of a product that
Fig. 5 Residual stress distributions in longitudinal and transverse directions after up-cut milling (left) and down-cut
milling (right). Source: Ref 1 is extremely sensitive to distortion and for which
distortion-related costs can be very high. It is the
background to some very careful studies about
the origin of distortions (Ref 2123).
800
Reference 21 points out that one source of dis-
f = 0.18 mm/r f = 0.36 mm/r f = 0.71 mm/r tortion is the presence of uneven residual stresses
that have been generated and stored in the ma-
Residual stress, N/mm2
terial during the manufacturing route. Although

400 the rings are perfectly round after turning or cold
rolling, they will become distorted during heat-
ing to the austenitizing temperature due to the
r r
r release of the residual stresses. This is exempli-
0 fied in Fig. 13, which shows the residual stress
variation around a ring made of SAE 52100 and

the yield stress at different temperatures. At
r r
r room temperature no plastic deformation due to
400
0 0.1 0.2 0.3 0 0.1 0.2 0.3 0 0.1 0.2 0.3 the residual stresses is expected, but at 600 C
(1112 F) it will occur at certain positions, caus-
Distance from the surface, mm
ing out-of-roundness.
Residual stresses in the parallel (solid line) and transverse (dashed line) directions caused by turning of SAE In another example, rings were manufactured
Fig. 6 from cold-rolled, straightened, and peeled tubes.
1045 for different cutting feeds. The cutting speed is 90 m/s and no cooling. Source: Ref 1
The Effect of Final Shaping Prior to Heat Treatment / 153
The cut-off rings were distorted and the mea- locations spaced 120 apart. Figure 15 shows measured residual stress, a clear correlation is
surement of ovality of a series of parted-off rings depth profiles of residual stresses in the best case found (Fig. 16). It is also pointed out by the au-
showed that the ovality followed the helix move- and the worst case. It is evident that the residual thors that there is a clear difference between
ment of the manufacturing operation of the tube stress is much smaller in the best case, and that cold-rolled and hot-rolled tubes, probably due to
(Fig. 14). In a further study, seven tube-manu- the deviation in residual stress between the three the different hardnesses, which could be re-
facturing routes were investigated regarding locations in the worst case is considerable. The garded as the potential for storing uneven resid-
their ovality of rings after soft annealing and af- depth of residual-stressed layer is around 400 lm ual stress.
ter hardening. Residual stresses were measured in this case. When the standard deviation of oval- In a further study, an attempt was made to
at the outer surface of each ring at three different ity after hardening is plotted versus the range of discriminate between the influence of the manu-
0
1000
200
800
Residual stress N/mm2

Radial
400
600 Tangential
400 600
200 800
-
0 1000 Shot diameter d = 0.3 mm Shot velocity = 53 m/s
-
Shot diameter d = 0.6 mm Coverage = 100%
200 1200
0 0.1 0.2 0.3 0.4 0.5
400
400
600
200
800 0
Residual stress N/mm2

1000 200
0 20 40 60 80 100 120 140 160
Distance from the surface, m 400
Fig. 7 Residual stresses in the radial (transverse) and tangential (longitudinal) directions caused by face grooving of IN 600
718. The cutting speed is 1200 m/s and the feed, 0.5 mm/revolution. Source: Ref 10
800
Hertzian pressure as a consequence Stretching of a surface layer as 1000 Unpeened

Coverage = 100%
Shot velocity = 23 m/s
of the vertical forces connected with a consequence of surface hammering Shot diameter d = 0.6 mm
Shot velocity = 81 m/s
the impact of shot balls 1200
a a 0 0.1 0.2 0.3 0.4 0.5
po Distance from surface, mm
Elastic Influence of shot-peening parameters on residual

deformation
Fig. 9
stress distributions. (a) Shot diam 0.3 mm and 0.6
of surface Plastically mm. (b) Shot velocity 23 m/s and 81 m/s. Source: Ref 16
y extended
H layer
y
0.47 a 200
z pl
Tangential
Residual stress, N/mm
400
z z
Residual stress Residual stress Axial
0 0 600
37CrS4
800
0 0.2 0.4 0.6 0.8 1.0
z z
Effect is possible with a Effect is marked with a hard Residual stress distributions in tangential (roll-
soft shot and a hard workpiece shot and a hard workpiece
Fig. 10
ing direction) and axial directions in a pres-
sure-rolled round bar with 20.7 mm diam made of SAE
Fig. 8 Schematic illustration of the formation of residual stresses as a consequence of two different processes in shot 5132 (37CrS4) steel. The x-axis shows the distance from
peening: Hertzian pressure and direct stretching of the surface. Source: Ref 16 the surface in mm. Source: Ref 9
facturing route and the heat treatment. An inter-

mediate normalizing treatment was carried out,
and the rings were measured after soft annealing,
normalizing, and hardening. Figure 17 shows the
shares of the out-of-roundness as influenced by
the different steps. For both, the average and the
maximum out-of-roundness the share for the
hardening process itself is relatively small. The
authors comment that normalizing or tempering
just below Acm gives a good possibility to dem-
onstrate the effect of residual stresses present in
the components before hardening. It should also
be pointed out that the out-of-roundness mea-
sured after soft annealing probably is not due to
machining residual stresses, but to straightening
or cold rolling before the actual machining,
which can introduce much deeper residual stress
layers. Part of these stresses were mechanically
released when material was removed. This part
is further analyzed in the following section. Fig. 13 Influence of the temperature on the yield strength on the occurrence of plastic deformations during heating
of rings from hot-rolled tubes of SAE 52100, soft annealed condition. Source: Ref 21
Modeling and Measurement of the Effect of
Bending. The effect of the residual stresses gen-
erated during plastic deformation of tubes before
machining and heat treatment to bearing rings Reference line
250 rings measured in total
10
8
6
4
DH 2
H 9
Compression 7
5
Tension 3
1 10
9
B A 8
C 7
6
5
4
Ss Sy Ring No.
3
2
Fig. 11 The principal stress distribution in a rectangu- 1
lar bar during loading to plastic yielding to the
depth, DH (curve A); the elastic recovery (curve B); and the Changes in the orientation of the maximum ovality in relation to a reference line of rings parted-off from a
resulting residual stress (curve C)
Fig. 14
cold-rolled tube of SAE 52100. Source: Ref 21
300 300
2l
Best case Worst case
200 200
240
100 100
d 0
hfilm
120 120
hsub
0 0
240
0
100 100
R
200 200
0 200 400 0 200 400
Distance from surface, m Distance from surface, m
Fig. 12 The bending of a strip due to a thin surface Fig. 15 Tangential residual stress distributions under the surface in soft machined rings from different manufacturing
layer with the residual stress r routes. Source: Ref 21
has been studied by computer modeling and ex- removing all the material not belonging to the 0.4, and 0.6 in.) from the midpoint of the bent
periments (Ref 23). The heat treatment was soft ring. In the simulation of the soft annealing, no tube. As expected, the section nearest the center
annealing because it was undesirable to add phase transformations needed to be included. has the largest out-of-roundness. In Fig. 19 the
quenching stresses. All experiments and simu- Most of the plastic deformation during heat treat- measured out-of-roundness distortion expressed
lations were performed for the bearing steel SAE ment takes place at high temperature, and a creep as the peak-to-valley radius variation is com-
52100. Three-point bending was performed on model was used to describe this deformation. pared for five rings with the calculated distor-
490 mm (19 in.) long tubes with 81 mm (3.2 in.) The simulation of the turning occurs in four tion. The agreement is good. It should also be
outer and 65 mm (2.5 in.) inner diameter. The steps. First, a short section is cut from the tube pointed out that the distortion of a ring made
tubes were placed on two fixed supports of 1300 and distortion is calculated from the elastic from an undeformed tube was very small. Two
mm (51 in.) radius and bent with a punch of the spring back. Next, the inside is turned, and it is conclusions can be drawn from these results.
same radius. Rings of 77 mm (3 in.) outer and assumed to produce a circular shape that is later First, substantial out-of-roundness can be gen-
66 mm (2.6 in.) inner diameter and 15 mm (0.6 distorted when the elastic stresses are equili- erated from the internal stresses. Second, the dis-
in.) height were produced by turning. The rings brated. After that the outside is turned and the tortion caused by the soft annealing is relatively
were soft annealed under controlled heating to springback is limited. Finally, the ring is cut small compared with the distortion due to the
820 C (1508 F) and slowly cooled. The total from the tube. This step releases substantial con- mechanical release of residual stresses. Although
cycle time was 20 h. straints from the ring and the shape becomes this study treats bending of a straight tube, the
The computer simulation was carried out us- strongly distorted. During the turning, one end general conclusions are valid for straightening of
ing the finite element modeling (FEM) code of the ring is constrained, simulating chucking. a bent tube.
ABAQUS in combination with a heat treatment There, the calculated distortion is smaller than at An effect of the condition of the heat treat-
simulation code DistSIMR. To model the bend- the other end. In the course of the subsequent ment equipment was also noticed in the first
ing, an elastic-plastic model with isotropic hard- soft annealing, the remaining residual stresses study about bearing rings cited previously (Ref
ening and von Mises flow criterion was used. are relieved and some additional out-of-round- 21). A furnace characterized as the best in
The material removal was divided into four ness distortion occurs. class gave only about half the ovality as a stan-
steps. First was the cutting of a tube section to In Fig. 18 calculated distortions are shown for dard furnace. Important factors are uneven heat-
be turned; the second and third steps were the the outer ring profile at three positions after turning and/or poor support. Preheating rings prior
turning of the inside and outside of the tube, re- ing from bent tube and after soft annealing. The to the introduction into the austenitizing furnace
spectively; and the fourth, cutting of the ring by positions correspond to 5, 10, and 16 mm (0.2, has been reported to be beneficial if considerable
70
Cold rolled
Standard deviation ovality (after hardening), m
peeled, straightened
Calculated outer profile at top Calculated outer profile at center Calculated outer profile at bottom
Cold rolled, ground
SAE 52100
60 Cold rolled, After turning 50 m After turning 50 m After turning 50 m
straightened
Cold rolled
After turning and After turning and After turning and
peeled
50 soft annealing soft annealing soft annealing
Cold rolled,
as-rolled
40 Hot rolled,
peeled
Hot rolled,
as-rolled
30 Calculated accumulated distortion of the outer ring profile at three positions. The distortion is given after
50 100 150 200 Fig. 18
turning from bent tube and after soft annealing. Source: Ref 23
Range of measured residual stress, MPa
Fig. 16 Correlations between the residual stress ranges

in tubes and the standard deviation of the oval-
ity of rings after hardening. Source: Ref 21 SAE 52100, rings turned from bent tube SAE 52100, rings turned from bent tube
Outer radius, peak/valley Inner radius, peak/valley
200 200
Average Maximum
Out-of-roundness, m
Out-of-roundness, m
(total: 50 m) (total: 126 m)

150 Simulation 150 Simulation
Stress relaxation Stress relaxation
during normalizing during normalizing
40.0% 26.0%
Soft 100 100
machining
46.0%
50 50
Soft
Experiment Experiment Experiment Experiment
machining
47.0% 0 0
Hardening Hardening Before soft After soft Before soft After soft
14.0% 27.0% annealing annealing annealing annealing
Fig. 17 Origin of the out-of-roundness of rings after Fig. 19 Measured and calculated peak and valley out-of-roundness distortion of bearing rings made from tubes de-
hardening of rings from cold-rolled tubes in formed in three-point bending. The distortion is given after turning and after soft annealing. a) Outer radius.
SAE 52100. Source: Ref 21 b) Inner radius. Source: Ref 23
Table 1 Residual stresses and residual stress differences in cross sections of bars 80 80 residual stress values are in the range 30 to 80
mm of SAE 4142 MPa (4 to 12 ksi) and the variations 30 to 130
MPa (4 to 19 ksi). The measurement uncertainty
Ballring cooling bed Trailer table
was less than 30 MPa (4 ksi). The variations are
Residual stress, Maximum difference, Residual stress, Maximum difference,
Treatment MPa (ksi) MPa (ksi) MPa (ksi) MPa (ksi)
bigger after the straightening. The report does
Hot rolled 45 (6.5) 28 (4) 49 (7.1) 43 (6.2)
not tell exactly where the measurement points
Hot rolled roll straight 32 (4.6) 50 (7.3) 41 (5.9) 81 (11.7) are situated, but they are probably a few milli-
Hot rolled press straight 68 (9.9) 102 (14.8) 84 (12.2) 123 (17.8) meters from an edge. The yield stress was not
given, but it is normally about 400 MPa (58 ksi)
Cooling after hot rolling has been carried out on a ballring bed or a trailer table and subsequent straightening in a press or parallel roll machine. in the as-hot-rolled condition.
Accuracy of measurements, 30 MPa.
Source: Ref 26 In a large collaborative research project car-
ried out by the Swedish steel industry (Ref 27),
measurements of straightness, distortion, and
FEM of straightening have been carried out for
residual stresses exist in the machined parts to components may be required to operate at high different steels and equipment.
be heat treated (Ref 24). The preheat not only temperature. In a recent work (Ref 25) on shot- In one series of studies the residual stresses in
allows the relaxation of residual stresses without peened turbine blades made of Inconel 718, the flat bars before and after parallel roll straight-
gross plastic deformation but also minimizes potential magnitude of mechanical distortion, ening were measured on the top and bottom sur-
thermal shocking as the parts are subsequently which could result from thermal stress relaxation faces along the bar. The Barkhausen noise tech-
loaded into the high-temperature furnace. of compressive layers induced by shot peening, nique was applied using Stress Scan 500
Shot Peening of Gas Turbine Components. is calculated using FEM. It is stated that any equipment. The measurements only give approx-
Shot peening normally is not a process that is shot-peened thin section component could be imate stress values, the higher the value, the
followed by heat treatment, but shot-peened subject to distortion, and that the worst is ex- higher the residual stress in the tensile direction
pected when the section thickness is of the order will be. An example is shown in Fig. 20 for rec-
of the depth of the compressive layer induced by tangular bars 215 22 5000 mm (8.5 0.9
shot peening. Uneven relaxation such as full re- 197 in.) made of a tool steel UHB Chipper.
140
laxation on only one side of a blade is extra dam- The residual stress varies along the length of the
120 aging. This can arise if there are large tempera-
Magnetoelastisk parameter
bar, being mainly compressive on the top and

ture differences between the two sides. Two bottom surfaces before straightening, and tensile
100 cases were modeled: uniform relaxation from on the top surface after straightening. At the two
80 both sides of the blade, and relaxation on the ends of the bar the residual stress does not
concave side only. As expected, the latter case change so much due to straightening and is
60 created the maximum distortion. Based on ex- slightly compressive. Not shown here is that the
periments it was concluded that thermal relaxa- residual stress varied across the width of the bar.
40
Over before tion progresses in two stages: a primary, very In a further study on rectangular bars 63 4.7
Over after
20 Under before
rapid stage, and a secondary, more gradual stage. 400 mm (2.5 0.19 15.7 in.) made of the
Under after The rate and amount of relaxation are directly
0 same steel, the bars were carefully ground in
1 2 3 4 5 correlated with the degree of cold work caused
steps from one side and the bow measured after
by the shot peening. A high degree of cold work
Left end Center Right end each step. A conclusion was that most of the bow
gave a more rapid and complete relaxation of the
Position along the length of the flat bar was due to operations before straightening.
residual stress.
For round bars with 81 mm (3.2 in.) diameter
The Barkhausen noise parameter measured be-
Straightening. Few reports about measure-
Fig. 20 ments of residual stresses due to straightening made of the high-speed steel SS44 the out-of-
fore (open symbols) and after (filled symbols)
parallel roll straightening of flat bars, 215 22 5000 exist in the literature. Such measurement should roundness of rings with different diameters
mm, of the tool steel UHB Chipper. Measurement points not only give the residual stress values on the turned and cut-off from the bar was measured
are equally spaced over the length of the bar. Circles from
surface but should include depth profiles to be (Fig. 21). The bars to be turned were 70 mm (2.8
the top surface and the squares from the bottom surface. in.) long and cut from long straightened bars.
Source: Ref 27 really meaningful.
Residual stresses have been measured (Ref These bars had been rotary straightened in a
26) before and after straightening of 6 m (20 ft) crossed-axis-roll machine. The figure presents
long bars with a quadratic cross section, 80 data for several bars with large and small out-of-
80 mm (3 3 in.) and 110 110 mm (4 4 roundness before straightening. It is obvious that
0.5
the cut-out rings with the largest diameter had
Out-of-roundness, mm
Ring thickness 2 mm
in.). Examples of the results are shown in Table
0.4 1 for the steel SAE 4142 (42CrMo4). After hot the largest out-of-roundness. This indicates that
1 the residual stresses have been largest near the
2
rolling, bars were cooled on two types of cooling
0.3 bedsballring bed and trailer table, respec- surface of the bars. The change in average di-
3
tively. The former gave out-of-straightness be- ameter (not shown here) was quite small, around
0.2
tween 20 and 30 mm (0.8 and 1.2 in.) and the 0.1 mm (0.004 in.), indicating that the out-of-
0.1 latter, between 40 and 60 mm (1.6 and 2.4 in.). roundness was due primarily to unsymmetric re-
The bars were either press or roll straightened. sidual stresses in the hoop direction created dur-
0 The residual stress was measured by x-ray dif- ing straightening.
1: radius 2: radius 3: radius The distortions so measured on the rectangu-
fraction in five points in cross sections, near the
40 mm 34 mm 28 mm
corners and in the center of the cross sections. lar and the round bars after machining (grinding
Fig. 21 Distortion of cut-out rings of the high-speed In Table 1, typical residual stress values are and turning, respectively) should be better un-
steel SS44 after crossed-axis-roll straightened shown together with the total variation between derstood. This is important for being able to min-
round bars with 81 mm diam. The filled and open symbols imize them in order to increase the custom sat-
are for bars that showed little and large ovality, respec-
residual stress values in a cross section. Notice
tively, before straightening. The thickness of the rings is 2 that these stresses are not in the longitudinal di- isfaction of delivered bars. A step was taken in
mm. Source: Ref 27 rection but in the plane of the cross section. The this direction by carrying out an FEM simulation
100 Surface Integrity in Cylindrical Grinding of

39NiCrMo3 Steel, Sixth International Con-
80 ference on Residual Stresses, ICRS-6, IOM
60 Communications, London, 2000, p 217
224
40 8. D.F. McCormack, W.B. Rowe, X. Chen, A.
20 Bouzina, M.E. Fitzpatrick, and L. Edwards,
Height, mm
Characterising the Onset of Tensile Resid-

0 ual Stresses in Ground Components, Sixth
20
International Conference on Residual
Stresses, ICRS-6, IOM Communications,
40 London, 2000, p 225232
0.004 0.012 0.02
60
9. B. Scholtes, Residual Stresses in Mechani-
cally Surface Deformed Materials, DGM
80 Informationsgesellschaft Verlag, Oberursel,
100 Germany, 1991 (in German)
200 0 200 400 600 800 1000 1200 10. C. Schlauer, Ongoing Ph.D. thesis work,
Axial position, mm Department of Mechanical Engineering,
Linkoping University, Sweden, 2001
Fig. 22 The calculated plastic deformation in the depth of flat bars with thickness 30 mm and length 2500 mm. The
legend shows the effective plastic strain. Source: Ref 27 11. L. Olovsson, L. Nilsson, and K. Simonsson,
An ALE Formulation for the Solution of
Two-Dimensional Metal Cutting Problems,
Comput. Struct., Vol 72, 1999, p 497
of parallel-roll straightening using DYNA2D. functions at elevated temperature. The same 507
The model includes four upper and four lower should hold for a subsequent heat treatment. 12. D. Deslaeff, Numerical Modelling of Shot
rolls and comprises 2501 elements and 1600 Peening: A Three-Dimensional and Dy-
nodes. The flat bar has the dimension 30 2500 namic Approach, Ph.D. thesis, Universite
mm (1.2 98 in.). The width is not considered REFERENCES de Technologie de Troyes, 2000 (in French)
in the two-dimensional model. Figure 22 illus-
13. S.A. Mcguid, G. Shagal, and J.C. Stranart,
trates how the plastic deformation grows during
the straightening and reaches 2% effective strain Finite Element Modeling of Shot Peening
1. B. Scholtes, Residual Stresses Introduced Residual Stresses, J. Mater. Process. Tech-
at the surface and 0.4% in the center after passing by Machining, Advances in Surface Treat-
the last rolls. The residual stresses (not shown nol., Vol 9293, 1999, p 401404
ments, Vol 4, A. Niku-Lari, Ed., Pergamon
here) can also be calculated. The deep plasticized 14. K.I. Mori and K. Osada, Application of Dy-
Press, Oxford, U.K., 1987, p 5971
zone indicates that the residual stresses can ex- namic Viscoplastic Finite Element Method
2. E. Brinksmeier, Process Near Control of the
tend deep into the material. A main conclusion Residual Stress State of Ground Workpieces to Shot Peening Process, Trans. NAMRI/
is that straightening can be simulated and the with Magnetic Methods, Residual Stresses, SME, Vol XXII, 1994, p 2934
effect of material operation parameters studied. V. Hauk, H. P. Hougardy, E. Macherauch, 15. K. Schiffner and C. Droste gen Helling,
and H.-D. Tietz, Ed., DGM Informations- Simulation of Residual Stresses by Shot
gesellschaft Verlag, Oberursel, Germany, Peening, Computers and Structures, Vol 72,
Conclusions 1993, p 863872 1999, p 329340
3. J. Grum and P. Zerovnik, Residual Stresses 16. H. Wohlfahrt, Shot Peening and Residual
A survey has been presented about the gen- in Steels after Different Heat Treatments Stresses, Residual Stress and Stress Relax-
eration of residual stresses due to machining and Grinding, Fifth International Confer- ation, Plenum Press, New York, 1982
such as grinding, milling, and turning, and sur- ence of Residual Stresses, Linkoping Uni- 17. Straightening of Bars, Shapes, and Long
face deformation processes such as shot peening, versity, Linkoping, 1997, p 250255 Parts, Forming and Forging, Vol 14, Metals
pressure rolling, and straightening. The text il- 4. E. Brinksmeier, A Model for the Develop- Handbook, 9th ed., American Society for
lustrates by typical examples of residual stress ment of Residual Stresses in Grinding, Ad- Metals, 1988, p 680689
profiles. The so-called Stoneys formula is used vances in Surface Treatments, Vol 5, A. 18. Straightening of Tubing, rev. by P. Delori,
to show that due to the thin affected layers after Niku-Lari, Ed., Pergamon Press, Oxford, Forming and Forging, Vol 14, Metals
machining only small distortions are expected U.K., 1987, p 173189 Handbook, 9th ed., American Society for
after relieving the residual stresses when a ma- 5. R. Herzog, A. Sollich, and H. Wohlfahrt, Metals, 1988, p 690693
chined component has a dimension (thickness) Residual Stresses of Heat Treated Steels 19. G. Horn, Modern Section Straightening
much larger than a few hundred microns. Shot with Different Hardness after Grinding with
Technology, Proceedings of Straightening
peening and, in particular, straightening should Cubic Boron Nitride (CBN), International
of Long Products, 6 Nov 1991
give more distortion when relieving the residual Conference on Residual Stresses, ICRS-2,
stresses due to larger affected depths. These con- G. Beck, S. Denis, and A. Simon, Ed., El- 20. G.G. Stoney, The Tension of Metallic Films
clusions are supported by careful studies on sevier Applied Science, London, 1989, p Deposited by Electrolysis, Proc. R. Soc.,
manufacturing of bearing rings and straightening 740746 Vol A82, 1909, p 172175
of bars. It is also pointed out that preceeding heat 6. A. Sollich and H. Wohlfahrt, Residual 21. J. Volkmuth, U. Sjoblom, J. Slycke, and A.
treatments and straightening operations could Stresses in Quenched and Tempered Steels Thuvander, Effect of Uneven Residual
give much more substantial distortions due to the after CBN-Grinding with and without Pres- Stresses on Dimensional Changes and Var-
presence of deep and irregular residual stress tress, Advances in Surface Treatments, Vol iations of Through Hardening Bearing Steel
fields. A modeling study of stress relaxation of 5, A. Niku-Lari, Ed., Pergamon Press, Ox- Rings, Proc. 20th ASM Heat Treating So-
shot-peened material demonstrates that severe ford, U.K., 1987, p 919926 ciety Conference, 912 Oct 2000, ASM In-
distortions can occur when a relatively thin part 7. P. Belardi, E. Capello, and Q. Semeraro, ternational, 2001
22. J. Volkmuth, F. Hengerer, and Th. Lund, ling Distortion in Large Bearing Rings Society Conf., ASM International, 1997, p
Influence of Casting Process and Casting Some Practical Aspects, Proc. 2nd Int. 312
Cross Section on the Out-of Roundness, Conf. on Quenching and the Control of Dis- 26. E. Doege and F. Weber, The Effect of Pro-
Harterei-Technische Mitteilungen, Vol 6, tortion, G.E. Totten, M.A.H. Howes, S. duction Conditions on Residual Stresses in
1995, p 352358 (in German) Sjostrom, and K. Funatani, Ed., ASM Inter- Bars, Stahl und Eisen, Dusseldorf, Ger-
23. A. Thuvander, Out-of-Roundness Distor- national, 1996, p 143147 many, Vol 111, 1991, p 85 88 (in German)
tion of Bearing Rings due to Internal 25. P.S. Prevey, D.J. Hornbach, and P.W. Ma- 27. J. Bergstrom, The Effect of Straightening on
Stresses from Tube Bending, Submitted to son, Residual Stress Relaxation and Distor- Material Properties, Jernkontorets forskn-
Mater. Sci. Technol., 2000 tion in Surface Enhanced Gas Turbine En- ing, TO 4037, Jernkontoret, Stockholm,
24. H.W. Walton, Understanding and Control- gine Components, Proc. 17th Heat Treating 1996 (in Swedish)
Thus, the microstrain U 23 becomes: fect of the diffraction lines, caused by the si- multiple tempering, have always caused a more
multaneous existence of both compression and significant decrease with 18 to 23% of the stress
4p2 2kk2 tension in either the crystalline lattice or in mo- state, as compared to the D variants.
U 23 (Eq 17) saic blocks.
3a2 sin2h Since the stress-temperature dependence
As mentioned in the section Evaluation of shown in Fig. 11 is linear, the crystalline lattice
where M and M from Eq 16 are thermal coef- Residual Stresses after Cryogenic Cooling, the of the cryogenically treated steel undergoes elas-
ficients previously determined by means of the temperature drop within the cryogenic range is tic relaxation with the decrease in cooling tem-
evaluation of Debye temperature. expected to reduce the residual stresses. This ef- perature. In fact, it appears that the actual values
A cryogenically cooled steel would certainly fect has been emphasized in the research per- of the second-order residual stresses are a little
contain third- and second-order residual stresses, formed on high-speed steel SEW 320 S 3.3.2 higher at 77 K than at the ambient temperature
and first-order stresses might also exist. In this (Fe-3Mo-2V-0.98C, wt%) (Ref 18), heat treated (where the measurements have been performed
case, for the evaluation of third-order residual according to the variants A to G shown in Fig. because in situ measurements were impossible)
stresses, a rather large number of diffraction 2. Figure 11 shows the variation of second-order because during the heating back up to the am-
lines will be chosen, corresponding to the values residual stresses as a function of the cooling tem- bient temperature the martensite amount slightly
of the sin2 h/k2 parameter that are less than 0.36 perature in the case of S 3.3.2 high-speed steel. increases, as shown in Fig. 7.
A 2 in such a way that second-order residual It is obvious that second-order residual stresses
stresses are neglected. decrease from about 300 to almost 100 MPa,
while the temperature drops deeper within the Influence of Cryogenic Cooling on the
cryogenic field. Therefore, cryogenic cooling re- Dimensional Stability of Steels
Influence of Cryogenic Cooling on duces these residual stresses to less than one-half
Residual Stresses and Dimensional of their initial value. In fact, cryogenic cooling
has the same effect on the level of residual The achievement and use of both high-preci-
Stability of Steels sion mechanical equipment and tools for mea-
stresses as does tempering when applied after
classical quenching. suring and verifying require obtaining parts and
As emphasized in the previous section of this The number of tempering treatments signifi- tools with geometries that have extremely ac-
article, heat and/or mechanical treatments cause cantly reduces the magnitude of residual stresses curate tolerance and that must be preserved un-
anomalies within the fine structure of metallic (compare, for instance, the variant B to the var- changed in time. Therefore, both parts and tools
materials that are diffractometrically noticeable iants E or A), and if the effect of cryogenic cool- require dimensional and shape stability; that is,
by both an enlargement and a displacement of ing is also added, then the steel is almost com- their structure must be as stable and as stress
the maxima of the diffraction lines. These pletely stress relieved. The final stress value of relieved as possible.
anomalies, which are directly correlated with 100 MPa is close to the usual value of the elastic The most common heat treatment applied to
the substructure elements, are usually located ei- stresses within the equilibrium crystalline lattice. the majority of parts and tools consists of
ther on the crystallite level or within the slip The experimental values of the residual quenching and one or several subsequent tem-
planes that occur in the crystallite structure. stresses, evaluated in the steel that has been cry- pering treatments. The resulting structures con-
However, not all of the substructure elements are ogenically cooled at 153 and 77 K, are not sig- tain tempered martensite and, according to the
pragmatically interesting from both technical
nificantly different; therefore a cooling per- tempering conditions, a lower or higher amount
and scientific points of view. In practice, mostly
formed at a temperature close to the industrial of retained austenite. However, both these
the density of dislocations, the size of the mosaic
heat treatment temperature (203 K) appears to be phases are metastable and, when held within a
groups, and the second-order strains (stresses)
sufficient. Thus, after a treatment performed at thermal range close to ambient temperature, they
are of particular interest.
203 K the stress decreased from 1.33 (in the slowly evolve toward more stable conditions.
case of variant D1) to 1.62 (variant G1). These This natural evolution is accompanied by con-
Influence of Cryogenic Cooling on the decreases range from 1.40 (variant D2) to traction and expansions that are the main causes
Residual Stresses 1.82 (variant G2) after a cooling performed at of dimensional and shape variations.
153 K and from 2.03 (variant D3) to 2.47 Cryogenic cooling affects dimensional stabil-
The quantitative evaluation of second-order (variant G3) after cooling to 77 K. It is obvious ity by acting on those deformation sources that
residual stresses is based on the enlargement ef- that the heat treatment G variants, due to their have the largest contribution on the dimensional
variations, namely the continuation of the trans-
formation of the retained austenite to martensite.
When compared with classical quenching, per-
formed to ambient temperature, cryogenic cool-
ing has more effect on the steels with larger
350 amounts of carbon or alloying elements. Within
A the negative temperature range that represents
Second-order stress, MPa
E C1 only 17 to 18 of the total temperature drop during

250 ordinary quenching, just a small amount of aus-
C2
F1 tenite transforms to martensite. The largest
C3
B D1 F2 amount of martensite was formed after ordinary
150 D2 F3 quenching.
G1 After extensive research, G. Murry (Ref 21)
G2 D3
introduced several heat treatment schemes in or-
G3 der to ensure a fair dimensional stability, ac-
50
313 273 233 193 153 113 73 cording to two steel categories.
Steels for which Retained Austenite De-
Temperature, K
composes at 473 to 673 K. In this case, the
Dynamics of second-order residual stresses as a function of the cooling temperature, for the heat treatment retained austenite can be reduced by cryogenic
Fig. 11 cooling, by tempering at 523 K, or by a combi-
experimental variants from Fig. 2 applied to SEW 320 S 3.3.2 steel. Source: Ref 20
Inducing Compressive Stresses through

Controlled Shot Peening
J. Kritzler and W. Wubbenhorst, Metal Improvement Company, Inc., Germany
WITH MOST VEHICLESwhether for land proving fatigue strength, shot peening is also scribed for the first time (Ref 25). In 1949, a
or air transportthe level of stress increases used: report appeared on stress peening (Ref 26) in
during the production cycle. The increased start- which leaf springs were peened under prestress
In cases of corrosive fatigue, stress corrosion,
ing weights of planes, the higher load on the ax- to achieve a particularly high level of fatigue
les of trucks, and the mounting of stronger and hydrogen embrittlement, friction corrosion, strength. The Society for Automotive Engineers
heavier engines in cars can be named as exam- and wear by cavitation (SAE) published its Manual on Shot Peening in
ples. In other cases, extreme forms of reduced In surface texturing
1952 (Ref 27). During the years 1951 to 1954,
weight construction must be attempted, for ex- To close off porosity
there were two conferences in the Soviet Union
ample, in aircraft construction or when unex- To test adherence of layers as well as peen
in which broad attention was dedicated to shot
pected damage occurs during trials. If the in- forming peening (Ref 2838).
creased stress, as in the case of most Since 1954 (Ref 39) peen forming has been
components, is oscillating, the fatigue resistance used for the manufacture of complex curved sur-
must be increased. This is possibleapart from Historic Development of Shot faces. The first norm, the MIL specification
the trivial solution of increasing cross sections Peening MIL-S-13165 (Ref 40), came into existence in
with their disadvantage of increasing weight 1956 and still applies today in a developed form
by measures relating to the materials, to the con- (Ref 41, 42). Soon after, practically all aircraft
Sandblasting as an example for cleaning cast-
struction, or to the manufacturing process. (Ref 4348) and automobile companies, and so
ings can be regarded as a predecessor of shot
The use of a so-called better material does forth, joined with their own regulations and
less than generally expected, especially if one peening. Literature on this dates from the 1800s
(Ref 1, 2). Shot peening was introduced by Zim- norms. The norms named in the references rep-
considers that increases of the tensile strength of resent merely a selection of the total available
the material is subject to strict limits due to merli (Ref 3, 4) and Almen (Ref 59) in their
respective companies Associated Spring Com- (Ref 4958).
manufacturing as well as cost considerations.
pany and General Motors prior to 1930. In 1934, A general industrial application of shot peen-
An improvement of the construction in detail
patents were granted for the shot peening ma- ing in the Federal Republic of Germany can be
is in many cases the most elegant solution; how-
chines (Ref 10), and during the years 1935 to recorded from approximately 1955, and in this
ever, especially in mass production such as car
manufacture or high-cost light engineering, for 1945 Almen carried out the fundamental work context especially the automobile industry
example, aircraft construction, such possibilities (Ref 1114), for example, development of the should be named in which all springs (valve and
are often already exhausted. Notches, and sharp Almen strip. suspension) are peened since this time. A report
notches at that, are frequently needed for func- Shot peening was also investigated in Ger- by W. Schutz (Ref 59), stemming from the same
tional reasons if one considers the threading of many prior to World War II at the Technical Uni- period, reports about shot peening for improving
bolts or the radii of slots for fittings keys. versities of Darmstadt and Braunschweig (Ref the vibratory fatigue properties of components
In such cases and lately in increasing volumes, 1518). Opel used shot peened valve springs for tracked and road vehicles. The same author
shot peening is used (Fig. 1). Apart from im- from 1935. In about 1940 it was clear that shot later covered the special requirements of drive
peening increases the fatigue strength primarily technology (Ref 60).
by improved residual compressive stress and not
by increasing the hardness of the material sur-
face. Elementary Shot Peening Processes
World War II precipitated the industrial ap-
plication on a large scale in the United States The elementary procedure in shot peening is
(Ref 1921). An American Society for Metals an elastic-plastic impact process between the
conference about peening was held in 1944 (Ref peening material and the workpiece. In this pro-
22, 23). One gets the impression that in contrast, cess, a transformation of the kinetic energy to
the industrial application in Germany was lag- work aimed at the elastic and plastic deformation
ging behind. All the same, a report (Ref 24) ap- of the work material depending on the mass of
peared about the optimizing peening depending the peening material and the shot velocity takes
on the type of machine, impact time, and shot place. The residual compressive stresses in the
size. wake of shot peening are a result of the locally
Shot peening process. Courtesy of Metal Im- In 1946, the measurement of the residual com- occurring plastic deformation on the surface of
Fig. 1 pressive stress of peened torsion springs was de- the workpiece and are caused by the impact of
provement Company, Inc.
in oil. The shrinkage of the 4 mm (0.16 in.)

slot was 0.145 mm (0.006 in.).
The cylinder and screw with ringlike slot
shrank in the longitudinal direction, as shown
in Table 5. 35 2
For components with a deep slot in the end
side, quenching distortion of the slot is influ- 48
enced by the quenching direction. As shown
in Fig. 13, with the slot downward, width b
increases after quenching (Fig. 13a); with the
slot upward, width b decreases (Fig. 13b). In
the latter cases, embedding a steel block with
the width of b, the distortion is effectively
controlled (Fig. 13c).
4
25
Influence of Shape on the
Fig. 2 Distortion of an eccentric cylinder bushing
Distortion of Hollow Cylinders
Cylinder with Even Wall Thickness. The
distortions of symmetric hollow cylinders with
uniform wall thickness caused by thermal stress Table 1 Distortion of 1045 steel eccentric cylinder bushing
and transformational stress are shown in Fig.
5(d). The actual distortion of the component is Quenching technology Hardness after quench, HRC External radius, 48 Internal radius, 36
the combined action of those two inner stresses. 800 C (1470 F); quenching in water 49 to 53 0.15 to 0.25 0.30 to 0.40
Example 1 is a long jacket made of 1045 steel. for 1.5 s; quenching in oil
810 C (1490 F); quenching in aqueous 42 to 43 0.08 to 0.11 0.10 to 0.15
Its size is 70 50 70 mm (25 2 alkali with 180 C (356 F)
2 in.). The distortion after quenching is shown
in Fig. 14. The internal radius and external radius Source: Ref 1
swell while the height increases, as shown in Ta-
ble 6.
Example 2 is a hollow cylinder made of 52100 Table 2 Comparison of distortions caused by thermal stress and structure stress
steel. The distortion after being heated at 830 C
(1530 F), oil quenched, and tempered at 160 C Distortion caused by thermal stress Distortion caused by structure stress
(320 F) for 2 h is shown in Fig. 15. The defor- Contracting along the largest-sized direction Elongating along the largest-sized direction
mation of the external radius is 0.02 to 0.04 Elongating along the shortest-sized direction Contracting along the shortest-sized direction
Surface protruding Surface concavity
mm (0.00080.002 in.) while the deformation Smoothing of the edges and corners Sharpening the edges and corners
of the internal radius is 0.04 to 0.08 mm Exradius expanding, inradius contracting External radius contracting, internal radius expanding
(0.0020.003 in.). The deformations of both The end inner hole tending to horn type The end inner hole tending to close up
ends are larger than that of the middle.
The distortion of the symmetric hollow cyl-
inder with even wall thickness after being heat
treated relates to diameter, wall thickness,
height, and so on. Figure 16 shows the relation-
ship between wall thickness and the deformation 80(D)
of hollow cylinders made of 1045 and 5140
steels, respectively. 39(d)
The principal laws of the distortion of a hol-
low cylinder are: 3
The internal radius and external radius of a
component made of 1045 steel swell and the
height increases.
If the component is fully hardened, the 2
amount of swelling of the internal radius and 67
external radius increases with the increase of
wall thickness when the wall thickness is
small. When the wall thickness is larger than 1
10 mm (0.4 in.). However, the amount of 30
swelling of the internal radius and external
radius decreases with the increase of the wall
thickness if the component is not fully hard-
ened.
For the component with wall thickness less 39(d1)
than 12 mm (0.5 in.), the amount of swelling 57(D1)
of internal radius is approximately 0.7 to
0.9% of the swelling quantity of external ra- Jig and fixture method for quench of screwplate. Distortion of a stop ring made of AISI 1045 steel.
Fig. 3 Fig. 4
dius when being quenched in nitrate bath. The (1) screwplate, (2) ironplate, (3) jig Source: Ref 1
amount of swelling of the internal radius is 0.4 in.). The deformation is approximately smaller the swelling deformation of internal
less when being double-liquid (salt and oil) 0.1%, which is much less than that of 1045 and external radii will be, and even the inter-
quenched, approximately 0.5 to 0.6% of that steel after being quenched in water. The dis- nal and external radii shrink.
of the external radius. The deformation is tortion of the internal radius of the hollow When high-carbon low-alloy steel 52100 is
much less when being marquenched, nor- cylinder made of 1045 increases with the in- heated to 830 C (1530 F) and quenched in
mally less than 0.15%, and tends to be re- crease of d. When the thickness of wall oil, its internal and external radii shrink, while
duced. reaches a certain value, the amount of swell- the height increases.
After being tempered at medium temperature, ing will decrease with the increase of d. The inner hole of low-carbon steel 1015
internal and external radii of the component The distortion patterns of high-carbon steel shrinks after being carburized and quenched.
decrease, but the deformations are much less 1080, 10100, and 10120 are generally the The larger the internal radius, the larger the
than that during quenching. same. For quenching a hollow cylinder made shrinking deformation will be. The shrinking
When medium-carbon low alloy steel 5140 is of high-carbon steel, the swelling deforma- deformation increases with the increase of
quenched in oil or marquenched, the internal tions of internal radius and external radius are height. The deeper the carburized layer is, the
radius shrinks if the wall thickness is smaller less than that of medium-carbon steel. The larger the shrinking deformation will be. The
than 10 mm (d 10 mm) (0.4 in., d 0.4 higher the carbon content, the smaller the external radius shrinks when the wall thick-
in.), while the internal radius, external radius, swelling deformation will be. When the wall ness is smaller than 10 mm (0.4 in.) and
and height increase if the wall thickness is thickness is larger than the thickness of the swells when the wall thickness is larger than
larger than 10 mm (d 10 mm) (0.4 in., d hardening layer, the larger the size is, the 10 mm (0.4 in.).
Initial state L L L L
L
D
D d d
D D D
Thermal
stress
Structural
stress
(a) (b) (c) (d) (e)

Fig. 5 Distortion of some typical simple components
Table 3 Examples of a smooth cylinder with varying sizes after being quenched
DD, mm (in.) (a)
Steel No. Heat treating process Top Medium Bottom DL, mm (in.) (b)
1045 Water quenching from 820 C (1508 F) 0.11 (0.0043) 0.005 (0.0002) 0.005 (0.0002) 0.535 (0.0211)
Nitrate bath quenching from 840 C (1544 F) 0.0075 (0.0003) 0 ... 0.097 (0.0038)
4140 Water quenching from 830 C (1526 F) 0.013 (0.0005) 0.004 (0.00016) 0.008 (0.0003) 0.135 (0.0053)
Oil quenching from 830 C (1526 F) 0.007 (0.00028) 0.01 (0.00039) 0.01 (0.00039) 0.104 (0.0041)
Nitrate bath quenching from 830 C (1526 F) 0.016 (0.0006) 0.018 (0.0007) 0.023 (0.0009) 0.206 (0.008)
0.65% C, 0.85% Mn Oil quenching from 810 C (1490 F) 0.022 (0.00087) 0.020 (0.00079) ... 0.025 (0.00098)
Water quenching from 810 C (1490 F) 0.033 (0.0013) 0.050 (0.0020) ... 0.110 (0.0043)
1.52% C, 0.37% Mn Water quenching from 800 C (1472 F) ... 0.048 (0.0019) ... 0.078 (0.003)
1.2% C Water quenching from 780 C (1436 F) 0.045 (0.0018) 0.052 (0.002) ... 0.015 (0.0006)
52100 Oil quenching from 830 C (1526 F) 0.020 (0.00079) 0.025 (0.00098) ... 0.1 (0.0039)
Oil quenching from 880 C (1616 F) 0.025 (0.00098) 0.030 (0.0012) ... 0.19 (0.0075)
Carburized 1015 Water quenching from 780 C (1436 F) ... 0.041 (0.0016) ... 0.010 (0.0004)
Water quenching from 850 C (1562 F) ... 0.038 (0.0015) ... 0.105 (0.0041)
Ellipses, no experimental data. (a) D 25 mm (1 in.). (b) L 125 mm (5 in.), Source: Ref 1
Inducing Compressive Stresses through Controlled Shot Peening / 351
Rsk skewness
More details are provided in Ref 72 and 73.

The values in Table 1 show clearly that a sur-
face processed with C.A.S.E. is not sufficiently
described by the Ra value. The meaningfulness
lies in Rsk, which has a value clearly below 1,
which is the minimum value striven for.
The stress profiles in Fig. 30 show the tensile
stresses and the residual peening stresses as well
as the C.A.S.E. influence.
X-Ray Diffraction Reading
A significant breakthrough in the controls of

the shot peening process was recently introduced
to industry. This new method entitled Milam,
utilizes XRD readings of residual stress profiles,
which are much more economical and are avail-
able in days rather than weeks. The new method
permits the use of XRD profiles as quality-con-
trol measurements that can be recorded for sta-
tistical process control data. The practical Milam
system has wide applications: for instance, low-
volume aircraft components, high-volume auto-
motive transmission gears, and even in-the-field
shot peening of chemical processing vessels. It
can also be used to predetermine with high ac-
curacy the shot peening parameters for process
development.
The Milam system actually offers three alter-
native applications. The first employs coupons
The Peenscan system. (a) Coated unpeened. (b) Peened 15 s partial coverage. (c) Peened 60 s full coverage. that are essentially the same size as a standard
Fig. 21
(d) Peened 60 s, improper nozzle angle in cavity. Courtesy of Metal Improvement Company, Inc. Almen strip, 0.75 by 3 in. (19 by 75 mm), but
Display Display
Machine Master
terminal Manual input terminal
Manual
Production input
Air Data data Product
pressure data storage
Data
New
procedures Input
Shot Data Master
flow computer
Data
Instruction
Part
Data Printer
motion Procedures
Peening
Instruction from storage
machine
comput.
Data
Nozzle Data Status collection
motion system
Instruction
Limit switches Bulk shot

Status Status handling and
and misc.
devices conditioning
system
Fig. 22 Computer-controlled shot peening machine.
Courtesy of Metal Improvement Company, Inc. Fig. 23 Software path flow diagram. Courtesy of Metal Improvement Company, Inc.
6 20
3.2
20
10
220
355
Fig. 11 Bend distortion after marquenching of 52100 steel axle with keyslot. Source: Ref 2
20 12
Bend direction after quenching

Fig. 12 Distortion of valve stem after quench. Source: Ref 1
A A
Table 5 Comparisons of distortion of a smooth cylinder and distortion of a screw with
ringlike slot after quenching
Distortion after quenching, mm (in.)
Shape and size of workpiece Steel Size before quenching, mm (in.) DD DL
B B
U28 119 0.27 to0.32
1050 0
(U1.102 4.685) (0.0106 to 0.0126)
U28 119 0.03 0.18 to 0.15

1050
(U1.102 4.685) (0.0012) (0.0071 to 0.0059) C C
U22 120 0.02 to 0.03 0.63 to 0.69

5140
(U0.866 4.724) (0.0008 to 0.0012) (0.0248 to 0.0272) d(50)
U22 120 0.08 0.13 to 0.18 D(70)

5140
(U0.866 4.724) (0.0032) (0.0051 to 0.0071)
Fig. 14 Distortion of a long cylindrical jacket made of

Source: Ref 3
1045 steel after quenching. Source: Ref 1
25 60
50
+b Fig. 15 Distortion of hollow cylinder made of 52100

steel after quenching and tempering. Source:
Fig. 13 Distortion tendency of axle with keyslot in the end side Ref 1
dius shrinks. The shrinking deformation de- Table 6 Distortion of a long cylindrical jacket made of 1045 steel after quenching
creases with the increase of wall thickness.
A-A B-B C-C
When the external radius is smaller than the
Heat treatment process DD, mm (in.) Dd, mm (in.) DD, mm (in.) Dd, mm (in.) DD, mm (in.) Dd, mm (in.)
height, the deformation of height is larger
than that of diameter. Otherwise, the defor- 820 C (1508 F), 0.36 (0.014) 0.44 (0.017) 0.22 (0.0087) 0.35 (0.0138) 0.30 (0.012) 0.36 (0.014)
quenched in water
mation of height is smaller than that of di- 780 C (1436 F), 0.29 (0.011) 0.39 (0.015) 0.24 (0.009) 0.35 (0.0138) 0.37 (0.015) 0.43 (0.017)
ameter. quenched in water
Influence of Keyslot on the Distortion of a
Hollow Cylinder after Quenching. The Source: Ref 1
change of keyslot width is the same as internal
radius, observed with the inside radius in the tu-
bular example just discussed. The keyslot be-
0.4 0.4
comes wide if the internal radius swells. On the a(D) b(d)
other hand, the keyslot becomes narrow if the 5
internal radius shrinks (Fig. 17). The smaller the 0.3 0.3
wall thickness is, the larger the distortion of 5
keyslot will be.
0.2 0.2
Uneven Distortion of Internal Radius. For
hollow cylinders with keyslot, the distortion of
D, mm
D, mm
internal radius is uneven. The shape of the inner 6
0.1 0.1
hole after being quenched becomes elliptical.
1
Eccentric Hollow Cylinder. Because the
wall thickness of an eccentric hollow cylinder is 0.0 0.0 7
quite different in various directions, the defor-
mation is different after being quenched, as 7
0.1 0.1
shown in Fig. 18.
Component with Different Cross Sections.
The deformations of internal and external radii 0.2 0.2
at both ends of the component are different be- 0 5 10 15 20 25 30 5 10 15 20 25 30
, mm , mm
cause of the difference in wall thickness. Mean-
while, the adjoining parts restrict each other, thus
0.08
the deformation is as shown in Fig. 19. 0.06
2
3
1 0.06
5
Influence of Asymmetry 0.04
1
0.04
3
When the cooling rates at the two sides of an
asymmetric component differ, there will be 0.02 0.02
bending deflection after the component has been 4
D, mm
, mm
quenched. The side with a high cooling rate will 0.00 0.00
be concave when thermal stress acts on it, while
the side with a low cooling rate will be concave 0.02
when structure stress acts on it. Figure 20 shows 0.02
several examples of asymmetric components. 8
0.04 2
The bending deflection is dependent on the 0.04
steels, cooling method, and cross section size, as C(D) d(d)
0.06
shown in Table 7. The greater the size of the
0.06
component is, the greater the tendency of bend- 0 5 10 15 20 25 30 0 5 10 15 20 25 30
ing deflection. Figure 21 shows examples of the , mm D, mm
asymmetry of the parts shown in Fig. 20. The
quenching distortion of an asymmetric alloying Fig. 16 Effect of wall thickness on the distortion of hollow cylinder after quenching, U70 35 mm (U2.756 1.378
in.). 1: 5140, heated at 840 C (1544 F), quenched in oil; 2: 5140, heated at 840 C (1544 F), quenched in
steel thin structural gear heated by high fre- oil, tempered at 410 C (770 F); 3: 5140, heated at 840 C (1544 F), quenched in 140 C (284 F) nitrate bath; 4: 5140,
quency induction is shown in Fig. 22. When the heated at 840 C (1544 F), quenched in 140 C (284 F) nitrate bath tempered at 410 C (770 F); 5: 1045, heated at 840
frame of a height ruler made of 9CrSi steel is C (1544 F), quenched in 5% NaCl water; 6: 1045, heated at 780 C (1436 F), quenched in 5% NaCl water; 7: 1045,
heated at 840 C (1544 F), quenched in 150 C (302 F) nitrate bath. Data Source: Ref 1
heated to 860 C (1580 F) and quenched in oil
in the longitudinal direction, the notch size de-
creases because of the notch direction during im-
mersion; the outer side is cooled quickly, while result of the combined effect of thermal stress, If the thickness of the wall is not uniform, the
the inner side is cooled slowly (Fig. 23). transformation stress, and volume variation thinner position is easy to expand and the thicker
caused by phase transformation that affect the is easy to shrink (Fig. 24).
shape and size of the dies after quenching. For
Quench Distortion of the Cavity of example, the die with a thin wall or thin edge
Concave Dies exhibits less temperature difference and less Influences of Treating Procedure
thermal stress during the quenching process, and and Machining Process on the Final
Concave dies normally have complex shape, is fully hardened easily, leading to greater trans- Shape of Component
and the size of each part is very different. Thus, formational stress so that the cavity expands. As
the quench distortion of the cavity of concave the wall of the die increases, the thermal stress Coordinating of Cold-Working and Hot-
dies is more complex than that of rings. It is the will become the major cause of cavity shrinkage. Working. The coordinating of machining and
heat treating has obvious influence on the 5. Temper at high temperature next process. If the deflection cannot meet the
quenching distortion of a component that is easy 6. Machine (cut the carburized layers at both requirement, the component has to be aligned
to deform. The elastic chuck made of 1080 steel ends to the required sizes; cut the carburized first and then heated to 650 C (1200 F) to re-
shown in Fig. 25 is easy to deform when quench- layer of the internal circle) lieve stress.
ing because of its bad rigidity. The distortion 7. Quench and temper at low temperature If these two stress relieving times are replaced
will be reduced if position A is not cut before 8. Machine the spoke to the required size; fine by one stress relieving, or the stress relieving
being quenched but is cut after quenching. machine inner hole temperature is up to 620 C (1150 F), the de-
Influence of the Sequence of Heat Treating 9. Stabilize (150 C, or 300 F) formation of the component after nitriding is
and Machining. Example 1: Ball Screw. The 10. Machine key slot; grind inner hole, gear larger than 0.05 mm (0.002 in.).
length of long and thin ball screw made of AISI grind
52100 steel (Fig. 26) extends after being
quenched. The thinner the component is or the Influence of Residual Stress Caused
deeper the hardening layer is, the larger the elon-
Influence of Machining Allowance by Cutting on Heat Treating
gation will be. When screw rollaway nest is ma- and Stress-Relieving Procedure Distortion
chined before the component being quenched,
the distance of screw should be shrunk. When The main axle of boring lathe is made of
38CrMoAl steel. The external radius is 105 mm The residual stress caused by the cutting pro-
the component is quenched, its length will be cess causes distortion in the subsequent heating
increased to reach the length required. (4 in.) and the length is 2010 mm (79 in.). The
required hardness after being quenched and tem- process due to stress relaxation.
For the ball screw with lead less than 10 mm Residual stress will be high and the distortion
(d 10 mm) (0.4 in., d 0.4 in.), such method pered is 24 to 28 HRC; after nitriding, the sur-
face hardness is more than 900 HV, and the will increase if the front rake angle and inner
as quenching the smooth pole and then the ma- angle of the tool edge are not up to the standard
chining screw can be employed. It is useful to depth of the nitriding layer is 0.4 to 0.5 mm
(0.01570.0197 in.). The machining procedure or the cutting load (depth of cut and feeding) is
get the exact final shape. too large. Long and thin components are espe-
follows:
Example 2: High-Speed Gear Wheel. The cially sensitive to these factors. Improper clamp-
high-speed gear wheel shown in Fig. 27 is made 1. Rough machine; the machining allowance
ing of the component also can cause more resid-
of alloy carburized steel. The rotating speed is of external circle is 3 to 4 mm (0.120.16
ual stress.
4000 rpm. Thin wall structure and size precision in.)
2. Quench and temper at high temperatures For example, there is a gear wheel made of
are required to reduce the centrifugal force. If 18Cr2Ni4W steel. Its external radius is 240 mm
the spoke is first machined and then carburized 3. Align
4. Stress relieve (650 C, or 1200 F, 15 h) (9 in.), internal radius is 224 mm (8.8 in.), mod-
and quenched, it is easy to have obvious heat ulus is 4 mm. The ovality is more than 4 mm
treating distortion. The following technique, 5. Fine machine; the machining allowance of
external circle is 0.25 mm (0.01 in.) (0.16 in.) after the component is nitrided at 500
however, can guarantee the precision of the final C (930 F) for 40 h. It has been found that the
shape and size of the gear wheel and meet the 6. Stress relieve (650 C, or 1200 F, 10 h)
7. Grind; the machining allowance of external four-jaw chuck used for clamping during heating
requirement of a high-speed gear wheel: caused greater residual stress. The following
circle is 0.06 mm (0.002 in.)
1. Forge 8. Nitride measures should be employed to keep the ovality
2. Anneal 9. Half-fine grind; the machining allowance of at less than 0.04 mm (0.002 in.):
3. Machine (the machining allowance at both external circle is 0.02 to 0.03 mm (0.0008 Use plastic clamping apparatus, bring pres-
ends is 3 mm (0.12 in.); machining the ex- 0.0012 in.) sure to bear on circle evenly
ternal circle to the required size, the ma- 10. Artificial age (450 C, or 840 F, 6 h) Increase cutting frequency and decrease cut-
chining allowance of internal circle is 3 mm 11. Fine grind to the required size ting depth
(0.12 in.), hobbing The deflection should be checked after each Perform stress relieving annealing during cut-
4. Carburize stress relieving to meet the requirement of the ting process
Larger expansion
2
35
48
Height, h = 25
(a) (b)
Fig. 18 Distortion of inner hole of an eccentric hollow
Fig. 17 Distortion of a hollow cylinder with inner keyslot, after quenching. (a) The keyslot becomes wider with the cylinder made of 1045 steel, after quenching
increase of internal radius. (b) The keyslot becomes narrower with the decrease of the internal radius. in water
Methods of Manufacturing Blanks increase. Segregation is particularly troublesome

and the Influences of Their Original for sand casting. If the blank is obtained by me-
tallic mold casting, this disadvantage can be im-
Structures proved to some extent. The segregation in the
blank, however, becomes comparatively much
Castings. Influences of the original structures less in the case of pressure casting or centrifugal
of castings are as follows. casting.
Segregation in the Castings. The segregation Grain Size. Grain coarsening in sand casting
results in many zones with different composition is also a problem, resulting in increased distor-
in the same casting, which causes the physical tion during subsequent heat treatment. However,
properties of these zones, such as heat conduc- much finer grains can be obtained by the meth-
tivity, specific heat, elastic modulus, yield limit, ods of metallic mold casting, pressure casting,
melting point, and phase transformation tem- or centrifugal casting.
perature to be inconsistent. The thermal stress The Morphology of Eutectic Structures. The
and transformation stress in the workpiece will morphology of eutectic structures is very sensi-
Fig. 20 Bend distortion of long asymmetrical parts with

small cross section. The lower sides were
cooled quickly.
With the increase in asymmetry, the bend distortion increases.

Fig. 19 Distortion of a hollow cylinder with varying wall thickness
Table 7 Direction of bend distortion caused by asymmetry under different conditions

Condition Bending direction
The side that The side that

cooled slowly cooled quickly
Carbon steel, quenched in water or salt water
Bad hardenability of steel or component with large Fig. 21 Asymmetry of the parts in Fig. 20
cross-section area; the hardened layer is thin
Carburizing of low-carbon alloying steel
Medium-carbon alloying steel or alloying tool steel,
quenched in oil or nitrate
Good hardenability of steel or component with
small cross-section area; it could be hardened
completely using small cooling rate
Carburizing of low-carbon steel (1015, 1020, etc.) The side that The side that
cooled slowly cooled quickly
Fig. 22 Distortion of an asymmetric thin structural steel

gear heated by high-frequency induction, after
quenching
tive to the cooling rate during solidification. The alloy steel can be changed by hot rolling or hot distortion of dies in various shapes are shown in
heating and cooling rates within the casting are forging. However, carbide segregation cannot be Fig. 28.
uneven because of the existence of the coarse eliminated completely. The carbide morphology Influence of Forging. The segregation of car-
dendritic grains. Thus, the larger the casting, the varies with the amount of the deformation bide in hot-rolled tool steel with ledeburite struc-
greater the residual stress will be. On the other caused by hot rolling or forging and the methods ture is found to be beltlike distribution, which
hand, residual stress will increase if the work- of forging. Therefore, it can be divided into dif- has a significant effect on the quenching distor-
piece shape is favorable for the occurrence of ferent carbide-segregated grades according to the tion. The amount of expansion along the bands
inhomogeneous shrinkage. For example, the morphology of carbide. tends to increase, but the increment of the swell-
concave surface of the sliding guide often ap- Carbide segregation not only causes inhomo- ing perpendicular to bands is relatively smaller.
pears in cast-iron lathes. geneous carbide distribution, but also leads to Banded segregation can be eliminated by forging
Influences of Methods of Castings. Blanks the increase of the alloy elements and carbon because the grade of the banded carbide can be
made by pressure casting or centrifugal casting contents in the austenite near the carbide-rich reduced greatly by upsetting and drawing alter-
are expected to possess sound structure, reduced zones. This leads to inhomogeneity of heat con- nately and repeatedly, which is favorable to re-
segregation, and fine primary grains, all of which duction, and martensitic transformation becomes ducing the quenching distortion.
are beneficial to reducing heat treatment distor- asynchronous, increasing the tendency of heat Beltlike structures of ferrite and pearlite in the
tion. treatment distortion. hypoeutectoid steels cause nonuniform distor-
Stress Relieving Treatment and Pre-Heat Deformation Caused by Banded Segregation tion because of the differences between the
Treatment. Stress relieving, which is performed of Carbide. The banded segregation of carbide quenching distortion along the bands and that in
to stabilize the shape and size of the casting, can is often observed in the rolling and forging of the perpendicular direction.
eliminate residual stress within the casting. The high-carbon and high-alloy steel. After quench- Cold-Rolled Steel Sheet Stampings. The de-
tendency of the distortion in casting can be re- ing, large volumetric expansion parallel to the formation along different directions caused by
duced by the pre-heat treatment. For example, bands may occur in the workpiece; less expan- quenching is inconsistent because of the fiber
intercrystalline segregation can be improved by sion, or even contractions, occur perpendicular structures existing in cold-rolled steel sheet. The
diffusion annealing; the primary coarse grains to the bands (as shown in Fig. 28). The effects cold-rolled 1015 steel sheet, for example, elon-
can be refined by annealing or normalization. of direction of the banded carbide on quenching gates 0.2% in the longitudinal direction, yet con-
However, improvement of banded segregation
and eutectic morphology cannot be reduced by
pre-heat treatment.
Hot-Rolled Steels or Forgings. Influences of
the original structures of hot-rolled steels or
forgings are as follows.
Zone segregation in the steel ingots cannot be
eliminated completely by rolling or forging,
though the shape of the segregated zone possibly
can be changed. For example, square-shape seg-
regation often appears in the cross section of hot-
rolled steel. Therefore, heat treatment distortion
will be intensified because of this segregation.
Segregation of Carbide. The morphology of Fig. 24 Examples showing distortion of cavity
ledeburite in the ingots of high-carbon and high-
Cut after quenching
30
30
Quenching direction
Fig. 25 Elastic chuck made of 1080 steel
70 S
Fig. 23 Distortion of keyslot of height ruler made of

9CrSi, after quenching in oil Fig. 26 Schematic of a ball screw made of AISI E52100 steel. S, screw distance
tracts 0.05% in the transverse direction after approaches 0.005 to 0.10 mm (0.00020.0039 0.04 mm (0.0016 in.) if the ferrule is made of
quenching at 860 C (1580 F). Having been in.) because of the deformations caused by 1015 steel sheet with fine equiaxed grains.
quenched at 80 C (176 F) in hot oil (hardening stretch forming. The fibrous orientation is
layer is about 0.25 mm, or 0.01 in.) after carbon changed along the arc and thus results in differ-
nitriding at 860 C (1580 F), the deformation of ent deformations in the different diametrical di- Influence of Heat Treatment on the
the forging-formed 1015 steel ferrule is shown rections, which leads to an evident ellipse. But Final Shape of Component
in Fig. 29. The figure shows that the ellipticity on the same conditions, the ellipticity is below
The influences of pre-heat treating and origi-
nal structure on the heat treatment distortion are
Shape before carburizing shown in Fig. 30. The prenormalizing or quench-
ing and tempering can refine the crystal grain of
the original structure. Thus, uniform microstruc-
ture can be obtained to reduce the distortion of
the component when quenching. Especially un-
der rapid heating conditions of such processes as
high-frequency quenching, it is necessary to heat
the component to a higher temperature if there
is a large block of ferrite in the original structure.
But the component can be quenched to obtain
the suitable hardness at a lower temperature if it
is prenormalized or quenched and tempered
properly. This is useful to reduce the distortion
of the component after high-frequency quench-
ing.
If there are beltlike ferrite and pearlite in the
original structure, the distortion of those parallel
to the beltlike structure is quite different from
those perpendicular to it. For example, if a sam-
ple prepared by 0.13% C steel is quenched from
860 C (1580 F), the elongation parallel to the
220
lamellar structure is 0.17%, while the contracti-
bility along the direction vertical to the lamellar
structure is only 0.015%. However, the size var-
iations for both directions are similar (0.04%
and 0.025%, respectively) after being normal-
ized.
If quenching and high-temperature tempering
are employed as pre-heat treating, the final dis-
tortion of the semi-finishing product can be re-
duced. Moreover, the scattering of distortion can
be limited to a relatively small scope. When the
Fig. 27 Schematic of a high-speed heavy-loaded wheel semi-finishing gear wheel is quenched and tem-
pered before high-frequency quenching, the
structure can be refined and uniformed so as to
be transformed to uniform austenite quickly
when induction heating. This process is useful
in reducing distortion.
The specific volume of globular pearlite is
larger than that of lamellar pearlite. The volume
1.75
25
28.5
Fig. 28 Influence of banded segregation of carbide on quenching distortion of workpieces made of high-carbon and
high-alloy tool steel. Arrows indicate the direction of carbide segregations. Fig. 29 Distortion of a forging-formed 1015 steel ferule
change of uniform and fine globular pearlite after if the original structures are fine lamellar pearlite locally or surface quenched is less than that
quenching is the smallest among various an- and free ferrite that are distributed uniformly of being immersion quenched.
nealing microstructures of tool steel. The spher- along the crystal boundary of austenite. The cut- Normally, among various surface-quenching
oidizing grades of high-carbon alloy tool steel ability will worsen if there is globular cementite methods, the higher the heating rate and the
such as 9Mn2V, CrWMn, and 52100 exhibit or free ferrite in block form or Widmanstatten more shallow the depth of hardening is, the
large influence on the thermal straightening structure or granular bainite in the original struc- smaller the distortion will be. The distortion
property. When the original structure is uniform tures. is the least if self cooling after rapid heating
fine globular pearlite, the component is straight- Influence of Heat Treating Method to Ten- is used. The comparison of several surface
ened easily when the component has been dency of Distortion. For many components, quenching methods is shown in Fig. 31.
quenched to 200 to 260 C (390500 F). Di- there are many different methods of heat treat- For chemical heat treatment, when the types
mensional stability is quite good; that is, the ment that meet the requirements for application. of penetrating elements are similar, the lower
shape of the component is not changed easily However, the distortions caused by these meth- the temperature or the shorter the time, the
after the component has been aligned and cooled ods are quite different, as shown in Table 8. smaller the distortion will be. For example,
to room temperature. If components such as the Thus, the selection of a heat treating method is distortion of a nitrocarburized component is
long slideway and screw, for which alignment is an important factor affecting the final shape of less than that of a carburized component. The
necessary, have not been spheroidized and an- the heat treated component. The general rules distortion of a ferrite nitrocarburized (560 C,
are: or 1040 F, 24 h) component is smaller than
nealed properly, their thermal alignment prop-
that of austenite nitrocarburized components
erties will be very poor. The lower the heating temperature, the (600700 C, or 11101290 F, 24 h). The
The cutability of the original structures influ- smaller the distortion will be. For example, distortion of a ferritic nitrocarburized com-
ences the residual stress caused by machining component distortion is minimal if the tem- ponent is less than that of ferritic nitriding.
and thus affects the distortion of the component perature can be controlled to 200 to 300 C Normally, the distortion of an isothermal ni-
indirectly after being heat treated. For the high- (390570 F) when an ion implantation trided component is less than that of two-
carbon tool steels, the cutability of globular method is used. But the component distortion stage nitriding.
pearlite is the best. For medium- and low-carbon is obvious if kept at a high temperature such
steels, however, cutability becomes poorer after as 1000 C (1830 F) for several hours when
being spheroidize annealed. As for medium- and boronizing or metallic cementing to reduce Influence of Heating on the Final
low-carbon steels, as well as medium- and low- distortion. Shape of the Component
carbon low-alloy steels, the cutability is the best Distortion after the component is quenched
Influence of Heating Medium. The influ-
ence of heating medium on the distortion of a
The difference of specific volume heat treated component is reflected mainly by
between the original structure and two factors, heating rate and heating uniformity.
quenching structure Generally, the distortion is less when the com-
ponent is heated at a low heating rate, while the
distortion increases when the component is
The influences on the
heated at a high heating rate. Distortion is also
uniformity of structure
less when the component is heated in the me-
dium with good heat transfer uniformity. The
Pre-heat treating and The influences on the sensitivities of these two factors relate to specific
original microstructure austenitizing temperature production conditions. The distortion of a large
hob made of high-speed steel after being heated
The influences on cutting
ability and residual stress
Table 8 Deformation tendency of various
The influences on hot
heat treat methods
alignment ability
Deformation
Heat treat method tendency
Fig. 30 Influence of pre-heat-treating and original microstructure on the final shape of component
Metallic cementation Very big
Boriding
Solid quenching Big
Carburizing quenching
Power frequency Nitrocarburizing
quenching Mid frequency
High frequency Chemical vapor deposition
induction
hardening Local quenching Medium
hardening Induction heating-surface quenching
Flame quenching
Flame heating-surface quenching
Nitriding Small
Nitrocarburizing of austenite
Electron beam heating-quenching
Ultra-high Physical vapor deposition
frequency hardening Laser quenching Nitrocarburizing of ferrite Very small
(Tufftride, TruTec, Springfield, OH)
Electron beam Nitrocarburizing
Electrical heating hardening
and quenching Short-time nitriding
Laser heat treatment
Ion implantation Slight
Ion implantation enhanced vapor
Big Small phase deposition
Fig. 31 Distortion comparison of various surface quenching methods Carburizing at low temperature
in a vacuum furnace is less than when heated in

Temperature of the salt bath because the heating rate of the hob in
component going the vacuum furnace is lower. But for the high-
into the furnace
speed steel drills with a small diameter being
loaded in batches, the distortion after being
heated in a vacuum furnace is greater than that
The control of
heating rate
in salt bath. The influences of heating medium
Holding temperature on quenching distortion are shown in Table 9.
Influence of Rules of Heating. For the com-
The influences of ponents that deform easily, distortion may be re-
heating rules Keeping warm Holding time
duced if the heating rate, especially in the phase
transformation temperature range, is reduced.
For example, the distortion of high-speed steel
Pre-heating Pre-heating temperature
or high-alloy tool steel components may be re-
duced when put into the furnace with lower tem-
Heating temperature Pre-heating time perature, kept at 800850 C (14701560 F),
and keeping and then heated to the quenching temperature. It
warm time is better for these steel components to be pre-
heated at 500 C (930 F) in an air furnace and
Fig. 32 Influences of heating rules on distortion 800850 C (14701560 F) in a salt bath, and
then pre-heated at high temperature in a different
salt bath. Normally, the pre-heating time is dou-
ble the heating time.
The influences of heating rate and time on the
Table 9 Influences of heating media on heat treatment distortion heat treatment distortion are complex. Generally,
Medium Heating rate Heating uniformity Comments
heating at a relatively low temperature and short-
ening the heating time properly not only reduces
Gas, various protective Slow Depends mainly on the structure of the
gases or air heating furnace; depends on the the distortion caused by the weight of the com-
radiation uniformity at high ponent when heated, but also reduces the distor-
temperature and on gas-flowing tion caused by the temperature difference during
uniformity at low temperature the subsequent quenching processes. But for
Liquid Fastest Different faces can be heated evenly. It is useful to reduce the distortion caused
by the weight of the component with some alloy tool steels, acceptable amounts of re-
the effect of buoyancy. tained austenite can be obtained if the compo-
Melting metal Fastest Different faces can be heated evenly. It is useful to reduce the distortion caused nent is quenched at a specified temperature. This
by the weight of the component with process is called micro distortion quenching.
the effect of buoyancy.
Melting salt bath Faster Different faces can be heated evenly. The buoyancy is approximately 40% of If the quenching temperature is lower than that
the above, so it also can decrease the temperature, the volume of the component will
distortion caused by the weight of the increase. If this is not done, shrinkage will occur.
component. For an internal electrode The quenching temperature may be decreased
salt bath furnace, the long and thin
component is easily deformed with the when sufficient hardness is obtained by the fol-
effect of electromagnetism stirring. lowing methods.
Fluidized bed Fast The heat transfer coefficients of the Changing the Original Structure of the Com-
side, bottom, and top are quite ponent. The lower-limit temperature may be
different. The heating uniformity is
bad. used for quenching and tempering hypoeutectoid
Vacuum Slowest Depends on radiation of heating. The steel because of the relative ease of austenite nu-
uniformity is bad when a large cleation. This is observed during the high-fre-
number of components are loaded. quency induction heating process. However, the
component should be heated at a higher tem-
perature to ensure complete austenitization if
block-free ferrite is present in the original mi-
crostructure.
In the original microstructures of eutectoid
and hypereutectoid tool steels, the finer and bet-
ter distributed the globular pearlite is, the lower
the austenitizing temperature will be. For ex-
1 1 2 Table 10 Influences of increasing quench-

3 ing temperature on the distortion of mold
1 hole
Type of steel Distortion of mold hole
Medium-carbon Expand
High-carbon Contract
Low-carbon (carburizing) Expand
Unreasonable Unreasonable Reasonable Medium-carbon low-alloy Expand
Fig. 33 Influence of loading pattern on heating uniformity. (1) Workpiece. (2) Heating elements. (3) Refractory ma- High-carbon low-alloy Expand
terials High-alloy Contract
ample, the austenitizing temperature of 52100 is respect to the uniformity of heating. It is neces- bution during the quenching process, which will
850 C (1560 F) if the microstructure is the nor- sary to have a circulating fan with enough power, influence quench distortion.
mal globular pearlite (the average diameter of an air duct, and a conducting plate to guarantee In a normal quenching tank, quenchant flows
cementite is about 1 lm). The austenitizing tem- uniformity of air flow around the component from the upper overflow vent, heat exchanger,
perature may be decreased to 810 C (1490 F) during heating. and is then returned to the tank by the pump. The
if the component has been pre-heat-treated to Racking. The loading pattern (racking) will tank design influences the uniformity of the
form super-fine carbide (the average diameter of promote the uniformity of heating, as shown in cooling of the component and thus influences the
cementite is smaller than 0.3 lm). Fig. 33 and 34. The loading pattern that best requenching distortion.
Changing the Chemical Composition of the duces distortion caused by the weight of the The volume of the quenching tank shown in
Surface Layer. The component that has been ni- component should be used. Random loading Fig. 35(a) is comparatively small. Cold quen-
trided in advance can be quenched at 700 C leads to poor heating uniformity. For long and chant is put into the tank from the right bottom
(1290 F) to harden the surface layer. The com- thin components, vertical loading should be used and flush through the component unevenly. This
ponent can be quenched at 600 to 650 C (1110 in a pit furnace. Meanwhile, movement of the brings about the nonuniform cooling of the com-
1200 F) to obtain a high hardness when it is heated parts should be smooth and steady when ponent and increased distortion. Cold quenchant
being nitrocarburized to form austenite with 1.0 removing the component from the furnace to re- flows into the tank from the holes of the pipe
to 2.8% N in the nitrocarburized layer. The dis- duce distortion caused by swaying and colliding. located at the bottom of the quenching tank
tortions of the component with a thin wall after Charging basket and fixtures should have shown in Fig. 35(b). The quenching uniformity
being treated by these methods are minimal. enough rigidity and hot strength so that their dis- has thus been improved. There is a quenching
The influence of heating on distortion is tortion, caused by their repeated operation, does ring in the tank, as shown in Fig. 35(c). The liq-
shown in Fig. 32. For the mold with a cavity not distort the component. The selection of the uid quenchant is sprayed on to the component
inside, however, the relationship between distor- supporting point also has a great influence on the from the holes on the liquid sprayer using a high-
tion and heating temperature is comparatively distortion of the component, as shown in Fig. 34. pressure pump. This kind of tank is suitable for
complex, as shown in Table 10. Smooth running of the machine driving system large cylinder components. The cooling of the
The distortion caused by weight of the part for uploading and downloading. The machine component is uniform and component distortion
will increase if the aging period is prolonged un- driving system for transmitting the component can be reduced. Several stirrers are arranged at
necessarily. The heating period influences dis- into or out of the furnace must start and brake the right side of the tank shown in Fig. 35(d).
solution of carbon and alloy elements in austen- steadily to avoid moving up and down and col- The quenchant flows evenly from the bottom by
ite and therefore affects the transformation liding. means of the baffle. The design of the tanks
stresses. shown in Fig. 35(b), (c), and (d) is useful in re-
Heating Equipment and Loading Pattern. ducing the distortion caused by the nonuniform
The influences of heating equipment and loading Influence of Cooling on Distortion flow of the quenchant and the unidirectional flow
pattern on the distortion of the component are through the component.
described here. Gas-Quenching Equipment. High-pressure
The cooling process has the greatest influence gas quenching has increased very quickly in re-
Heating Uniformity. Nonuniform heating will on the final distortion of the component. There
increase the temperature difference, resulting in cent years due to its cleanliness (no pollution)
are many complicated factors that affect the dis- and minimal distortion. The cooling rate of high-
large thermal stresses inside the component. tortion, such as the type and the design of the
Generally, uniform heating is easy in a contin- pressure gas quenching is less than that of oil,
cooling equipment, the quenchant, temperature and it is not necessary to move the component
uous furnace, while uniform heating in a peri- and agitation of the quenchant, quenching
odic furnace is relatively poor, especially if the when using high-pressure gas quenching in a
method, cooling or immersing time, and the vacuum furnace. These factors are beneficial in
batch is large. pressure in the cooling process. reducing quenching distortion. However, under
The components being heat treated in a pass- Type and Design of the Cooling Equipment some circumstances, the distortion of vacuum
ing-type furnace are relatively small and there- The influences of cooling equipment on the quenching is more than that of oil quenching or
fore are easily heated evenly. The uniformity of quenching distortion are as follows. salt-bath quenching. The distortion of vacuum
heating is fairly poor because the charging bas- Cooling Equipment. Types of cooling equip- quenching is related to cooling uniformity, while
ket in a periodic furnace is larger and can load ment and influencing factors include: cooling uniformity is related to the hydrokinetic
more components, especially when loaded con- feature of equipment and the loading of com-
centratedly. Quenching tank for immersion: volume and
ponents. For example, in some high-pressure
For furnaces with working temperatures size of quenching tank, fluid flow and agita- gas-quenching equipment, gas has been input
above 600 C (1110 F), radiation is the main tion condition of quenchant, and fluid main- and output from the top and the bottom. Two
heat transfer process. Therefore, the location of tenance kinds of methods have been employed. Gas has
the heating elements relative to the load exhibits Gas quenching equipment: cooling gas and been input from the top and output from the bot-
a large influence on the uniformity of heating. pressure, flow rate of gas, design of dynamics tom; gas has been input from the bottom and
Heat radiation conditions throughout the furnace of flow field, and heat transfer output from the top. Nozzles can move right and
may vary greatly. For example, the heat radiation Gas jet and fog jet cooling equipment: struc- left to improve the cooling uniformity. Never-
is intensive near the furnace door and, thus, the ture of nozzle, site and arrangement pattern theless, cooling of the upper-side and the lower-
temperature is lower here. In this case, the power of the nozzles, water pressure and flux, air side of the component is not the same. For the
distribution of the heating furnace also influ- pressure and flux, and adjusting and control- component with tabular shape, the distortion is
ences the uniformity of furnace temperature. ling system for pressure and flux less if it is placed in the furnace as shown in Fig.
For a combustion-heated furnace, direct flame Quenching tanks, including water-based poly- 36(a), while there is bending deformation if the
impingement onto the component should be mer quenching tanks, oil-quenching tanks, step- component is placed as shown in Fig. 36(b).
avoided. Radiant tube may be used to improve quenching tanks, and isothermal-quenching When several plates are piled in the furnace (Fig.
heating uniformity. tanks, are the most popularly used quenching 36(c)), the flow velocity in every interval in-
For furnaces with working temperatures lower equipment. creases due to the effect of a narrow slot, which
than 600 C (1110 F), such as those used for The volume of the quenching tank directly af- can cause the uneven cooling of the component
solution treatment and agency of aluminum-al- fects the heat dissipation. If the tank is too small, and the final distortion. In the designing of some
loys, convection is the main heat transfer pro- the quenchant temperature will vary consider- gas-quenching furnaces, nozzles are positioned
cess. The uniformity of air flow is critical with ably, leading to nonuniform temperature distri- evenly in the chambers. This improves the
Incorrect Correct Incorrect Incorrect Correct
Incorrect Correct Unreasonable

Reasonable Reasonable
Unreasonable Reasonable
Fig. 34 Influence of a supporting point on the distortion of a component
C P C P C P
(a) (b) (c)
1
Fast cooling
5
2 2
1
3
3
4 4
5
C P
(d) (e) (f)
1. cylindric tank 1. slipping slot connected with furnace

2. mixer 2. high pressure nozzle
3. flow-guiding pipe at side 3. quick cooling mesh belt
4. flow-guiding pipe at bottom 4. slow cooling mesh belt
5. thermocouples 5. liquid surface
Fig. 35 Structure of quenching tank on the cooling uniformity. C, heat exchanger; P, pump. (f) Source: Ref 6
Residual Stress Formation During Casting / 365
Finite-Element Formulation of the where d is the column vector of nodal values di.
Elastoviscoplastic Stress Model (Ref 39) With the displacements at all points given by Eq R
X
BTDeidX
X
BTDevpdX (Eq 23)
16, the strains at any point can be determined
In the elastoviscoplastic stress model, it is as- from the relationship: The solution procedure for Eq 22 is given by
sumed that the total strain is the sum of elastic Zienkiewicz and Cormeau (Ref 38). In this
and plastic components, together with any initial e Bd (Eq 17) method, a simple Euler iterative procedure is
strains: used which can become unstable if critical time
where B is the standard matrix derived from the steps are too large. The selection of critical time
derivatives of the shape functions (Ref 43). The steps has been studied by Cormeau (Ref 44), and
e ee evp ei (Eq 10) virtual work principle in this case enables the his stability limits are followed here.
equilibrium equation to be written as:
Only elastic strains are produced initially by the
application of a load, and the elastic strain rate Examples
is linearly related to the total stress rate by the X
BTrdX 0 (Eq 18)
Because of the complexities and practical dif-
matrix of elastic constants D (Ref 43) according
ficulties of experiments on ingot castings, only
to: As the constitutive relation for viscoplastic prob-
a limited number of experimental investigations
lems has been specified in time rate form in (Eq
are reported in sufficient detail in the literature
r Dee (Eq 11) 11), it is convenient to rewrite Eq 18 as
to make possible a comparison with the results
of a mathematical model. Oeters et al. (Ref 40)
where the overdot denotes differentiation with
respect to time. The viscoplastic strain occurs
X
BTrdX
0 (Eq 19) have reported extensive results of the investiga-
tion on a 6 ton ingot casting, and this is the ex-
only if the stress levels exceed some previously ample chosen for the present investigation.
Combining Eq 10, 11, and 19 then leads to:
defined yield stress. This yield stress is given by At the midheight of the 6 ton ingot, the cross
the yield function: section is in the form of a square with rounded
X
BTD(e e vp e i)dX 0 (Eq 20) corners and a side length of 600 mm (23.6 in.).
F (r, evp) 0 (Eq 12) Along two opposite sides of the square the sur-
which, on using Eq 17 to substitute for e, be- rounding mold has a thickness of 150 mm (6 in.),
Therefore, when F 0, purely elastic behavior comes: while this thickness becomes 166 mm (6.5 in.)
takes place, but F 0 represents the onset of along the other sides. The variation of the prop-

plastic deformation. The viscoplastic strain is erties with temperature is assumed to take the
BTDBddX 0 (Eq 21)
given by: X form reported by Williams et al. (Ref 11). The
finite-element mesh used in the analysis consists
That is, of 52 elements (illustrated in Fig. 6) and 185
evp
e vp f (r, evp) (Eq 13) nodes. The nodes are located at the element cor-
t
Ksd R 0 (Eq 22) ners and at the midpoints of the element sides.
The time of air-gap formation at various lo-
To define completely a strain-rate law, it is where KS is the overall stiffness matrix and R cations on the ingot perimeter follows roughly a
assumed that, in common with plasticity, the di- represents the total loading rate, which turns out parabolic law proceeding from the corner to the
rections of straining are given by gradients of a to be middle of the face (Fig. 7). Initially, the model
plastic potential Q:
Q
e vp w(F) (Eq 14)
r
8 16 24 32 46 52
Viscoplastic flow laws can then be written as:
Mold
w(F ) 0 if F 0
w(F) if F 0
7 15 23 31 45 51
6 14 22 30
Combining Eq 10, 11, and 13 results in the Air
5 13 21 29 40 44 50
complete constitutive relation: gap 4 12 20 28 36
27
Q 3 11 19 43 49
e D1r w(F) e i (Eq 15) 35
r 39
Ingot
The finite-element stress analysis is performed
26
only on the ingot, which is discretized by using 2 10 18 34 42 48
the same elements and shape functions as were 38
used in the thermal analysis. If the vector u de-
notes the displacement field, then this may be
approximated over in terms of the nodal dis- 25
placements di by: 1 9 17 33 41 47
37
n
u u Ni di NTd
i1
(Eq 16)
Fig. 6 Finite-element mesh for ingot, air gap, and mesh
Table 11 Factors that influence the cooling intensity of liquid quenchants transformation period and martensite transfor-
mation period, or strictly speaking, the cooling
Factor Function(s) curve. There is a strong relationship between sur-
Physical and chemical properties of quenchants face heat transfer coefficient, surface-to-arc tem-
Heat of vaporization The larger the heat vaporization is, the stronger the cooling intensity. The heat of
vaporization of water at 100 C (212 F) is 2260 kJ/kg while the heat of vaporization
perature gradient, and distortion. For example,
of mineral oil is about 210 kJ/kg. Therefore, the cooling intensity of water is much the cooling intensity of 10% NaOH solution or
more powerful than that of oil. 10% NaCl solution is much higher than that of
Vapor pressure The lower the vapor pressure is, the more difficult the gasification, and therefore the water and, therefore, the hardened layer is also
lower the cooling intensity is.
Boiling point Lower boiling point brings about the increasing of cooling rate in range of martensite
much deeper. However, the distortion of the
transformation. component being quenched by 10% NaOH water
Surface tension The smaller the surface tension is, the less the stability of vapor film is, and the stronger solution or 10% NaCl water solution is just
the cooling intensity. slightly less than that of water because the cool-
Specific heat The higher the specific heat is, the stronger the cooling intensity.
Viscosity The smaller the viscosity is, the stronger the cooling intensity will be.
ing rates of those quenchants within martensite
The separation behavior of solute Vapor film can burst when the inorganic (NaCl, NaOH, Na2CO3, etc.) dissolved in transformation period are similar. The depths of
at the surface of hot water-based quenchant is separated at the surface of hot component, which can hardened layers after being quenched in 50%
component increase the cooling intensity of quenchant. NaOH water solution is greater than that of water
Inverse-solvent power Polymer quenchant has the power of inverse-solvent. Polymer film can be formed
around hot component so as to separate water from the component, and thus decrease
but the distortion is less. The reason is that the
the cooling intensity of quenchant. The cooling intensity can be adjusted by changing viscosity of NaOH water solution with high con-
the concentrating of polymer. centration is large and its cooling intensity
Outside factors
within martensite transformation period is only
1
The temperature of quenchant The cooling intensity of water solution drops intensively with the increasing of the 6 of the cooling intensity of water. The maxi-
temperature and the temperature corresponding to the fastest cooling rate obviously mum cooling rate and characteristic temperature
moves to lower. However, the cooling rate of oil increases slightly with the increase of high-speed quench oil with additives are ob-
of temperature due to the decreasing of the viscosity of oil.
Circulation and agitation Agitation can drop down the stability of vapor film and thus increase the cooling
viously higher than that of straight unaccelerated
intensity of quenchant. The higher the flow rate is, the greater the influence. The oil, while its cooling rate within a low-tempera-
uniformity of fluid flow around component has great influence on distortion. ture range is slower than that of ordinary me-
Gas pressure above liquid The higher the gas pressure is, the bigger the heat of vaporization, and therefore the chanical oil due to the greater viscosity. There-
faster the cooling rate.
The pressure of quenchant For spray hardening, the higher the pressure is, the more powerful the cooling intensity.
fore, although the depth of hardened layer
When component is cooled in cycling gas, its cooling intensity increases with the quenched by high-speed quench oil is deeper
increase of gas pressure. than that of unaccelerated quench oil, the distor-
The surface condition of The cooling rate of coarse surface is faster than that of smooth surface. The salt or tion is similar.
component borax sticking to component surface can promote the burst of vapor film.
The distortions of a C-ring test specimen made
of 5140 steel (Fig. 38) quenched in various quen-
chants are shown in Table 13.
Table 12 Comparison of several commonly used quenchants in cooling rate and distortion
Influence of Quenching Methods
Quenchant Cooling rate Distortion
Cooling in One Medium. The factors that
10% NaOH water solution Large influence component distortion are quenchant
10% NaCl water solution Large
selection, quenchant temperature, agitation rate,
and uniformity of agitation. The influence of
10% Na2CO3 water solution Large
quenchants on the distortion of cavity of cold-
50% NaOH water solution Large forging dies is shown in Table 14.
Water Large The selection of quenchant should account for
Polymer quenchants Medium the following two opposing factors, depth of
25% NaNO3 20% KNO3 20% NaNO2 35% H2O Medium
hardened layer and quenching distortion. Ac-
cording to the dimension of the workpiece and
Accelerated quenching oil Small
Alkaline salt bath Very small
Nitrate bath Very small
6
Ordinary mechanical oil Small
Air Very small
037
Table 13 The influences of quenchants on the distortions of C-style sample

Temperature, Cycling rate, Hardness after Gap opening,
Quenchant C (F) m/s (ft/s) quenching, HRC mm (in.)
Water 20 (68) 0.5 (1.6) 5660 0.39 (0.015)
10% NaCl 20 (68) 0.5 (1.6) 5760 0.18 (0.007)
1% NaOH 20 (68) 0.5 (1.6) 5759 0.22 (0.009)
50% NaOH 20 (68) 0.5 (1.6) 5860 0.12 (0.005)
75% NaOH 15 (59) 0.5 (1.6) 5557 0.05 (0.002) 12
051
Source: Ref 1
Fig. 38 C-style samples
Table 14 Influence of quenchants on the distortion trend of cavity of cold forging dies hardening ability of the steel, quenchant with a
relatively lower cooling intensity should be se-
Types of steel
lected to reduce distortion, provided the hardness
Medium- High- Carburized Carburized Medium-carbon Medium- High-
Quenching carbon carbon low-carbon low-alloy low-alloy Low-alloy alloy alloy
after quenching is guaranteed.
medium steel steel steel steel steel tool steel steel steel Temperature of Quenchant. The temperature
Saline water Expand Shrink Shrink Shrink of aqueous quenchant can affect its cooling char-
Oil Shrink Shrink Shrink Shrink Expand (a) (a) (a) acter intensively. Increasing the temperature of
Alkaline salt Expand (b) Shrink Shrink Expand Expand the quenchant will increase the stability of vapor
Nitrate bath Expand Expand Shrink Shrink Expand (b) (b) (b)
Air Expand
film and reduce the cooling rate in the range of
pearlite transformation, while only decreasing
(a) For alloy tool steel, hot oil can increase the expanding trend, while cold oil can increase the shrinking trend. (b) Too much water in alkaline salt
slightly the cooling rate in the martensite trans-
or nitrate bath, decreasing the bath temperature, and short keeping time will result in the expanding trend of cavity. Source: Ref 4 formation range. Therefore, increasing the tem-
perature of the aqueous quenchant is not a good
method to control component distortion. Al-
Table 15 Influence of various stirring degrees on the cooling intensity of quenchants though the boiling point of a quenching oil is
(Grossman factor, in.1) typically relatively high, increasing the tempera-
ture of quenching oil usually will not obviously
Agitation degrees Air Oil Water Saltwater Nitrate
affect the stability of vapor film but can decrease
No agitation 0.008 0.250.30 0.91.1 2.0 0.5 the viscosity of oil. In this case, thermal stress,
Mild agitation 0.30.35 1.01.1 2.2
Moderate agitation 0.350.40 1.21.3
transformation stress, and retained austenite can
Good agitation 0.400.50 1.41.5 be controlled by adjusting the temperature of the
Strong agitation 0.500.80 1.62.0 45 quenching oil. Thus, regulating the temperature
Violent agitation 0.2 0.801.00 4.0 2.25 of quenching oil is an effective method for con-
trolling distortion.
Source: Ref 5
Agitation Rate. It can be seen from Table 15
that agitation has a great influence on the cooling
intensity of the quenchant and thus affects the
depth of the hardened layer and quenching dis-
Table 16 Factors that influence distortion of a component during marquenching tortion. Some good quenching tanks have an ad-
Factor Function(s) justable circulation rate, and it is possible to
Cooling rate above isothermal temperature Affecting thermal stress obviously change the cooling rate rationally. For example,
Isothermal temperature the following technical method can reduce the
above martensite point Affecting structural stress obviously quenching distortion without influencing the
below martensite point Affecting the quantity of residual austenite depth of the hardened layer:
Isothermal time or keeping time Having certain influence on structural stress
Affecting the quantity of retained austenite
Cooling rate below isothermal temperature Intensively affecting structural stress 1. Moderate agitation rate should be used when
Affecting the quantity of retained austenite the temperature of the component is above
650 C (1200 F).
2. Strong agitation should be used when the
temperature of the component is between 450
and 650 C (840 and 1200 F).
3. Agitation slows when the temperature of the
Table 17 Factors that affect the distortion of spray hardening
component is below 400 C (750 F).
Factor Function 4. Stop agitation at the final period of cooling.
Water pressure Intensively affects cooling intensity
Water flow Affects cooling intensity Uniformity of Circulation. Nonuniform stir-
Injector or nozzle design Affects cooling uniformity and rate ring will create the difference in flow rate be-
Spray hole or nozzle position Affects cooling uniformity
Component shape and relative movement against nozzles Affects cooling uniformity
tween the two sides of the component and thus
cause the nonuniform cooling of the component,
resulting in an increased amount of distortion of
the component.
Two-Step Quenching. The component is
quenched in quenchant with strong cooling inten-
sity during pearlite transformation period and then
Table 18 Distortion tendency of gears after carburizing and quenching
quenched in medium with weak cooling intensity
Gear parameter variation Distortion tendency of gears after carburizing and quenching during martensite period. An example of a two-
Addendum circle Addendum circle diameter of plate gear generally expands. step quenching is first, the component is quenched
diameter Addendum circle diameter of gear shaft generally shrinks. in salt water and then oil. The factors that affect
Bore diameter Bore diameter generally shrinks. The amount of shrinkage increases with hardenability and case the distortion of a component are type of quen-
depth.
Inner diameter of gears with anticarburizing bore expands slightly. chant and cooling time in those two media.
For gears with nonuniform cross section, the bore shrinks more significantly in the thinner part, Pre-cooling quenching is a commonly used
resulting in conical deformation of the bore. method to reduce distortion. It includes delayed
Surface warpage and For disk gear with large outer diameter/height ratio, its end surface warps easily and gear rim quenching, isothermal precooling quenching,
taper tapers off easily.
End surface of bevel gear warps. quenching for decreasing temperature after car-
Tooth profile Tooth thickness increases after carburizing and quenching, particularly as approaching tooth tip burizing, and so on. The factors that influence
or both end faces. pre-cooling quenching on the distortion of a
Helix angle variation Helix angle of helical gear after carburizing and quenching becomes smaller. component are:
Time: Quenching distortion often can be re- before being placed into the quenchant. Both ponent is cooled to room temperature. There are
duced if the component is kept in the air or isothermal temperature and keeping time in- two types of marquenching. In the first type, the
protective gas for a certain period when mov- fluence the distortion of the component. component is quenched into a bath in which the
ing from the heating furnace into the quen- Temperature and holding time of quenching temperature is above the martensite point, and in
chant. The longer the keeping time is, the less for decreasing temperature after carburizing: the other, the quenching bath temperature is be-
the distortion will be. However, the keeping It can effectively reduce the distortion of a low the martensite point. Curve 1 in Fig. 39 in-
time can be too long so as not to affect the carburized component if the component is dicates marquenching below the martensite
hardness and the depth of the hardened layer kept in a carburizing furnace for a certain pe- point, while curve 2 indicates broken hardening
of the component. riod of time when the temperature of the fur- above the martensite point. The factors that af-
Temperature and time of isothermal precool- nace is dropped to approximately 840 to 870 fect the distortion of a component are shown in
ing: It is useful to decrease the temperature C (15401600 F) (depending on type of Table 16.
difference between the inside and outside of steel). Isothermal Quenching. The cooling curve of
the component and thus reduce distortion. To Marquenching is an effective way to reduce isothermal quenching is shown as curve 3 in Fig.
be sure the component is isothermal, it should quenching distortion. In this process, the com- 39. The microstructures after isothermal quench-
be kept in a fluid bed or salt bath or an iso- ponent first is quenched into an isothermal bath. ing are bainite with a certain quantity of retained
thermal furnace for a certain period of time After its temperature becomes uniform, the com- austenite. In this case, there is only a small vari-
ation in specific volume, which results in a small
amount of the distortion of the component. The
factors that influence isothermal quenching dis-
tortion are isothermal temperature and time.
Spray Hardening. A significant cooling rate
can be achieved when high-pressure water is
sprayed onto the surface of the component, mak-
Temperature, C
ing spray hardening suitable for large-sized com-

ponents. The cooling intensity of spray harden-
ing can be changed in a wide range by adjusting
the pressure and flow of water. With the help of
computer simulation of transient temperature
Ms field and phase transformation in the spray hard-
ening process, nozzles can be positioned and
3 pressure and flow of water can be regulated so
2
that a better hardening effect can be obtained.
1
This method is generating increased interest. The
Time, lg factors that affect the distortion of spray hard-
ening are shown in Table 17.
Fig. 39 Marquenching and isothermal quenching
Influence of Tempering, Deep

Freezing Process, and Stabilization
Influence of Tempering. There exist some
factors that will cause a volume change in
quenched steel during its tempering process. In
the tempering process, while the carbide is sepa-
rating from the martensite, the carbon concen-
tration of the -phase decreases, causing con-
traction. Meanwhile, the transferring of the
retained austenite causes expansion. Normally,
the former takes greater effect than the latter, so
the final volume changing tends to be decreased
(compare with quenched state). However, the
Before tempering temper process should not be expected to make
up the distortions caused by annealing. Initially,
the tempering temperature is insufficient, which
can totally reverse the volume change caused by
the quenching process. More importantly, the
plastic distortion caused by inner stresses during
the quenching process cannot be changed by
tempering. The distortion incurred during tem-
per is far less than that in quenching. Therefore,
the final distortion after the quench-temper pro-
cess is decided primarily by the distortion in the
quenching process.
Factors that influence the distortion in the
temper process are:
After tempering
Temperature: At higher temperatures, where
more obvious contractions occur for carbon
steel and low-alloy steel, the volume can

shrink back to what it was before the quench-
ing process when tempering at a temperature
The higher nitrogen content of
the layer, the larger deformation.
above 500 to 600 C (9301110 F). For the
high-alloy tool steel, however, after the tem-
The thicker nitrided layer,
per process at the temperature where the sec-
the larger deformation. ond hardening occurred, the amount of the
volume contraction will be reduced due to the
The more nitride formation transferring of the retained austenite.
elements the steel contains, the Time: The volume contraction is mostly be-
larger deformation. ing processed in the initial period of the tem-
The volume of nitrided
layer expands. per process and will begin stabilizing after 1
The higher nitriding temperature
and longer nitriding time, the
to 2 h.
larger deformation. Pressure: When the workpiece is being
pressed during the temper process, its shape
The higher nitriding potential, can be fixed due to the function of its elastic
the larger deformation. stress being relaxed. The typical example is
the tempering of a piston ring. The method
The worse uniformity of nitriding involves keeping the notch opening by iron
layer, the larger deformation. mass during the temper process. Under the
same principle, the workpieces can be flat-
Effect of residual stress caused tened after the temper process, during which
by machining.
Internal stress they are pressed (Fig. 40).
before nitriding.
Effect of the prestress relieving Influence of the Deep Freezing Process.
Distortion of When quenched steel is cryogenically treated,
nitrided workpiece. Effect of loading method the retained austenite will transform to marten-
Creep caused by the site. Thus, the size of the workpiece will have
weight of workpiece. only a little expansion, and the size stability of
Effect of fixture design
the workpiece will be raised.
The thinner wall thickness, the Influence of Stabilization. Temper makes
larger deformation due to the the microstructure of steel stable and reduces the
volume expansion of nitrided layer. residual stress (or make the stress state stable),
which can improve dimensional stability. In
The greater difference of wall most situations, the dimensional stability can
thickness, the larger deformation
during nitriding. be obtained only through a temper process.
Shape factor Some precision tools tempered at a low tem-
The worse shape symmetry, the perature, however, need to be heated several
larger deformation during nitriding. times, for an extended period, and kept at a
temperature slightly below the temper tem-
The worse rigidity, the larger perature. Low-temperature aging can reduce
deformation due to creep. the residual stress while stabilizing the re-
tained austenite to increase dimensional sta-
Fig. 41 Distortion of tube-type parts after carburizing and quenching
bility of precision tools.
Effect along the direction Factors Affecting Chemical Heat

of gravity.
Treatment Distortion
Effect on the gravity
of workpiece. Effect on the weights
of other workpieces in Factors Affecting the Distortion of a Car-
the same furnace. burized Workpiece. Besides shape, quenching
Effect on the heating methods, quenchant selection, and hardenability,
uniformity. other factors relevant to the carburizing process
also can influence the final size and shape of the
workpiece significantly:
Effect of loading tools Effect on the cooling Surface carbon content and carbon concen-
on heat treatment uniformity.
distortion
tration distribution of carburized layer: Sur-
face layer with high-carbon content has a
lower martensite-transition point, greater
Effect on the homogeneity amount of retained austenite, and larger vol-
of chemical heat treatment
case.
umetric increase during martensite transfor-
mation. Transformation stress of carburized
parts varies with case carbon content and car-
Effect on the stability of
bon concentration distribution in the carbu-
loading/unloading. rized layer.
Case depth of carburization: The deeper the
Fig. 42 Effects of loading tools on heat treatment distortion case depth of carburization, the greater the
transformational stress after quenching, and Quenching methods after carburizing: Dis- Heterogeneous case depth or local carburiz-
the greater deformation of the parts tortion of carburized parts through direct ing: Heterogeneous case depth or local car-
Control accuracy of carbon potential: The quenching is usually less than that through burizing will result in nonsymmetrical distri-
more accurate the control of carbon potential reheating and requenching because of less bution of structural stress and, therefore, lead
is, the more consistent the deformation of car- times of heating and cooling in the former to distortion.
burized parts will be. process.
Carburizing temperature and time: Defor- These factors, along with the size and shape of
Core hardness of carburized parts: Core the parts, result in the distortion of carburized
mation caused by creep increases as carburiz-
ing temperature and time increase, and the in- hardness reflects the degree of hardening. and quenched parts. For example, distortion pat-
fluence of temperature is more significant. With the increase of core hardness, the de- terns of tube-type parts after carburizing and
Therefore, for carburizing parts with thin wall formation changes from being caused by ther- quenching are described as follows.
or shallow case depth, the carburizing tem- mal stress to that being caused by transfor- Distortion of low-carbon steel or low-carbon
perature should be lowered. mational stress. alloy-steel-tube-type parts with a wall of 5 to 15
mm (0.200.60 in.) thickness after carburizing
and quenching is shown in Fig. 41. The bore
tends to shrink. Larger bore diameter and deeper
case depth will result in greater shrinkage of the
bore. The height and outer diameter of tube-type
parts are generally reduced slightly (their reduc-
tion is smaller than that of the bore). When the
bore has key grooves, carburizing and quenching
will result in the width reduction of the key
grooves.
Distortion tendency of gears after carburizing
and subsequent quenching is illustrated in Table
18.
Factors Affecting the Distortion of Ni-
(a) (b) (c) (d) trided Workpiece. Nitriding is a method of heat
treatment that causes the least distortion. In in-
Fig. 43 Comparisons of the distortion of slender shaft resulting from gravity. (a) Large distortion. (b) Medium distortion.
(c) Little distortion. (d) Illustration of universal joint hanger dustry, nitriding is used on many important pre-
cise machine components, which have rigid re-
quirements of deformation. Factors influencing
16 the distortion of nitrided parts are described sub-
sequently.
100 Effects of Auxiliary Equipment and

Loading Methods on the Final
12
Shape of Components
Effects of loading tools and arrangement pat-

terns on the final heat treatment distortion are
20
90
(a) (b)
Di Do
3 120
(c) (d) Incorrect Correct

Fig. 44 Supporting pattern of shaft gear in furnace Fig. 45 Loading methods of a gear

Continuous and Centrifugal Casting
Processes
D.-Y. Ju, Saitama Institute of Technology, Saitama, Japan
DETERMINATION OF RESIDUAL nearly up to the melting temperature, and unified tions. The material behaviors at lower tempera-
STRESS in manufacturing processes incorporat- constitutive models are desirable for describing tures were also examined to cover a wide range
ing solidification, such as casting, welding, and characteristics of both inelastic solid and viscous of temperatures. The temperature variation along
so on, is important for evaluating the mechanical fluid (Ref 710). Studies of constitutive rela- the gage length was controlled within 2 C.
properties and strength of materials and to opti- tionships at high temperature have been carried The heating rate of the specimen was nearly 8
mize manufacturing conditions (Ref 14). How- out by many researchers (Ref 1114). In partic- C/min, and the test was started after the tem-
ever, residual-stress formation depends not only ular, many constitutive models for creep and perature was held for 60 min. The tension tests
on the thermomechanical behavior and process- plastic behavior under some loading paths below were made under strain-controlled condition
ing effect due to the variation of microstructure 700 C have been developed in the 1970s to with the strain rates of 1.0, 0.1, 0.01, and
and macrostructure during manufacturing of ma- 1990s (Ref 1522). However, it is necessary to 0.001%/s. In the creep tests, several stress levels
terials, but also on the interaction of heat con- verify whether these models are applicable to below the yield stress were employed.
duction, change of phase transformation due to mechanical behavior at high temperature close
solidification, and stress/strain. A unified con- to the melting point. Therefore, the authors first
stitutive model (Ref 5, 6) that describes variation carried out tension, creep, and cyclic loading
of the mechanical behavior from viscous fluid to tests for type 304 austenitic stainless steel from
solid and the mixture domain in the material due room temperature to melting temperature, and Table 1 Chemical composition of SUS 304
to solidification is necessary. This article pre- strain rates depending on flow stress and strain- Element Composition, wt%
sents some developments in thermomechanical hardening behavior were investigated.
Carbon 0.08
theory and numerical analysis method incorpo- Some typical inelastic constitutive equations Silicon 0.59
rating solidification of material to simulate the based on unified constitutive theory, such as the Manganese 1.00
residual-stress formation during casting. A uni- types of Perzyna and Bodner as well as the su- Phosphorus 0.032
fied inelastic constitutive relationship capable of Sulfur 0.005
perposition model, are used to describe high- Nickel 8.26
describing both elastic-viscoplastic solids and temperature behavior and are compared with the Chromium 18.30
viscous fluids to simulate the casting process is test results. The material parameters in the equa-
proposed and verified by experimental and nu- tions were identified by the data of tension tests
merical results. A proposal based on the finite- to simulate the creep and cyclic stress/strain be-
element method to combine temperature and Table 2 Room-temperature mechanical
havior for verification of the models.
properties of SUS 304
stress fields as well as deformation during solid-
ification is also presented. The mechanism of Property Value
Experimental Procedure
residual-stress formation during continuous and Yield stress (ry), MPa 274.4
centrifugal casting can be represented using Axial load and displacement (or strain) must Tensile strength (rs), MPa 607.6
simulation. The thermomechanical modeling Elongation (), % 62.0
be controlled in tension and creep tests, and the
was also verified by comparison with the exper- controlled value should be changeable indepen-
imental data, such as the measured residual dently of the time interval. A SUS 304 steel with
stress and variation of casting temperature. melting point of 1399 C was tested. The chem- M20X2.5
10
ical compositions of material and the mechanical
Inelastic Behavior and Unified properties at room temperature are shown in Ta-
bles 1 and 2, respectively. The specimen was
Constitutive Theory of Metallic shaped into a solid cylinder with two lugs as
Material in Solidification shown in Fig. 1. GL 50
Four temperature levels, that is750, 900, 33 104 33
When dealing with the high-temperature pro- 1000, and 1200 Cwere chosen for the exper-
cesses incorporating solidification, it is impor- iments since the authors were interested in the 170
tant to know the mechanical behavior of material material behavior at high-temperature condi- Fig. 1 Shape and dimensions (in mm) of the specimen
be designed as a dismountable locating pedestal

if necessary. The surface of the locating pedestal
and parts should be machined to be smooth.
NH3
For some easily deformed parts with walls of
heterogeneous thickness, properly designed aux-
iliary fixtures can improve heating and cooling
3 uniformity, and therefore, reduce heat treatment
1 distortion. As mentioned previously, while
quenching of 1045 steel stop ring, a sleeve un-
2 derneath during quenching can significantly re-
4 duce distortion (Fig. 48).
Effect of Loading Methods on the Unifor-
mity of Chemical Heat Treatment. During
chemical heat treatment, loading tools and load-
ing methods will affect case homogeneity, which
is also an important cause of heat treatment dis-
A A
tortion. Well-designed baskets and properly dis-
tributed workpieces can make furnace gas flow
evenly, and therefore improve case homogene-
ity, as shown in Fig. 48. For another example,
in unimproved furnaces, as shown in Fig. 49, the
bolts used in a plastic machine are nitrided in a
A-A
pit furnace. Gas flow around the bolt is rather
heterogeneous because of the small size of the
furnace chamber, unevenly distributed interface,
and one side of the bolt being closer to the fur-
nace wall than the other. As a result, bending
deformation of nitriding bolts is beyond the tol-
Fig. 49 Schematic of the unimproved layout of bolt nitriding. (1) furnace chamber, (2) ammonia inlet, (3) parts, (4) erance limit. In the improved design, as shown
heater in Fig. 50, the following measurements are
adopted:
Enlarging chamber volume
Installing centrifugal impeller on furnace lid
Adding a diversion tank in furnace chamber
These improvements greatly improve atmo-
5 sphere and heating uniformity, and therefore, the
distortion is controlled within the tolerance limit.
Function of Forced Distortion Devices in
4 Heat Treatment. Some devices employed in
quenching can control the workpiece distortion
by use of internal stress emerged in heat treat-
ment, though they exert no external force on the
3 workpiece. For example, in Fig. 13, a workpiece
with a groove in the end face was quenched with
6 the groove upward, and groove width shrank ev-
idently. If a smooth steel block is plugged in the
groove, which is heated and quenched with the
parts, and then taken out after subsequent tem-
2 pering when stress relaxed, distortion can be
greatly reduced.
In actual production processes, to avoid bend-
ing distortion, quench press machines are used
to quench parts such as gears, friction plates, and
even butterfly springs formed during quenching.
1 Moreover, for mass production of disk gears,
quench press machines are also applied to the
quenching treatment.
The disk gear shown in Fig. 51 was quenched
in a pulsating quench press machine. At the same
time, end face warpage and bore distortion were
corrected. The compressive forces were (Ref 4):
Ring pressure at position B: 11,740 N (2,639
lbf)
Pressure at position A: 16,003 N (3,598 lbf)
Schematic of the improved layout of bolt nitriding. (1) guide flow tank, (2) furnace chamber, (3) guide flow Expansion pressure at position C: 3,910 N
Fig. 50 (879 lbf)
ring, (4) annular ammonia inlet, (5) furnace lid, (6) fan
All of the properties and quality of the quench

A B
press machine, the design and manufacture qual-
ity of the compression die, the magnitude of
compressive force, and so on, will contribute to
the distortion of the workpiece quenched by a
press machine, as shown in Table 19.
32
REFERENCES
C 18
1. Z. Peiyu, The Control of Heat Treamtment
Distortions of Common Machine Parts, Me-
chanical Industry Publisher, Beijing, China,
D 110 1990
2. X. Dawei, F. Zhijun, and X. Huizhi, The Heat
220 Treatments of Fine Long Parts, Mechanical
Industry Publisher, Beijing, China, 1991
Fig. 51 Disk gear quenched in pulsating quench press machine. (A) pressure from outer hold-down ring, (B) pressure
from inner hold-down ring, (C) pressure from expansion heap, (D) pressure from bottom die ring 3. Y. Lunian, The Control of Distortion in Steel
Heat Treatments, Mechanical Industry Pub-
lisher, Beijing, China, 1987
Table 19 Factors affecting workpiece distortion quenched by press machine 4. Heat Treatment Handbook, 2nd ed., Vol 2,
Heat Treatment Institute of China Mechani-
Factor Influence cal Engineering Society, Beijing, China,
Unsuitable fit between conical expansion rod and cone face of central die Elliptical bore 1991
Untidy work surface of central die or gear bore surface Elliptical bore 5. Heat Treating, Cleaning and Finishing, Vol
Inadequate dimension of central die and limiting ring or inappropriate dimension of limit Elliptical bore
ring
2, Metals Handbook, 8th ed., American So-
Insufficient pressure of central die Elliptical bore ciety for Metals, 1964, p 18
Excessive pressure of central die or oversized inner diameter of limiting ring Nonsmoothness of inner end surface 6. G.E. Totten and M.A. Howes, Steel Heat
Insufficient pressure of inner hold-down ring Nonsmoothness of inner end surface Treatment Handbook, Marcel Dekker Inc.,
Excessive pressure of outer hold-down ring Nonsmoothness of inner end surface
Excessive taper of lower mold surface Nonsmoothness of inner end surface
New York, 1997
Insufficient pressure of outer hold-down ring Nonsmoothness of outer end surface
Excessive pressure of inner hold-down ring Nonsmoothness of outer end surface
Inadequate taper of lower mold surface Nonsmoothness of outer end surface
Source: Ref 4
Effects of Process Equipment Design

F.T. Hoffmann and T. Lubben, IWT Foundation Institute for Material Science, Germany
R. Hoffmann, IVA Industrieofen, Germany
K. Heess, Karl Heess GmbH, Germany
IN MANY CASES, fabrication of parts ends facturing process but a property of the whole Identification of Distortion
with a heat treatment process to set the required manufacturing system. Thus, it has to be seen as Generating Process Equipment
properties. Unwanted effects that may appear af- a system property of the whole manufacturing
ter the heat treatment process are dimensional process, including:
alterations and distortion as a result of a process- Distortion can be increased by different steps
induced inner stress state of the parts. The origin Construction: Construction prearranges the of heat treatment processes. In the majority of
of the stresses may be in each part of the manu- distortion potential. This means the liability cases, quenching steps are brought into connec-
facturing process of the parts (i.e., construction, to changes in shape and form (e.g., by tion with the generating of distortion because
production process of the material, manufactur- changes in cross sections materials selection). quenching is the last step of the process. How-
ing processes, and heat treatment processes) be- Steel producing: Melting and solidification ever, a high amount of distortion will be gener-
tween and at the end of the production process. and the following deformation processes ap- ated before quenching or cooling is started. To
Further on stresses generated in different stages point the local inhomogeneity of the chemical avoid or to minimize distortion, it is important
of the production process can additively or com- composition, which result in a local different that the parts being heat treated are heated and
pensatively superpose during the manufacturing transformation behavior. This leads to differ- cooled uniformly so that a homogeneous tem-
process. At the last heat treatment will be the ent microstructures and so to a inhomoge- perature distribution results over all the cross
production process that will release the residual neous distortion behavior, in extreme cases, sections. On the other hand, if cooling and heat-
stresses as distortion. Distortion can increase to to crack formation. ing are as homogeneous as possible, but the
such an extent that the parts can no longer be Forming: The state of microstructures and re- component is very inhomogeneous (chemical
used, or that at least reoperation processes will sidual stresses in a part is influenced by the composition, microstructure, residual stress state
be necessary. These additional necessary pro- state of the material (chemical composition, before heat treatment) or the shapes of the parts
cesses will be costly because they have to be inhomogeneity of the microstructure, segre- show very different transverse sections, bores,
done in the high-hardness state after finishing the gations, etc.) before forming and by the de- holes, and so on, distortion will not be avoided
heat treatment processes. Accordingly, more or formation parameters. They influence the fol- without using special methods such as press
less material has to be charged so that the dis- lowing machining operations and the quenching. Therefore, if there are problems deal-
tortion, which is to be expected, can be adjusted ing with distortion and there is the presumption,
subsequently appearing distortion and dimen-
by, for example, partial grinding operations. that distortion could have been released by
sional alterations:
The exact knowledge of the overmeasures is
equipment, it should be checked simultaneously
Machining: Machining (turning, milling,
of high importance because too small additional if material or shape could also be responsible for
drilling) adds specific distortion potentials to
measures will lead to defective goods. On the the failure.
the distortion system by generating mostly in-
other side, too high overmeasures will increase With respect to the process and the equipment,
homogeneous residual stress states.
a general remark is that heating and cooling must
the costs. The results are higher grinding costs Heat treatment: Heat treatment implies a spe-
and an increase of the heat treatment costs. For be done as uniformly as possible.
cific distortion potential. As a finishing manu-
instance, carburizing time has to be increased to facturing process, it releases the total distor-
set a higher carburizing depth. Another problem tion potential, accumulated as residual
is that distortion will differ from part to part and
General Possibilities to Influence
stresses, inhomogeneities of material, and mi-
that the scattering of the values is based on mul- crostructure up to this moment, as dimen-
Distortion Generation by Process
tifarious reasons. sional alterations and distortion. The origins Equipment
Distortion as a result of the manufacturing of distortion are quite complex and connected
process is not a new problem. It is documented with the total manufacturing process and Distortion is generated by elastic and plastic
in literature broadly and has been the subject of should not be attributed solely to the heat deformations during the production process of
research work in various technical fields. How- treatment process. the part. Origins may be an inhomogeneous mi-
ever, the state of the art is very inhomogeneous crostructure of the material due to its metallur-
and conclusions cannot be made, or only with Therefore, to minimize distortion, the whole pro- gical history or nonuniform or unbalanced con-
unacceptable uncertainties. duction process has to be observed. In the fol- ditions during heating or cooling processes
A new starting point to minimize distortion is lowing chapters, the heat treatment process, and during the manufacturing process.
the awareness that distortion is not only the prob- especially the influence of process equipment, The former case cannot be influenced by nor-
lem of the material or a single step in the manu- are discussed mal process equipment. Beyond this, these in-
homogeneities are unidentified if the quality distance to the batch is especially important at face near cross sections that will pick up carbon
control has not been done sufficiently. point-shaped heat sources. transform to austenite.
Gas Atmosphere. Heat transfer into the parts Special Problems of Pit-Type Furnaces. At-
is induced by enforced convection. Gas velocity mosphere homogeneity in a furnace is a prereq-
Influences of the Heating System at the surface of the parts, homogeneity of the uisite to avoid unequal case conditions during
gas velocity at the surface and in the inner re- thermochemical treatments and so prerequisite
The insulation of the furnace has to be uni- gions of the batch, and differences of the velocity to avoid distortion. To reach a good homoge-
form. Cold spots may lead to an undershooting in the inside and outside of the batch will influ- neity the flow field must be optimized. In the
of the dew point, which will result in the for- ence the heat transfer and, therewith, the tem- case of pit-type furnaces, this can be done by
mation of moisture. Also, the insulation material perature homogeneity. Theoretically, more uni- guide cylinders. If the length to diameter ratio of
has to be fitted to the atmosphere to avoid side form conditions should be reachable by baffles. the furnace is small (1:1 or 2:1), there is no need
reactions between atmosphere and insulation Because of the high temperatures, however, only for such a measure. But, at higher ratios, guide
material. Otherwise, the local homogeneity of simple-shaped constructions can be used. Opti- cylinders are necessary to receive a uniform at-
the treatment may be influenced negatively, mal rules of design cannot be applied. mosphere distribution. Further improvement at
which may lead to an inhomogeneous impact of Thermocouples. The location of thermocou- higher temperatures (e.g., carburizing) is achiev-
the atmosphere to the parts (e.g., followed by ples must allow for correct temperature mea- able by usage of gas lances. At low temperatures
inhomogeneous carbon content in the case of surement; the tip of the thermocouple has to be (e.g., nitriding), stronger fans can be used.
carburizing or oxidizing in protective atmo- placed near the workpieces in the furnace. It has Special Problems of Vacuum Furnaces.
spheres). In turn, this will influence the transfor- to be exposed to the same heating environment Temperature homogeneity is predominantly de-
mation behavior and may increase distortion as these pieces. The uniformity of the tempera- termined by the disposition and layout of the
during the quenching or cooling step of the pro- ture in the furnace must be checked before in- heating elements. The number of the heating de-
cess. stalling control thermocouples. vices is substantial for the equability but also for
Heat Irradiating Areas in Ratio to the Size Special Problems at Thermochemical the costs. Thus, depending on the size and con-
Treatments. The revolution of the process gases struction of the furnace, a minimum number is
of the Batch. If parts are located too closely to
serves only for equalization of the atmosphere. necessary. Charging with large distances be-
heating devices, local differences in temperature
It is not strong enough to manage a good tem- tween the parts in too-large furnaces will be
may occur. Different temperatures will influence
perature equalization. The limitation of the de- good for homogeneous heating but worse with
locally the carburizing or nitriding behavior in
gree of revolution is given by the strength of the regard to the costs.
the case of thermo-chemical processes or in the
transformation behavior if temperature differ- fan material. Metals have a low strength at pro-
ences result in a different amount of solved al- cess temperature, and carbon fibre composite Influences of the Quenching System
loying elements. These inhomogeneities pro- (CFC) materials are not usable in conjunction
mote distortion. Therefore, the ideal distance of with oxygen-containing atmospheres. Inside a Quenching is the most dangerous process step
heating devices from the batch should be as far furnace it has to be distinguished between low- of heat treatment to generate distortion. Thus,
away from the parts that approximately a 15 and high-temperature areas. The limit will be at nonuniform agitation/quenching or nonuniform
radiation angle still can be realized. However, it approximately 700 to 800 oC (12901470 F). circulation of quenchant around a part results in
should not be closer to the parts than 150 mm (6 Above this temperature, radiation will be the inhomogeneous cooling rates that create shape
in.). main heat transfer mechanism, and this is the main distortion. The extent of distortion also increases
If this rule of design is fulfilled, the usable reason that revolution will not enhance the tem- with the intensity of cooling. As discussed pre-
space will be significantly bigger than the work- perature uniformity. viously, however, uneven hardening, with the
space, and bigger parts than allowed for ideal Hot and cool spots must be avoided. Hot spots formation of soft spots, increases distortion.
will result in a higher dissociation of the process Similarly, uneven case depths in case-hardening
charging can be used. In respect of ideal heating
gas; at cold spots, soot can be formed. Local dif- steels have the same impact.
conditions for a uniform heat treating a furnace
ferent gas compositions may lead to differences As a general rule, cooling should be done as
should not be overloaded. The ideal size of a
in element profiles, and soot on the parts will slowly and as homogeneously as possible. When
charge will be smaller than the potentially usable
hinder the carbon transition. Both effects influ- quenching in fluids, there should be a good rev-
space. Thus, an unfavorable charging is prepro- ence the transformation behavior of the material olution of the quenching media also within the
grammed, also in respect of the operating effi- during quenching and, therewith, distortion be- batch. Influences by charging should be consid-
ciency of the process. havior. A further influencing parameter on at- ered as well, for example, the hardenability of
A furnace, if not constructed as a tube, has six mosphere homogeneity is the disposition of the the parts, their form and size, and their distances
sides. Normally, only two sides are stoked. The gas-inlet points. Atmosphere uniformity must be from each other (batch density). The composi-
temperature homogeneity can be enhanced by reached before the atmosphere comes into con- tion of the charge will influence distortion
heating more than two sides. However, this will tact with the parts to be heat treated. greatly, too.
not be possible for all areas; for example, spe- As mentioned previously, for the uniformity Forces by the self weight of the parts can de-
cific problems will occur at walls with feeding of the carburized layer, temperature and atmo- form the parts if they are not held up sufficiently.
units. Also, temperature inhomogeneities can be sphere homogeneity are responsible. However, In dependence of the shape of the parts, weight
caused by metallic parts forming a temperature the choice of treatment temperature also may be forces are dependent on the manner of charging.
dip. In addition, each flange worsens the tem- of high influence (e.g., if parts with differences Long, slim parts, therefore, should be hung. If
perature homogeneity. Inner doors are thinner, in cross section should be carburized or carbo- parts have to be laid down, they must be sup-
in consequence of their function. It has to be con- nitrided to small carburizing depths). High tem- ported sufficiently.
sidered that the heat loss in areas with doors is peratures in connection with those geometries Grids. Metallic grids will not stay even,
higher than in the better-insulated surrounding can result in high temperature differences. As a which also can influence distortion by weight
areas. result, overcarburized spots and spots with too- forces (gravity). In consequence of uneven grids,
Number and surface area of the heating de- low carburizing depths will occur. In these cases, the charge will not stay in a plane. When distor-
vices influence the temperature homogeneity by low carburizing temperatures offer higher uni- tion of a grid increases, it can be turned. Dense
the necessary surface temperature to reach the formity of carburizing depth, but longer treat- charging will cause the same behavior as the be-
desired batch temperature. The surface tempera- ment times are necessary. Additionally, large havior of a large compact part. Therefore, the
ture of the heating devices should not exceed that sections of the parts stay ferritic during carbu- inner areas of the batch will be cooled down
of the batch temperature by more than 30 K. The rizing and will not be hardenedonly the sur- more slowly than the outer regions.
382 / Residual Stress Formation During Manufacturing Processes
the pouring molten metal is 3 s. Mechanical pa- outer surfaces, where solid lines represent the development of solidification is represented in
rameters of the alloy as shown previously also results of coupled calculation that considered the Fig. 35. Compared with the data of volume frac-
are employed. heat supply of stress power, while dashed lines tion of solid shown in Fig. 34, stress in liquid
The same thermal radiation coefficient g are the uncoupled results without effect of stress state, in fact, vanishes, while drastic variation of
7.028 107 cal/(mm2 s K4) is used for two power. the stresses is observed in the mushy zone be-
models, and the radiation condition is situated The simulated temperature is compared with tween liquid end and solid front. Simulated re-
on the inner surface of pipe. In model I, heat experimental results represented by open circles sults of the residual stresses are plotted in Fig.
insulation condition is assumed on both sides of measured by radiation thermometer. Figures 33 36 when the cast region and mold cooled down
the model, while it is also imposed on the outer and 34 depict the distributions of density and to room temperature at t
.
surface of the mold in model II. volume fraction of solid in radial direction as the Results for Model II. Figure 37 shows the
parameter of time. From the results, it can be temperature distribution at different time steps.
Results of Numerical Analysis seen that the cooling rate on the inner surface Figures 38 and 39 represent the variation of den-
tends to be slow because of the latent heat gen- sity and volume fraction of solid. It follows from
Results of Simulation for Model I. As the eration due to solidification, while the rate be- the results that the variation of temperature, den-
result of temperature, lines in Fig. 32 show the comes larger after the solidification was com- sity, and volume fraction of solidus in the corner
temperature variations with time on the inner and pleted. The distribution stress associated with of model II is increased very rapidly due to cool-
v = 60 mm/min v = 75 mm/min v = 80 mm/min 50
Stress (z, ), in solid shell, MPa

0 r = 120 mm
45
w l = 115 mm

30.1 MPa
40
200
Distance from meniscus (z), mm
35
z
400 30
2.76 MPa
3.51 MPa
MPa
a
a
Pa
MP
MP
Pa
25
MPa
76.2 M
2.5
55 70 85 100
98.7 M
5.0
.2
5
83
600 Casting speed (v), mm/min

99.5
7
23.7 MPa
23.4 MPa
27.6 MPa
a
Pa
MPa
MP
Relation between stresses at the center of ingot

32.1 MPa
Fig. 28
Pa
31.6 MPa
.0 M
and casting speed

164 M
6.0
Pa
8
Pa
6
12
800
12
12
169.1 M
167.2 M
60
1000
Stress in solid shell, MPa
0 24 48 72 96 120 0 24 48 72 96 120 0 24 48 72 96 120

Radius (r ), mm Radius (r ), mm Radius (r ), mm 40 z
Fig. 26 Stress distributions (rh) for different casting speeds

20
w l = 112 L/min w l = 142 L/min w l = 245 L/min
0 0 0
0
70 90 110 130 150
Discharge of cooling water (wt), t/min
11.0 MPa
9.9 MPa
Fig. 29 Relation between stresses at the center of ingot

10.9 MPa
and discharge of cooling water. V 80 mm/

min. z 112 mm
57
2
55.
.7
500 500 500

Ladle
Molten pool
86
.5
35.4
10
1.7
4.0
Metal mold
10
129.0
80.7
126.0
113.0
35.7
46.7
82.5
1000 1000 1000 20 Bearing

0 150 0 250 0 300
Radius (r ), mm Radius (r ), mm Radius (r ), mm
Fig. 27 Stress distributions (rz) dependent on effect of ingot diameter and cooling water rate. V 80 mm/min Fig. 30 Schematic of centrifugal casting
smooth-surface or expanding mandrels, can be workpiece dissociates from the mandrel again. However, the expanding mandrel is substantially
partially lost since the free-cut cog or gear re- As a result, deformation can appear again during more expensive to produce than a standard type
gions do not mesh precisely with the mandrel the generation of martensite. Plastic deformation fixed mandrel; if the expanding mandrel is not
employed. of the workpiece during the martensite genera- produced to conform with precise dimensional
Another problem typically encountered in the tion cannot be prevented through the use of a tolerance limits, there will be a substantial ad-
hardening of fully hardenable workpieces is a solid mandrel. verse effect upon the dimensional precision of
substantial volume increase as a result of the for- In order to eliminate the difficulty just de- the end product. In addition, the diameter vari-
mation of a martensitic structure throughout the scribed, an expanding mandrel system is com- ability of expanding mandrels is very limited,
entire workpiece, which in turn, leads to an un- monly employed, which allows a slight variation because if mandrel-segment radii and workpiece
desirable expansion. As a result, during the first of the diameter (Fig. 3). Through the expansion radii were different, they would touch tangen-
part of the quenching process, the workpiece of the segments of the mandrel over a cone, the tially only. Through the applied force, the work-
shrinks on the mandrel, and when the Ms point workpiece, while undergoing martensitic struc- piece maintains a polygon-shaped inner diame-
(the temperature at which martensite starts to ture generation, has its inner diameter pressed ter, determined by the number of segments (as a
form from austenite on cooling) is attained, the out round as a result of plastic deformation. general rule, from 5 to 10 segments).
In accordance with the specific geometry of
Smooth mandrel the workpiece to be treated, fixture components
in addition to the mandrel may be employed,
such as mounting and support rings, down hold-
ers, or devices for applying force to the outer
diameter. These components usually are used
only in combination with solid mandrels since
the simultaneous application of force to the inner
and outer diameters at the same time can result
in undefined dimensional variations. Pressure to
the outer surface is frequently applied to work-
pieces, which, owing to their constituent mate-
Fixed mandrel Expanding mandrel
rials and/or geometries, undergo a significant in-
crease of their internal diameter in the course of
Toothed mandrel
the structural-transformation procedure.
Particularly in the case of thin-walled rings,
often it is not possible to obtain the required lev-
els of both shape and dimension stability in con-
ventional fixture-hardening systems without the
application of pressure to the outer surface of the
workpiece undergoing treatment. Figure 4 shows
schematic representations of fixtures for use in
the hardening of various types of ring-form
workpieces. The final decision regarding the use
of a fixture-hardening system is conditioned pri-
marily by the degree of precision that is required
of a given end-product workpiece.
Basic fixing Flank fixing As noted, both the material of which the work-
piece is composed and its specific geometric
Fig. 3 Digest of actual mandrel system at press quenching
configuration are important factors in this con-
text. Other factors also have an essential influ-
ence on the accuracy of the hardened work-
pieces. Thus, for any given workpiece, it is
critical to establish precise values for amount of
compressive force to be applied, cooling time,
and handling time.
Programmable control units, operating in con-
junction with personal computers, make possible
Synchronizing cone Ring gear the convenient storage of workpiece- and mate-
Fixed mandrel receptacle with Expanded mandrel receptacle rial-specific treatment parameters in a database.
retention and mandrel with separated retention
ejection device
In such an automated system, any significant
variations from production charges can easily be
evaluated and effectively compensated.
In addition, in automated systems of this type,
it is possible to control procedures by comparing
actual values with desired values, which is of
vital importance from the standpoint of quality
control. The treatment of individual workpieces
Synchronizing ring Sliding sleeve
Receptacle on conical fixed Fixed mandrel takeup, at fixture-equipped processing stations also
mandrel with retention, conical with retention, mandrel makes it possible to establish workpiece- and
outer retracing, and ejection device, and optional material-specific data records, which would not
mandrel ejection device external pressing be possible in a system in which the simultane-
Fig. 4 Examples of fixtures for hardening of ring-shaped bodies ous treatment of an entire batch was carried out.
Residual Stresses in Nitriding

Z. Kolozsvary, S.C. Plasmaterm S.A., Tg-Mures, Romania
A NUMBER OF technological processes are from that of carburizing, and is practically based The compound layer is mainly responsible for
based on the diffusion of nitrogen in steel or of on a precipitation process. The greater the oc- the tribological properties of the nitrided/nitro-
nitrogen combined with other elements, includ- currence of uniform, finely dispersed precipitates carburized engineering components, whereas the
ing carbon, oxygen, and sulfur. The basic differ- of stable nitrides (of aluminum, titanium, chro- substrate with its diffusion layer provides load-
ence between nitriding and carburizing is that, mium, niobium, etc.), the higher the hardness in bearing capacity and improved fatigue proper-
in carburizing, the specific properties of the case the diffusion layer. ties. Structure, composition, and morphology of
against the core are obtained by a controlled car- Because of the high nitriding potential in the the compound layer cover a rather large spec-
bon-rich martensite in the diffusion layer. No nitriding atmosphere, however, a compound trum as a function of process parameters, and
difference occurs in the structural nature of the layer will almost inevitably form on the steel some discrepancies may be found in the litera-
case against the core, and all the property mod- substrate. This compound layer consists of c- ture concerning the properties of compound lay-
ifications may well be predicted considering the (Fe4N) and e-(Fe23N)-type nitrides on the sur- ers depending on their composition. The effect
changes in carbon content. (Carbide-forming face, rarely as a monophase layer. Modern tech- of oxygen in the layer and on layer formation is
elements modify only the hardenability of the nologies offer close process control, resulting in still being debated (Ref 15).
case and its stability.) a more or less monophase layer, or even bright To outline the problem of residual stresses in
Nitriding has a completely different mecha- nitriding (without a compound layer), but in in- nitrided/nitrocarburized layers, a short summary
nism. Due to the very low solubility of nitrogen dustrial practice duplex compound layers gen- of their structure and properties follows.
in iron, the nitrogen diffused in the surface layer erally are characteristic. This is especially true
will form nitride precipitates with iron (mainly for gaseous treatments, less so for plasma pro-
c-Fe4N) and with the alloying elements of the cessing. Simultaneous action of carbon and ox- Structure of Nitrided Layers
steel, according to their chemical affinity to ni- ygen results in mostly compact, hexagonal e-
trogen. The mechanism of hardening is different type, crystals with varying amounts of nitrogen Gaseous Nitriding in NH3-N2-H2 Mixtures.
and carbon, or nitrogen, carbon, and oxygen. Basically, nitrogen diffusion in steel results in a
A few characteristics are common to all ni- low-nitrogen ferrite according to the Lehrer
triding/nitrocarburizing procedures. First, the phase diagram (Ref 6, 7) and precipitated ni-
process temperature is between 450 and 570 C trides of the alloying elements, especially chro-
(840 and 1060 F), which means no austenitic mium, aluminum, molybdenum, and titanium.
transformation occurs and the structure remains The most desirable structure consists of fine, uni-
basically ferritic or, more exactly, in the ferritic formly dispersed nitride precipitates in the fer-
domain. Due to the lack of phase transformation, ritic matrix. However, due to the low solubility
no specific residual stresses appear. of nitrogen in iron, even with close control of
Second, this lack of phase transformation process parameters, some Fe4N occurs, mostly
means that the structure of the steel before ni- in the form of coarse nitride needles. Usually, a
triding strongly affects both the mechanical pa- brittle c-(Fe4N) compound layer also appears on
rameters of the treated parts and the stress-strain the surface, which is later removed by various
state after nitriding. Normalizing, annealing, and chemical or mechanical processes. These struc-
quenching and tempering will influence the sub- tures are obtained at low temperatures of 510 to
strate properties, as well as the post-treatment 530 C (950 to 990 F) with a subsequent slow
residual stress level and resulting deformation. cooling. Thus, residual stresses primarily origi-
Best results are generally obtained for quenched- nate due to the modification of chemical com-
and-tempered structures prior to nitriding, pre- position and crystal structure by precipitation in
suming the tempering temperature is higher than the diffusion layer (Fig. 1).
that of nitriding or nitrocarburizing. In this case, Nitrocarburizing (Ferritic). The combined
practically any influence of carbide precipitation, effect of nitrogen, carbon, and oxygen results in
spheroidization, or carbide coagulation can be a mainly e-type or e c compound layer of 5
neglected. to 25 lm on the steel substrate, supported by a
Third, the low treating temperature also mod- diffusion layer. Contrary to gaseous nitriding,
ifies the thermodynamics and kinetics of layer the main purpose of nitrocarburizing is to im-
formation. The activity of the steel surface plays prove the tribological properties, and it can also
a determining role in the whole process; thus, be applied to unalloyed or low-alloyed steels. A
Coarse, needle-shape nitride precipitates in the machining and finishing operations may influ- certain amount of porosity in the compound
Fig. 1
diffusion layer of low-carbon steel ence the stress-strain state of the surface layer. layer is generally present due to the mechanism
of layer growth. The hardness of the diffusion 1060 F), the increase in hardness is less promi- layer, but first of all that of the interface between
layer is given by the nitride precipitation phe- nent even for special alloy steels, as the precip- the compound layer and substrate (Fig. 5).
nomena in the matrix, just as for gaseous nitrid- itates are coarser and less uniformly distributed Plasma Nitriding and Plasma Nitrocarbur-
ing. However, because of the generally higher (Fig. 2, 3). izing. Plasma-assisted processes involve cath-
treating temperature (540 to 570 C, or 1005 to The interdependence of tribological/mechan- ode sputtering, which significantly affects both
ical parameters and chemical composition of the the interface (at the beginning of the process) and
compound layer is not completely elucidated. layer formation. Very accurate and close control
The nitrogen/carbon ratio in the e-type layer has of the process parameters in plasma nitriding and
been extensively investigated (Ref 6, 8, 9), but nitrocarburizing is possible, so different struc-
it remains difficult to provide accurate parame- tures and properties can be obtained. When a low
ters for industrial processes. The presence of ox- treating temperature (up to 510 C, or 950 F) is
ygen is also of utmost importance, increasing the maintained a thin but very hard layer will appear
layer growth rate due to increased surface activ- with extremely fine, dispersed nitride precipi-
ity (Ref 5, 10, 11). tates in the steel substrate. In this case, the com-
The problem of residual stresses is more so- pound layer is either very thin c-type or may be
phisticated in this case, because consideration avoided altogether. As in gaseous nitriding, such
must be given not only to stresses in the com- a process may only be applied for alloy steels
pound layer or in the substrate, but also to some (Fig. 6).
particular phenomena that appear in the interface For improved tribological properties, the com-
between the compound layer and the substrate. pound layer plays the key role. Different data are
Another important factor is the dissolution of available in the literature on the tribological
carbide particles in the e compound layer from properties of compound layers of different struc-
the pearlite grains of the substrate (Fig. 4). tures and composition (Ref 10, 11, 14, 15). There
Salt bath nitrocarburizing results basically in appears to be good agreement among the spe-
the same structure discussed above, but due to cialists that plasma-nitrided alloy steels will
the dissolution phenomenon in the bath an equi- show the best properties with a relatively thin,
librium in the layer growth process will occur but uniform monophase c compound layer on a
one that is dependent not only on the bath active hard substrate.
composition but also on its contamination, es- On the other hand, some researchers claim that
pecially with iron (Ref 12). Usually extremely the ductility and fatigue wear resistance of e-
fine salt inclusions also can be found in the com- nitrocarbide compound layers are better than
pound layers outmost film, as it may be ob- those of c. Usually the controversy finds its
served in studying the fracture toughness of roots in the fact that it is very difficult to control
compound layers (Ref 13). This dissolution pro- the porosity of the e layers, and this porosity has
Fig. 2 Microstructure of compound and diffusion layer cess modifies not only the stress state in the a negative effect on service properties. The most
in plain carbon steel. Gaseous nitrocarburizing,
570 C (1060 F), 2 h
Fig. 3 Microstructure of diffusion layer in low-alloy

structural steel. Gaseous nitrocarburizing, 570 C Fig. 4 Dissolution of carbide particles in the compound layer from the pearlite grains of the substrate. Transmission
(1060 F), 2 h electron micrograph (TEM)
favorable nitrogen/carbon ratio in the compound stresses as compared to those in carburized lay- an important role in properties of treated parts,
layer is not completely known, and the repro- ers. Due to the complex mechanism of hard- but that specific phenomena on the interface be-
ducibility of the case composition is rather prob- ening in nitriding (the presence of a compound tween the compound layer and substrate are also
lematic, even with up-to-date process control. A layer), investigations are more difficult and the critical.
certain amount of carbon may also be found in mathematical modeling must consider numerous
plasma-nitrided duplex compound layers (c factors. Compound Layer
e) due to the reverse diffusion of carbon from Most of the data in the literature are connected
the substrate into the compound layer. This retro- to the residual stresses in the diffusion layer, and Several theories related to the origin of resid-
diffusion may be very important on the interface, generally relate to gaseous nitriding. Surpris- ual stresses in nitrided layers associate these
where the e nitrides absorb important quantities ingly few data can be found on residual stresses stresses mostly with the diffusion layers (Ref
of carbon, causing even the dissolution of car- in nitrocarburizing, especially for compound 2225). The main causes of the residual stresses
bide lamellas from the pearlite grains in a ferri- layers. From the experimental data on tribolog- are considered to be:
tic/pearlitic substrate (see Fig. 4). Certainly, as ical and fatigue properties it is obvious that not
Changes in chemical composition in the dif-
plasma nitrocarburizing becomes a common only the compound and the diffusion layer play
practice, it is possible to obtain a monophase, fusion zone
Phase transformation in the diffusion zone,
compact e compound layer with an optimized
nitrogen/carbon ratio (Fig. 7 ac) (Ref 8, 16). and precipitation phenomena
Volume changes caused by the phase trans-
The residual stresses in the compound layer
and in the substrate are strongly connected to the formation and the growth of precipitates
Thermal effects due to different coefficient of
nature of compound layers. Whenever a thick,
more or less monophase e-type compound layer expansion during layer formation
is desired, the higher treating temperatures result The residual stresses connected to the com-
in less significant substrate hardness and in a pound layer formation are rarely considered;
lower residual stress level. The influence of a however, their effect on the fatigue limit of
compound layer on fatigue properties may not treated parts may be significant, especially if the
be neglected, however, as it reduces the stress film thickness of the layer is comparable to the
concentrators in the surface. total wall thickness (engineering components for
Slightly different phases appear when stain- precision mechanical applications). These resid-
less steels are plasma nitrided (Ref 7, 13, 17 ual stresses originate from:
21). The problem in this case is to obtain a si-
Volume changes during the formation of dif-
multaneous increase in tribological properties,
ferent phases in the compound layer
without significant loss in corrosion behavior.
Internal stresses caused by molecular nitro-
Passivated or oxide surface films offer only a
gen formation in the porosity
partial solution.
Dependent on process parameters, the porosity
is generally associated with the high nitrogen po-
Residual Stresses in Nitrided Layers tential for the e-type compound layer. This po-
rosity usually is concentrated at the outer zone of
Residual stresses and their computer modeling the compound layer, sometimes causing tensile
have been extensively studied for case harden- residual stresses to appear there (Ref 14, 26, 27).
ing. However, a rather limited number of papers Investigations have shown that compressive re-
deal with the problem of residual stresses in ni- sidual stresses exist in the compound layer dur-
triding and related technologies. No doubt one ing layer growth, and these stresses increase dur-
of the reasons for this is the lesser effect on dis- ing cooling as a result of the volume misfit
Fig. 6 Microstructure of plasma-nitrided low-alloy steel
tortions and generally lower level of these (18MnCr10). 560 C (1040 F), 8 h generated by different thermal expansion coef-
ficients of the compound layer and the diffusion
zone (Ref 28). These observations apply particu-
larly to c structures but are also true for compact
e structures.
The internal stresses in the compound layer
are of the second and third type (Ref 3, 29). Con-
sidering the definition of residual stresses given
by Macherauch et al. (Ref 29), residual stresses
of the third type are particularly important on the
interface, where they occur due to high disloca-
tion density at grain-boundary inhomogeneities
and to formation of the new crystal structure (e
or c).
Very few measurements of residual stresses in
compound layers are known, partly because of
technical difficultieseven by x-ray diffraction
(XRD) methodsand partly because the diffu-
sion layer seemed to play a more important role
in the residual stress state of the surface. In situ
measurements of residual stresses have been per-
formed for a c-Fe4N-type compound layer built
Fig. 5 Modified interface between the compound layer and substrate as result of carbide dissolution. TEM on a steel surface during gas nitriding (Ref 28).
Most of the data related to residual stresses in sions, are also found in the literature. Frequently, up to 200 MPa (30 ksi) were found on Armco
compound layers result from experiments in gas- the role of residual stresses in compound layers iron, whereas another found approximately 150
eous nitriding or plasma nitriding (Ref 27, 30 is considered of lesser importance, while other MPa (20 ksi) tensile or compressive stresses on
32). The combined effect of nitrogen and carbon, studies emphasize that the compressive stresses C45 steel. Rozendaal et al. (Ref 40) measured
and of nitrogen, carbon, and oxygen, has been in the surface will practically disappear with re- tensile stresses up to 800 MPa (115 ksi) in the
extensively investigated (Ref 9, 10, 3335), but moval of the compound layer (Ref 31, 39). outer zone of e layer, which decreased toward
these studies have focused primarily on their ef- As discussed in the article Material Factors the interface and changed to compressive stress.
fect on wear and fatigue behavior and less on the in this Handbook, significant differences appear In c compound layers, the same authors mea-
residual stress state. When considering the resid- in the structure and morphology of nitrided (ni- sured compressive stresses between 60 and
ual stresses in compound layers, the layer struc- trocarburized) layers, a function of the techno- 600 MPa (10 and 90 ksi). Oettel and Eh-
ture cannot be neglected. Structures of c or e- logical process. These differences are reflected rentraut (Ref 26) studied the residual stresses in
type (or, more exactly, pure c or mixtures of in the stress-strain state of the layers. However, compound layers of different nitrided alloy
c-e with different compositions) were investi- it is very difficult to obtain comprehensive and steels. According to their data, compressive
gated, with the aim of finding the most favorable reliable data on residual stresses in compound stresses between 350 and 1500 MPa (50
effect on fatigue behavior. Combined wear and
layers, and it seems even more problematic to and 220 ksi) are typical for c compound lay-
measure the residual stress state at the interface ers, whereas tensile stresses of 100 to 370 MPa
fatigue resistance is of critical importance for the
between the compound layer and the substrate. (15 to 55 ksi) characterize the basically e struc-
mechanical industry (Ref 7, 15, 17, 3638). In Most experiments have been performed using tures. However, compact e (pore-free) layers
terms of fatigue behavior, a particular aspect the XRD method for measuring the residual may show compressive stress values up to 580
may be connected to the penetration of the com- stresses, but this presumes chemical or mechan- to 800 MPa (85 to 115 ksi) at the inter-
pound layer into the substrate: Electron-micro- ical removal of subsequent films of the com- face with the diffusion layer. In general, thinner
scopic examination of nitrocarburized surfaces pound layer, certainly modifying its stress state layers presented higher stress values, which may
has shown that a significant removal of surface as well. In situ measurements of residual stresses be explained primarily by their more compact
defects resulted from the finishing process, thus in compound layers have been performed on gas- nature and also by a lesser effect of the sophis-
decreasing the stress concentrators that can ini- nitrided samples (Ref 28). ticated influence of the relaxation process during
tiate the first microcracks in long-cycle fatigue Data in the literature show a wide range of the long treating cycle.
phenomena (Ref 34). values for residual stresses, but it is generally Investigations performed by Spies (Ref 27)
Some discrepancies among the experimental agreed that tensile stresses appear in e compound with Cr-Mo, Cr-Mn, and Cr-Mo-V steels have
results, including their interpretation and conclu- layers. According to one study, tensile stresses shown stress values of 500 to 600 MPa
(70 to 90 ksi) in e-Fe(23)N compound lay-
Table 1 Residual stress distribution in the e and c compound layers ers of 20 to 25 lm and 620 to 720 MPa (90 to
105 ksi) for c. Increasing the treating time from
Residual stress(a), MPa (ksi) 16 to 32 h, a compound layer thickness of 20 to
Distance from surface, mm (in.) e-Fe23N c-Fe4N 30 lm caused no significant decrease in residual
0 (0) 54 (8) 48 (7) 327 (47) 393 (57) stress level. The most significant data are shown
0.005 (0.0002) 492 (71) 264 (38) 624 (90) 528 (77) in Table 1.
0.01 (0.0004) 594 (86) 721 (104)
0.015 (0.0006) 432 (63) 764 (111) All the available data indicate higher com-
0.02 (0.0008) 590 (86) 587 (85) 705 (102) 724 (105) pressive stresses in compound layers of pure c
0.03 (0.001) 640 (93) than in e or c e layers. According to Spies
(a) The residual stress values given for the same layer structure were measured for layer thicknesses of 22 and 25 lm on 31CrMoV9 steel treated at
570 C (1060 F) for 16 and 32 h, respectively. Source: Ref 27 (Ref 27), maximum residual stresses may attain
700 to 750 MPa (100 to 110 ksi) in c-
Fig. 7 Plasma nitrocarburized EN-9 (070M55) steel. (a) Microstructure. (b) GDOS carbon and nitrogen profile. (c) X-ray diffraction pattern at the surface (showing almost pure e-
phase). 570 C (1060 F), 3 h, 4 mbar. Source: Ref 16
Fe4N compound layers, whereas values of 550 compound layers has been little studied. Com- Formation of iron nitrides in the compound
to 600 MPa (80 to 90 ksi) were measured in e- puter modeling of compound layer formation, layer
Fe23N layers. In situ measurements in gaseous which is of crucial importance for the mathe- Dissolved nitrogen in the ferrite matrix of the
nitriding performed by Hoffmann et al. (Ref 28) matical formulation of stress patterns, was ini- layer
resulted in a slightly lower compression stress tiated in a few investigations (Ref 32, 41), but Precipitation of different nitrides in the dif-
level of about 450 MPa (65 ksi). The carbon the results fail to answer a number of basic ques- fusion layer
content of the substrate, especially the carbon tions. Both the kinetics of surface reactions in Decarburization in the diffusion layer
level in the compound layer, has a considerable nitriding and the thermodynamics of Fe-N-C Differences in thermal contraction between
effect on residual stresses; increased carbon con- have not yet been satisfactorily elucidated. The
tent results in an increased residual stress level the layer and the substrate during cooling
very good model proposed by Sun and Bell (Ref
(Ref 8, 28) (Fig. 8). However, the importance of Thermal volume misfits between the matrix
42) for the diffusion of nitrogen and the forma-
carbon in the compound layer is more empha- tion of nitride precipitates in the matrix also and precipitates, generating thermal residual
sized in e-Fe23(C,N) structures, due to the in- gives only a few indications for the compound stresses during cooling from the process tem-
creased solubility of carbon in the compact layers. perature. (These volume misfits originate
hexagonal e-Fe23N crystals (Ref 8). The ap- from differences in the linear thermal expan-
parently lower residual stress values in e-type sion coefficients of the precipitates and ma-
compound layers probably also can be explained Diffusion Layer
trix.)
by the ductility of this structure. As was discussed earlier, a number of studies
These observations pertain to gas nitriding, Thus, it seems logical that the residual stress
present different aspects of the residual stresses level increases with increased nitrogen content,
where the compound layer consists almost ex- in nitrided layers (Ref 14, 2224, 26, 28, 31, 32,
clusively of Fe4N nitrides. Very few data have respectively with increased number and volume
37, 4349). The mechanism of nitriding causes of the nitride precipitates. This was clearly
been published on residual stresses in nitrocar-
practically no differences in the phenomena in
burizing, where the compound layer consists shown in the experimental work of several in-
the diffusion layer function of the applied tech-
mainly of e-carbonitrides with some oxygen vestigators (Ref 26, 28, 32, 40, 44, 45, 50). It is
nology. Due to its low solubility in the ferrite
(Ref 6, 8, 10). also important to emphasize that the residual
Investigations have shown that compressive matrix, nitrogen will form Fe4N-type nitride nee-
dles or precipitates in the diffusion layer sub- stresses may attain a maximum value limited by
stresses appear in the compound layer due to vol- the thermal-induced creep phenomena. Higher
ume changes during e-crystal formation as a re- strate. The presence of alloying elements will
modify the composition of the nitrides, resulting values should cause plastic deformations and
sult of dissolved carbon from the matrix. This thus a reduction of the stresses (Ref 45). Maxi-
phenomenon is clearly shown in Fig. 9 (Ref 9). in nitrides and carbonitrides of the alloying ele-
ments (Ref 44, 45). The treating temperature mum stress levels are shown in Table 2. The
Due to the solubility of carbon in e-nitrides (car-
strongly influences both the structure and com- maximum compressive stresses are determined
bonitrides), the carbide particles of the pearlite
position of the nitrides, but basically the kinetics primarily by the nitrogen concentration and less
grains in the interface are dissolved in e-crystals;
thus, the compound layer is rooting in the sub- of diffusion layer formation will remain the same by the structural phase itself. Due to the maxi-
strate at the boundaries of pearlite grains. This for different industrial processes. Thus, the main mum of 0.1% nitrogen solubility in ferrite, the
phenomenon causes compressive residual causes of the residual stresses are connected to stress level cannot be higher than 250 MPa
stresses not only in the compound layer, but also volume changes in the layer due to: (35 ksi). In contrast to the development of re-
in the substrate in the interface region. It may
also be partly responsible for increased fatigue
resistance of nitrocarburized samples and for the
significant increase in surface fatigue resistance
when dynamic loading is combined with sliding
wear. According to the literature, the incorpo-
ration of carbon and/or oxygen in the layer does
not significantly affect the residual stresses in the
usual composition ranges (Ref 10, 33). This may
well be explained by the almost similar intersti-
tial influence on lattice parameters of these ele-
ments.
Mathematical modeling of residual stresses in
Fig. 8 Residual stresses in c-nitride during cooling

from the nitriding temperature to room tempera-
ture. Source: Ref 28 Fig. 9 Dissolution of carbides from pearlite grains of the subsurface region in the e-type compound layer. TEM
sidual stresses in carburizing, there is no signifi- taniumform a high-hardness case and high re- temperature on stress pattern (Ref 45).
cant influence of other factors associated with sidual stresses in the layer. A direct correlation Nitriding time also influences the residual
cooling (i.e., the changing solubility of nitrogen seems to exist between the microhardness of the stress profile. A long nitriding cycle produces a
in iron, or other thermal stresses associated with diffusion layer and the residual stress level (Ref deeper compressive stress distribution, but with
quenching). 49). Also, the higher the carbon content of the lower maximum values in the near-surface re-
Both the material composition and the process steel, the higher the compressive residual stress gion (Ref 37). The simultaneous stress genera-
parameters covering the treating temperature and level (Ref 28). This is illustrated in Fig. 10 (Ref tion and relaxation process can explain this, with
the nitriding potential influence the residual 45). the dominance of the relaxation in long treating
stress state of the nitrided steel. As might be ex- The process temperature has an important ef- time. The influence of treating time on the resid-
pected, the steel composition influences not only fect on the residual stresses, by its influence both ual stress pattern can be clearly seen in Fig. 12
the precipitates, but also the behavior of nitrogen on the diffusion rate and on differences in pre- (Ref 45).
in the diffusion layer. The effect of carbon con- cipitate formation during cooling. In situ mea- In Fig. 11 and 12, notice the specific decrease
tent must also be considered. Specimens con- surements of residual stresses during the nitrid- in residual stresses in the near-surface region,
taining a large amount of strong nitride-forming ing process revealed important data on not only which is caused first of all by the redistribution
elementssuch as chromium, aluminum, and ti- stress relaxation by plastic deformation during of carbon in the diffusion layer. In chromium-
nitriding, but also the influence of process pa- containing steels, an increase in carbon content
rameters on induction of residual stresses in both in front of the diffusion layer is observed, to-
Table 2 Influence of nitride-forming ele- the compound and the diffusion layers (Ref 28). gether with decarburization in the surface and
ments on residual stress The cooling process can be considered the most precipitation of cementite on the grain bound-
important step in generating residual stresses in aries (Ref 24).
Residual stress Residual stress the compound layer, whereas stresses are created In gaseous processes, oxygen in the treating
(a) (b)
in the diffusion zone mostly during nitriding and atmosphere also has a remarkable effect on the
Element MPa ksi MPa ksi
only a very slight change occurs in cooling. Fig- kinetics of layer formation. Oxygen causes a sur-
Ferrite, 0.1N 2700 390 ure 11 shows the general influence of treating face activation, which has a positive effect on
Fe4N 2600 375
AlN 820 120 1600 230 both nitrogen diffusion and uniformity in the
CrN 440 65 1700 245 surface layer. It has been proven that in the pres-
Cr2N 210 30 1600 230 ence of a controlled oxidation, the surface layer
Dissolving Fe3C 1250(c) 180(c) contains no soft spots, which are frequently char-
acteristic of passive surfaces resulting from ma-
(a) % Me mass. (b) % N mass. (c) % C mass. Source: Ref 45
chining operations (especially deep drawing,
lapping, honing, etc.) (Ref 10, 35). This effect is
shown in Fig. 13. Though no specific data are
known on the influence of oxygen on residual
stresses, it may well be assumed that enhanced
nitrogen diffusion increases the residual stress
level.

Fatigue Behavior of Nitrided Steel
Influence of treating time on residual stresses.
Fig. 12
Source: Ref 45
Components
Residual Stresses and Bending Fatigue
6 Resistance
Nitrided surface layers (especially those that
K-oxygen
5 K-no oxygen
have been nitrocarburized) have a clearly posi-
Fig. 10 Increase of residual stresses as a function of the tive influence on both the bending fatigue and
concentration of nitride-forming elements in
steel. Source: Ref 45
surface fatigue behavior of steel components.
Reaction rate, k 107
4 However, this positive effect is the result of a

rather complex mechanism. The surface of the
components usually presents a complex structure
3 after machining, with the characteristic Beilby
layer. The inner zone of this layer, consisting
mostly of deformed and partially damaged
2 grains and crystals, is the source of microcrack
initiation. These microcracks are extremely del-
eterious when friction combined with local
1 hertzian loading appears (gears, bearings, etc.).
The recrystallization associated with the disso-
lution phenomena in the surface film eliminate
0 these stress concentration points, thus reducing
0 10 20 30 40 50 60 the crack initiation hazard (Ref 38).
Undissociated ammonia, R, % On the other hand, the considerable compres-
Effect of oxygen addition on the reaction rate
sive stresses in the near-surface region of the
Fig. 13 compound layer further reduce the crack initia-
Fig. 11 Decrease of residual stress level with increas- (k) in gaseous nitrocarburizing, as a result of
ing nitriding temperature. Source: Ref 45 surface activation tion in this zone. Certainly, this effect is impor-
tant first of all in long-cycle fatigue behavior. crack propagation rate. However, remember that nitrided and nitrocarburized layers, using the re-
The compressive residual stresses in the diffu- the compound layer also has a combined effect verse impending method (Ref 51). Figure 14
sion layer are of primary importance in reducing with the diffusion layer. This can be illustrated shows clear evidence of these differences, but
the subsurface crack initiation, as well as the by comparing the fracture toughness of different unfortunately no residual stress measurements
were performed on the test samples.
The influence of nitriding and carbonitriding
on bending fatigue properties was investigated
for different steels and different process param-
eters (Ref 36, 5254). The fatigue resistance of
both unnotched and notched samples depends on
the value and distribution of the residual stresses
in the diffusion zone. This is practically corre-
lated with the hardness and its distribution in the
layer. For the same hardness values, a deeper
nitride case will increase the residual stresses in
the diffusion zone, thus causing an increase in
long-cycle fatigue strength (Ref 54). According
to Spies et al. (Ref 52, 54), an e-type compound
layer results in higher residual stresses in the dif-
fusion layer and in a higher fatigue limit (Tables
3 and 4).
There is no doubt that all the data from the
technical literature outline the efforts for a more
fundamental, mathematical approach to the
problem of residual stresses in nitrided steels and
their influence on fatigue behavior. Though ni-
tridingwith all its industrial versionsis a
well-established and widely applied technology,
the mathematical description of layer growth and
the formation of local strength and macrostresses
is far from that of carburizing. The explanation
may be connected to the more sophisticated ki-
netics and thermodynamics of the process, but
also to the practical fact that the prediction of
residual stresses in nitrided components is less
critical than for carburized components.
Residual Stresses in Contact Fatigue

Behavior
There is a considerable difference between the
bending or torsion fatigue resistance and the sur-
face fatigue behavior of treated steels. Failure of
components exposed to contact fatigue occurs in
different forms, such as pitting, exfoliation, or
surface crack formation (which later can cause
pitting or exfoliation). Surface fatigue also has a
specific form when mechanical loading com-
bines with a corrosive environment, as in many
chemical industry applications. This fretting cor-
TEMs showing typical crack pattern of surface layer. (a) Gaseous nitrocarburizing. (b) Salt-bath nitrocarbur- rosion also must be considered on nitrided sam-
Fig. 14 ples.
izing. (c) Plasma nitriding. (d) Plasma nitrocarburizing
Surface fatigue as the result of combined roll-
ing and sliding load usually starts as microcracks
Table 3 Influence of steel grade on residual stresses and fatigue life of structural steels at small angles to the surface, in the immediate
subsurface region due to shear stresses. The
Compound layer greater the sliding loading effect, the closer to
Steel Type Thickness, lm Case hardness, HV0.3 rE(a), MPa (ksi) rAD(b), MPa (ksi) Wohler line exponent(c), k the surface are these microcracks. Contact fa-
45MnV3BY c 810 535550 135 (20) 499 (72) 15.8 tigue behavior of nitrided/nitrocarburized com-
e(c) 2022 185 (27) 528 (77) 19.9 ponents depends on both the compound and the
20MnCr5N c 810 660680 300 (45) 574 (83) 19.3
e(c) 2224 350 (50) 593 (86) 29
diffusion layers. The compound layer has a posi-
20MnCr5QT c 10 640650 255 (35) 608 (88) 11.2 tive influence on sliding wear properties of the
e(c) 2225 640650 315 (45) 670 (95) 15.8 components, whereas the diffusion layer is the
e(c) 25 600 260 (40) 615 (90) 15.3 support for hertzian, normal cyclic loads. This
composed structure leads to a significant differ-
(a) rE, residual stress; depth below surface, 50 lm. (b) rAD, fatigue, when a nominal mean stress or residual stress is applied (long life alternating ence in the resistance of nitrided and, especially,
strength); bending fatigue test, P 50%. (c) The Wohler line exponent was calculated for long-cycle fatigue. Source: Ref 52
nitrocarburized steels compared to carburized
Residual Stresses in Powder-Metal Processing / 401
the feedstock. The binders may be thermoplastic properties are related to the level and uniformity Class III: components have two levels and are
mixtures of polymers, waxes, oils, lubricants, of the as-pressed density known as green den- termed external- and internal-flanged com-
and surfactants. Thermoplastic binders are sity. Compaction cycle for a single-level part is ponents and require double-action compac-
mixed at intermediate temperatures where shear shown in Fig. 5. A desired amount of mixed iron tion.
is dominant by using screw or plunger extruders powders is automatically gravity fed into the die Class IV: components have three or more lev-
or sigma blade mixers. The powder binder mixes along with core rod to produce a hollow shape els.
and subsequently granulates before injection from the hopper through a feeder shoe and com-
molding. For injection molding, fine steel pow- pacted with the help of upper and lower punches These are multilevel parts of different thickness
ders in the micron-size range are used to produce at a pressure, depending on the density require- and contour, and they have to be pressed with
intricate shape and improved sinterability with ments of the part. The upper punch is withdrawn, multiple forces from two directions. A variety of
the binder in the range of about 40 vol%, de- the lower punch ejects the pressed compact, and compacting presses are available with wide-
pending on the packing characteristic of the the feeder shoe slides the part away from the die ranging pressing capacities and production rate
powders. cavity. The cycle is automatically repeated by capabilities. Compacting presses are mechani-
charging, powder filling of the die. Compaction cally or hydraulically driven, but can incorporate
cycle can be classified as single, double, or mul- a combination of mechanically, hydraulically, or
Compaction in Rigid Dies tiple action depending on the complexity of the pneumatically driven systems.
part to be produced. Movement of only the upper The tool design should take into consideration
Unidirectional compaction is the most widely punch is usually termed single action, while rela- the nonuniform transmission of pressure to the
used manufacturing method for structural steel tive motion of two memberseither both mass of powder in the die, limited lateral flow,
components. Powder pressing is carried out in punches with stationary die or upper punch and as well as the ejection of the compacted part
rigid steel or carbide dies under pressures of the die with lower punch stationaryis termed dou- from the die in the direction of pressing. The
order of 150 to 900 MPa. Lower pressures are ble action. Multiple action utilizes several tool density within the green compact decreases with
used for porous ferrous bearings, and the pres- members arranged in order to support each level increasing length of the compact since the pow-
sure gradually increases with increasing density of the component separately. Depending on the ders do not behave like liquids under pressure
such as low-density, medium-density, and high- complexity, P/M components can be classified and the applied pressure is not uniformly trans-
density products with less than 10% porosity. into one of the four classes (Ref 29): mitted. Double-action compaction can improve
The compacts maintain shape by cold welding Class I: components are single level with sin- the pressure distribution, but generates a lower-
and interlocking of powder grains within the gle shape and low length-to-diameter ratio density region in the middle of the compact.
mass. The green compacts must be sufficiently that will allow single-action compaction. Therefore, length-to-diameter ratios exceeding 3
strong to withstand ejection from the die and Class II: compounds are single level with to 1 are not generally recommended. Normally
subsequent handling and transport to the sinter- higher length-to-diameter ratio and require reentrant grooves, reverse tapers, and lateral
ing furnace. The final shape and mechanical double action. holes are difficult to incorporate in the compact
because of the difficulty of ejection and, thus,
machining. Efforts have been made to overcome
this limitation by designing flexible die assem-
Upper punch blies. Bevels requiring feather-edged tools that
are fragile should be modified to a small flat end.
Parts with abrupt changes in section should be
Powder avoided as they introduce stress raisers that may
from lead to crack formation as a result of the stresses
hopper induced by the elastic expansion or springback
during ejection of the part from the die. The size
Die
of production rate of the part will depend on the
press capacity, complexity of the part, and the
number of punch motions required during com-
paction.
Core Lower The double-action tooling system is used to
rod punch produce class I and II parts. Force is applied to
the top and bottom of a part simultaneously. In
Cycle start Charging-powder Compaction begins
die filling this case, the die is stationary and the punches
have the same travel rate. The floating-die tool-
ing system can also give a similar effect in which
Green the die is mounted on a spring or a yielding
compact mechanism using hydraulic or pneumatic cylin-
ders for an adjustable resisting force. When the
upper punch enters the die and starts to compact
the powder, friction between the powder and die
wall causes the die to move down, which will
have the same effect as an upward movement of
the lower punch. When the compaction is com-
plete, the die moves upward to its powder fill
position, and the lower punch ejects the part
from the die. Multiple-motion die-set process
can produce complex P/M parts using floating
Compaction Ejection Recharging die die and withdrawal tooling methods. For very
completed of part high production rates of simple parts of the order
Fig. 5 Compaction cycle for a single-level part of 60,000 to more than 100,000 pieces/h, me-
The fraction of the precipitated nitrides, W(t), where DMe is the diffusion coefficient of the al- where DN is the diffusion coefficient of nitrogen
can be described by the following Avrami equa- loying element; re is the equilibrium radius of and ki represents the nitrogen fraction in the pre-
tion: precipitates; and cm, cP, c0 are the alloying ele- cipitate of the alloying element i. The diffusion
ment concentration in the matrix, in the precip- equation can be solved numerically. The bound-
W(t) (1 e(t/s) )
n
(Eq 4) itate, and at the phase boundary of the precipitate ary condition is given by the sum of nitrogen
respectively. concentration (C aN) in strained and (C0,N a
) in
Assuming homogeneous nucleation and spheri- Assuming that the z-axis is perpendicular to strain-free lattice of ferrite. The calculated nitro-
cal particles, the precipitation rate constant is the surface, the diffusion and precipitation pro- gen concentrations for pure iron and FeCr alloys
given by: cess can be described using the following one- are shown in Fig. 15 (Ref 50). With the calcu-
dimensional inhomogeneous diffusion equation: lated volume fraction of precipitation as a func-
cP c0 r2e tion of the distance from the surface, the strain
k dt
dC d2C dW
s (Eq 5) DN (Eq 6) distribution due to volume change is given.
cm c0 2 DMe dt dz2 i
i
i
The total strain increment consists of three
components:
detx deel
x dex
vol
deplx (Eq 7)
The elastic strain component is given by

Hookes law:
E
x (z)
rel eel
x (z) (Eq 8)
1 m
The strain due to volume change is given by the

volume misfit between nitride and matrix (DV/
V) and the volume fraction of precipitated alloy-
ing element CME:
i (CME)i 3 V i
1 DV
evol
x (Eq 9)
For plastic strains, thermally induced creep is

taken into account and described with a Norton
equation:
n
G dt
r
x A
depl (Eq 10)
Fig. 16 Measured residual stresses in an FeAlC alloy with 0.6 wt% Al and 0.15 wt% C. 590 C (1095 F) Source:
Ref 50 where A and n are constants.
Using the mechanical equilibrium condition
for an endless plate with thickness d,
r (z)dz 0
el
x (Eq 11)
the macrostress can be calculated. The measured

and simulated stress profile data show a very
good agreement.
Figure 16 shows the macrostress distribution
in the diffusion layer of an FeAlC alloy nitrided
at 590 C (1095 F) for 4 and 36 h, respectively
(Ref 50). The stress was measured by x-ray dif-
fraction combined with chemical removal of the
layer. The sample nitrided for 4 h presents a
compressive stress maximum of 380 MPa (55
ksi) near the surface. After 36 h of nitriding, the
compressive stress maximum decreases to 200
MPa (30 ksi) and shifts to a distance of about
550 lm from the surface. The maximum of com-
pressive stresses near the surface disappears
completely during prolonged nitriding.
Figure 17 presents the simulation of macro-
stress distribution (Ref 50). The position, the
value of the maximum, and the extension of the
stress almost agree with the measured values.
Calculated residual stresses for an FeAlC alloy with 0.6 wt% Al and 0.15 wt% C, 590 C (1095 F). Source: The calculated decrease of stress near the surface
Fig. 17 is lower than the measured one. This effect is
Ref 50
the continuous-cooling curve shifts to the right. brine due to improved distortion control and that improve surface properties such as the case
Increasing the carbon content tends to increase minimized cracking. Fast oil with improved heat hardening methods of carburizing, carbonitrid-
the tensile strength. Maximum strength occurs at transfer characteristics is preferable. Since the P/ ing, nitrocarburizing, and nitriding; tempering;
a carbon level between 0.8 and 0.9%. However, M part can absorb oil, proper care should be and annealing.
above the carbon level of 0.77%, the austenite taken during cleaning. In addition to oil, water, Carburizing is carried out on P/M parts with
that forms at the grain boundaries results in a brine, or aqueous polymer solutions can be used relatively large cross-sectional thickness to ob-
brittle structure. The addition of copper also with improved rate of heat transfer, but accel- tain maximum fatigue and impact properties.
strengthens and helps to sinter harden some low- erate the part corrosion on account of the residual Parts with more than 15% porosity are not rec-
alloy steels. Copper has a strong influence on quenchant that can be trapped in the surface of ommended for carburizing. Carburizing materi-
dimensional change, and precise control of cop- pores. For hardening and case hardening, the als generally contain nickel, molybdenum, and
per and carbon is required to maintain consistent temperature must be high enough to fully aus- copper with a combined carbon level of 0.3 to
dimensional change. Addition of nickel to 2% tenitize the material so that it will quench to a 0.35% for a porosity of 10 to 15% and the com-
and in certain cases up to 6% improves the heat martensitic structure. A higher austenitizing tem- bined carbon is reduced to 0.15 to 0.25% for
treated properties of the steel. Nickel lowers the perature is required for oil quenching than for porosity of less than 10%. These steels are gen-
austenitizing temperature and increases harden- water or brine quenching. Tempering and steam erally gas carburized at about 900 to 930 C for
ability. Molybdenum additions in the range of treating are performed below the austenitizing shorter cycles with a higher carbon potential than
0.5 to 1.5 are useful since it has a higher diffu- temperature, a uniform distribution and dissipa- for wrought material.
sion rate than nickel. However, more care should tion of heat are needed to ensure consistency of Carbonitriding is a gas-carburizing process in
be taken in the heat treatment of molybdenum- the end product. With increasing carbon and which about 10% ammonia gas is introduced
containing steel, and the molybdenum carbide nickel content, the austenitizing temperature is into the gas-carburizing atmosphere at about 800
formed during tempering can provide secondary decreased, while other alloying elements slightly to 850 C. The ammonia dissociates, and the ni-
hardening. Powder metallurgy parts may be oil increase the austenitizing temperature and time. trogen formed diffuses into the steel surface si-
quenched, which is less severe than water and More than double the soaking time is required multaneously with carbon, thereby retarding the
for less-dense P/M products than for wrought critical cooling rate on quenching, leading to a
material because of the lower thermal conductiv- more consistent martensitic transformation. Care
ity. Considering the atmosphere of endothermic should be taken to avoid excessive nitrogen dif-
gas, a nitrogen/methanol atmosphere or a nitro- fusion, which will lead to embrittlement. Car-
gen-base atmosphere can be used as long as the bonitriding, because of its lower operating tem-
carbon potential is controlled to prevent oxida- perature, provides better control of distortion
tion or reduction. During case hardening, the at- than carburizing.
mosphere should be neither carburizing nor de- In plasma nitriding, an ion discharge or
carburizing to the materials. The amount of plasma of positive ions and electrons is set up
additive gases such as methane, propane, and/or between two electrodes in a vacuum chamber
ammonia should be a function of density and containing low-pressure nitrogen gas. The ions
degree of open porosity in the part. Sintered steel bombard the P/M part that forms the cathode,
parts with low density and with highly open sur- heating to temperatures of the order of 470 to
face will have less uniform case depth and less 570 C, cleaning them by dislodging surface at-
well-defined interface between case and core. oms and depositing active nitrogen, which is cre-
These defects can be minimized by controlling ated by ion collision with nitrogen molecules in
the relative amounts of additive gases. Important the gas.
heat treatments of P/M steel parts include hard- Induction hardening is recommended for
ening by austenitizing and quenching; processes those parts requiring a hard and wear-resistant
Table 4 Composition of P/M structural steels

Composition limits (b), %
Description MPIF (a) designation C Ni Cu Fe Mo
P/M iron and carbon steels F-0000 00.3
F-0005 0.30.6
F-0008 0.60.9
Iron-copper and copper steels F-0200 00.3 1.53.9 93.898.5
F-0205 0.30.6 1.53.9 93.598.2
F-0208 0.60.9 1.53.9 93.297.9
Iron-nickel and nickel steels FN-0200 00.3 1.03.0 02.5 92.298.0
FN-0205 0.30.6 1.03.0 02.5 91.998.7
FN-0208 0.60.9 1.03.0 02.5 91.698.4
FN-0405 0.30.6 3.05.5 02.0 89.996.7
FN-0408 0.60.9 3.05.5 02.0 89.694.4
Copper-infiltrated steels FX-1005 0.30.6 8014.9 82.591.7
FX-1008 0.60.9 8014.9 82.291.4
FX-2005 0.30.6 15.025.0 72.484.7
FX-2008 0.60.9 15.025.0 72.184.4
Low-alloy steels FL-4205 0.40.7 0.350.55 95.90.85 0.500.85
FL-4405 0.40.7 96.398.9 0.701.00
FL-4005 0.40.7 1.702.00 94.597.5 0.400.80
Fig. 10 Influence of surface effect on the ability to car- FLN-4205 0.40.7 1.352.50(c) 93.9597.75 0.500.85
burize on FC-0202 (0.2C, 2Cu) material. Top
to bottom open surface, closed surface, core. Closed sur- (a) Metal Powder Industries Federation. (b) Other elements total by difference equals 2.0% max, which may include other minor elements added for
faces allow for more uniform absorption and diffusion of specific purposes. (c) At least 1% of the nickel is admixed as elemental powder.
carbon. Etchant: 2% nital
Variables on the Fatigue Resistance of Ni- Nitriding of Steels, 6th Konferenz Metallk- Profiles of Plasma Nitrided Steels, Surf.
trided Steel, Heat Treatment 79, The Met- undl. Probleme d. Werkstoffentw., TU Ber- Eng., Vol 15 (No. 2), 1999, p 137142
als Society, London, 1979, p 169177 gakademie Freiberg, 1989, p 194199 (in 50. H. Oettel and G. Schreiber, Calculation of
40. H.C.F. Rozendaal, P.F. Colijn, and E.J. Mit- German) Macro-stresses in Nitrided Steels, 4th Con-
temeijer, Morphology, Composition and 45. H. Oettel and G. Schreiber, Formation of ference on Residual Stresses, Baltimore,
Residual Stresses of Compound Layers of Residual Stresses in the Diffusion Layer, 1994, p 12851291
Nitrocarburized Iron and Steels, Proceed- Nitrieren und Nitrocarburieren, AWT Ta- 51. Z. Kolozsvary, S. Janosi, V. Sandor, A.
ings Heat Treatment 1984, The Metals So- Rusu, and T. Reti, A New Approach in
gungsband, 1991, p 139151 (in German)
ciety, London, 1984, p 31.131.6 Characterizing the Mechanical Properties of
46. J. Zurn, C. Razim, and J. Gosch, The Effect Surface Layers, presented at 18th ASM
41. G. Schreiber and H. Oettel, Modeling of the of Residual Stress in Case Hardening, Heat
Precipitation and Relaxation Processes: Dif- Heat Treating Society Conference and
Treatment and Surface Engineering: Proc. Expo, Rosemont, IL, 1315 October 1998
fusion Layers in Nitriding and Nitrocarbur- 6th International Congress on Heat Treat-
izing, Nitrieren und Nitrocarburieren, Wei- 52. H.-J. Spies, Fatigue Behaviour of Nitrided
ment of Materials, 1988, p 279283 Steels, Steel Re., Vol 64 (No. 8/9), 1993
mar, 1996, p 167175 (in German)
47. W. Daves and F.D. Fischer, Numerical 53. H.-J. Spies, K.H. Kloos, J. Adelmann, T.
42. Y. Sun and T. Bell, Proceedings of 9th In-
Simulation of the Development of Residual Kaminsky, and P. Trubitz, Modeling of
ternational Congress on Heat Treatment
Stresses during Nitriding, Residual Stresses, Bending Fatigue resistance of Samplers Re-
and Surface Engineering, 2628 Sept 1994 sembling Engineering Components with
(Nice, France), F. Moreaux, Ed., PYC Edi- Informationgesellschaft Verlag, 1993, p
957964 Standard Wohler-bands, Mat. Wiss. Werk-
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385394 48. B. Larisch, H.-J. Spies, and K. Hock, Bright
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43. G. Schreiber, H. Oettel, W. Darbinjan, and Nitriding of Cr-Mo-Steels in Plasma and
54. H. Spies, N.D. Tan, and F. Vogt, Influence
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Stresses, European Conference on Residual triding with Atmospheres, (Cleveland, OH), HTM 48, Vol 3, Rudolf Haufe Verlage,
Stresses, Frankfurt, 1992, p 965974 ASM International, 1995, p 213217 Freiburg, Germany, 1993, p153161 (in
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Induction Hardening
J. Grum, University of Ljubljana, Ljubljana, Slovenia
INDUCTION SURFACE HARDENING of- vices, and accessories used in flame hardening layer, which is usually tempered in a subsequent
fers a number of advantages over other heat are comparatively simple and inexpensive, but operation. Case depths normally range between
treatment methods. The most important advan- the process requires an operator with much ex- 0.5 and 5 mm. Case hardnesses amount typically
tages are short heat treatment times, good re- perience in blowpipe positioning if a uniform to around 700 HV after hardening and range be-
peatability concerning the hardened-layer qual- case depth without softer areas within the hard- tween 600 and 650 HV after tempering at 180 to
ity, small or negligible subsequent distortion, ened layer is to be obtained (Ref 4, 5). 220 C (Ref 1).
and a minimum subsequent product surface ox- Recent hardening processes related to surface Normally the hardening process also intro-
idation. Induction hardening offers good possi- hardening are laser hardening (Ref 6, 7) and duces compressive stresses into the surface lay-
bilities for automation and can be incorporated electron beam hardening (Ref 8). In both cases, ers, leading to an improvement in fatigue prop-
into a manufacturing cell (Ref 1, 2). heat is generated in the surface layer of the work- erties. Hardened partsalways ground because
Induction surface hardening is applicable to piece due to the interaction of the beam and the of their high hardnessrequire a minimum level
axisymmetric or near-axisymmetric steel or cast material. From the heat treatment point of view, of final grinding. This can only be achieved by
iron machine parts that are produced in substan- laser can be considered a versatile and flexible a minimum oversize of a machine part after hard-
tial volumes. There are two basic techniques for high-intensity heat source that can operate in air. ening, thus shortening the final grinding time and
induction hardening of machine parts: single It is capable of undertaking a range of processes, reducing costs of the final grinding to a mini-
shot and scanning. The former employs se- essentially simultaneously, since the laser beam mum. With an automated manufacturing cell,
lective heating and quenching to harden a spe- can be directed through air by metal mirrors and one should be very careful when selecting indi-
cific area or areas of the machine part in one switched and shared among a number of work- vidual machining processes as well as machining
operation. The latter is usually applied to pro- stations. Manipulative techniques using mirrors conditions related to them. Ensuring the required
gressively harden long, continuous sections such allow the beam to be directed to the areas not internal stresses in a workpiece during individual
as shafts and spindles. In this instance, the scan- accessible by other techniques, for example, the machining processes should be a basic criterion
ning inductor traverses the length of the section, bores of tubes (Ref 6, 7). of such a selection. In those cases when the in-
heating only a relatively small area at any given Deficiencies of laser hardening are a very low- ternal stresses in the workpiece during the ma-
time, and is followed closely by the quench ar- energy efficiency in transformation of electric chining process exceed the yield stress, the
rangement, which is often an integral part of the energy into heat energy and a comparatively operation results in workpiece distortion and re-
inductor (Ref 1, 3). high cost of investment. Laser hardening has sidual internal stresses. The workpiece distor-
A basic characteristic of induction hardening lately become successfully established for the tion, in turn, results in more aggressive removal
is that heat is generated in the workpiece due to following specific applications only: of the material by grinding as well as a longer
the skin effect. If a ferromagnetic material is sur- grinding time, higher machining costs, and a
Hardening of small products of intricate
rounded by a load coil or inductor through which less-controlled residual stress condition. The
shapes, which are hard to adapt to induction
high-frequency alternating current passes, flow workpiece distortion may be reduced by subse-
heating
of eddy currents is induced in the surface layer Hardening of small internal surfaces such as
quent straightening, that is, by material plasti-
of the workpiece due to the alternating magnetic cizing, which, however, requires an additional
small boreholes for which inductors small
field. The flow of these currents heats the work- technological operation, including appropriate
enough cannot be produced
piece. The mode of heating may be influenced Hardening of parts with exacting shapes, with
machines. This solution is thus suited only to
by the workpiece arrangement in the inductor as exceptional cases when a particular machining
which admissible distortion is exceeded in in-
well as by electric parameters. Heating is very duction hardening process produces the workpiece distortion re-
fast and very reliable. Consequently, induction gardless of the machining conditions. In such
heating, that is, induction hardening, has become From the technology viewpoint, these surface cases, the sole solution seems to be a change of
successfully established in automated produc- hardening processes are very much alike since shape and product dimensions so that material
tion systems. Induction heating is suited to they all have to ensure adequate energy input and plasticizing during the machining process can be
small, medium-size, and large, as well as ex- the case depth required. In the same manner, re- prevented.
tremely large, machine parts since, by varying gardless of the hardening process applied, in the It is characteristic of induction hardening that
energy input, heating to the required temperature same steel the same microstructural changes, machine parts show comparatively high com-
and the specified case depth may be ensured. very similar microhardness variations, and simi- pressive stresses due to a lower density of the
Flame hardening is suited mostly for individ- lar variations of residual stresses within the hard- martensitic surface layer. The compressive
ual hardening of parts with large dimensions and ened surface layer may be achieved. stresses in the surface layer act as a prestress on
of comparatively uncomplicated shapes. A char- In induction hardening, the surface of suitable the most strongly loaded surface layer, which in-
acteristic of flame hardening is that a gas mixture materialsusually plain-carbon or low-alloy creases the load capacity of the machine part and
is burning at the blowpipe outlet and thus indi- steels or cast ironsis austenitized and then prevents crack formation or propagation at the
rectly heating the part surface. The machines, de- quenched to produce a hard martensitic surface surface. The machine parts treated in this way
are suited for the most exacting thermomechan- surface layer resulting from the machining pro- heating applications (Ref 13). The specific ap-
ical loads since their susceptibility to material cess under given machining conditions. The sec- plication will dictate the frequency, power level
fatigue is considerably lower. Consequently, ond level of the surface-integrity description in- (Fig. 1), and other inductor parameters such as
much longer operation life of the parts can be cludes studies of residual stresses in the surface coil voltage, current, and power factor (cos u) or
expected. layer and of mechanical properties of the given Q factor.
Residual internal stresses, that is, the so-called material. The third level of the surface-integrity In induction surface hardening, it is necessary
residual stresses, are the stresses present in a ma- description includes tests making clear the be- to carefully plan individual characteristic phases
terial or a workpiece/machine part when there is havior of the given part during machining. More of manufacture of machine parts, which are:
no external force and/or external moment acting detailed information on the levels of surface in-
upon it. The residual stresses in metallic machine tegrity description may be obtained in Ref 9 and Design of a machine part from a blank to its
parts have attracted the attention of technicians 10. final shape with additions for final grinding
and engineers only after manufacturing pro- The previous paragraphs indicate that the A technique and conditions of surface induc-
cesses improved to the level at which the accu- knowledge of residual stresses in induction hard- tion heating
racy of manufacture exceeded the size of defor- ening alone does not permit a reliable assessment A technique and a quenching process
mation, that is, distortion, of a workpiece/ of the influence of the sum of the residual Tempering the surface layer after hardening
machine part. stresses present on the behavior of a machine Final machining of the machine part by grind-
Thus it was in the 1850s that the effect of in- part in an assembly under given thermomechan- ing
ternal stresses on plastic strain, for example, of ical loads. The selection of a blank is related to various
machine parts was already known. It was then steel semi-finished products or various primary
that experts introduced measurement of individ- forming processes such as casting, working, and
ual dimensions of machine parts. For a given Characteristics of Induction
so forth. Various shapes of blanks do not influ-
type of machining process, they connected the Hardening ence the selection of the conditions of induction
influence of the selected machining conditions heating, but they result in different variations of
with the size of deviations of dimensions. This Induction heat treatment is a segment of the residual stresses, which have to be considered
was also the beginning of an expert approach to much larger technical field of induction heating, together with quenching residual stresses.
the selection of the most suitable machining con- which combines many other industrial processes Because of the character of the forming pro-
ditions based on the criterion of minimum de- using the phenomenon of heating by induction cess itself, particularly the prescribed thermo-
viations of dimensions, that is, minimum ma- (Ref 1114). mechanical conditions of forming the blank, the
chine part distortion. Still, at the time of Induction heating is often one of the most ef- expected stress state is obtained. Further forming
publication, measurement of individual machine fective heat treatment processes available for a of blanks by cutting also produces changes in the
part dimensions is a very practical, uncompli- variety of applications including surface hard- stress state depending on the machining process
cated, and reliable method of machine part qual- ening, through-hardening tempering and stress applied and the machining conditions. Very of-
ity assessment. relief, annealing and normalizing, grain refine- ten with very complex workpieces, the thermo-
The surface and surface-layer conditions of ment, precipitation hardening or aging, and sin- mechanical conditions can cause a certain dis-
the most exacting machine parts, however, are tering of powdered metals. tortion of workpiece dimensions in addition to
monitored increasingly by means of the so- In most of these applications, induction heat- residual stresses. No studies treating a relation-
called surface integrity. This is a scientific dis- ing is used to selectively heat only the portion ship between the stress state in the workpiece
cipline providing an integral assessment of the of the workpiece that requires treatment (Ref 1, after primary forming and that after secondary
surface and surface layers and defined at the be- 15, 16). This usually means that the process can forming could be traced. The primary reason is
ginning of the 1960s. For high-quality machine be accomplished in a relatively short time and that the primary forming, that is, blank shaping,
parts and products subjected to heavy thermo- with high efficiency because energy is applied to is usually carried out in one company and the
mechanical loads, different levels of description the workpiece only where it is needed. secondary forming, that is, manufacture of a final
of the surface integrity were defined. A basic One of the main features of induction heating product, in another. It has also been proved that
level of the surface-integrity description includes compared with conventional heating procedures with suitable heating conditions in different heat
measurement of roughness and the analysis of is that heat is generated in the workpiece itself. treatment processes, certain heat effects charac-
microstructure and microhardness in the thin In conventional heating procedures the heat in- teristic of a certain annealing process that affect
put achieved is only 5 to 200 kJ/m2 s energy, the range of residual stresses can be obtained.
whereas in induction heating this energy input is The difference between induction heating and
300 MJ/m2 s. In induction heating, heat pen- furnace heating is related to considerable
104
Strip
Strip heating,
heating
etrates the workpiece with the aid of high- changes of heating times and rates up to the hard-
contour
contour hardening,
hardening frequency alternating current; the choice of fre- ening temperature and, consequently, to heating
single-shot hardening quency depends on heating requirements.
103
costs. Induction hardening is most often used for
Induction heating power supplies are frequency surface hardening of machine components and
Preheating changers that convert the available utility-line
Power (P), kW
has the following advantages over other proce-

frequency power to the desired single-phase dures (Ref 1, 5, 11):
102 power at the frequency required by the induction
heating process. They are often referred to as Heating times are relatively short.
Tempering Scan hardening converters, inverters, or oscillators, but they are Heating procedure is not strictly governed by
10
generally a combination of these. The converter hardening temperature. All that matters is that
portion of the power supply converts the line- the heating process does not end at a tem-
frequency alternating-current input to direct cur- perature low enough for transformation into
rent, and the inverter or oscillator portion austenite to occur. The maximum temperature
1
102 101 1 10 102 103 changes the direct current to single-phase alter- of heating is limited by the solidus-line tem-
nating current of the required heating frequency. perature, since the process is to be carried out
Frequency (f ), kHz
Many different power supply types and mod- while the material is in a solid condition.
Typical power/frequency regions of induction els are available to meet the heating require- With a short heating time, there is no danger
Fig. 1 ments of a nearly endless variety of induction that at higher austenitization temperatures the
heat treatment applications. Source: Ref 13
Residual Stress Formation and

Distortion of Rail Steel
F.D. Fischer and G. Schleinzer, Montanuniversitat Leoben, Austria
RESIDUAL STRESSES AND DISTORTION profile with an initially spatially constant tem- stress state and the distortion of the rail because
OF RAIL STEEL are important to security and perature distribution results in a strong inho- the authors investigated a single rail in vertical
comfort in railway traffic. In fact, some derail- mogeneous temperature field and a thermal position; however, its merit has been to show a
ments were found to be initiated by residual stress state. If the rail is free from external con- way of applying FEM to this difficult problem.
stresses, and the buckling of rails has already straint, of course, neither a resultant moment nor To the knowledge of the writers the most com-
caused some serious accidents. Fortunately, a resultant force can appear due to pure cooling. prehensive numerical study was presented in a
great disasters are a rare occurrence in railway Although the understanding of such a tempera- thesis by Hinteregger (Ref 4). Two accompa-
traffic. Still wear, and thus maintenance costs, ture field is of a certain technical interest and nying papers were published, one dealing mainly
are influenced by residual stresses. Due to in- has been a topic of research for many years, little with the transient temperature field and the re-
creasing speed and rising wheel loads of freight literature exists on the residual stress state due lated residual stress state in a rail profile (Ref 5),
cars, more and more research interests have been to cooling. We use the word certain, because and the second paper considering long rails and
directed to the railway system, and railway ad- some experts argue that only the stress state after the variation of the residual stress state along the
ministrations demand straightness and low ten- the roller straightening process, which follows rail (Ref 6). After the discussion of the tempera-
sile oreven bettercompressive residual the cooling process, is of any relevance. How- ture field and the method for calculating the re-
stresses in the head and in the foot near the sur- ever, if one wants to understand why the rail is sidual stress state, the problem of long rails, the
face to improve crack growth resistance. curved after cooling and if there are ways to re- rail end problem, is treated again in detail. Fur-
In Fig. 1 different steps of the life of a rail are duce the curvature as much as possible, one has thermore, it should be mentioned that mainly the
illustrated. Two production steps in particular of- to study the cooling process very carefully. Ev- results of Hinteregger et al. (Ref 6) are discussed
fer the possibility of enhancing the properties of idently, the curved size after cooling is the input in this chapter. Of course, finer meshes would
a rail of given metal composition (i.e., the cool- information for the straightening process. The be applied today; however, the concept followed
ing process and the straightening of the rail). Of residual stress state due to cooling, however, is can be considered as absolutely up-to-date. Also,
course, nobody expects significant deformation fully eliminated during the straightening pro- a distinct rail profile must be assumed for the
during the service of a rail (that is, the defor- cess. numerical calculation. The widely used UIC54E
mation of a rail under wheel loads); thus, the One of the first papers dealing with residual profile is applied. The thermal material behavior
residual stress state is highly influenced by the stresses in rails after cooling was published by of this fine pearlitic material can be found in Fi-
very localized nature of the stresses caused by Mayer in the 1930s (Ref 1). Mainly experimental scher et al. (Ref 5). The austenite to pearlite
wheel/rail contact. In the case of a wavy or work is reported. The method of cutting the rail transformation occurs during cooling between
rough rail surface (e.g., due to asperities), the profile into small square columns (the section- ca. 690 C and 610 C. The rail is represented
localization of the contact is even stronger. ing method) was used, which obviously is too by a layer of generalized plane-strain elements
inaccurate to give a really clear picture. A paper (see the mesh in Fig. 2). The base plane of this
later published by Asbeck et al. (Ref 2) also dis- layer is defined to remain in the plane of the
The Cooling Process cusses experimental results. coordinate system. The cover plane, however,
One of the reasons for the near-absence of nu-
The main geometrical feature of a rail is ob- merical and analytical work on residual stresses
viously the fact that it has only one symmetry in rails is the difficult geometry. Therefore, the
with respect to a plane orthogonal to the rail foot. first real progress toward a better understanding
In addition to the single symmetry, the mass dis- of the history of the residual stress state and the
tribution along this plane varies significantly. deformation of the rail could be achieved by ap-
The rail head represents a mass concentration of plying the finite element method (FEM), as in
roughly square shape. However, the web and the one of the first works in this field by Marcelin et
two halves of the foot can be approximated by al. (Ref 3). This paper could not provide a clear
plates. Inevitably the cooling process of a rail picture about the development of the residual
Metal Mounting
Hot rolling Cooling Straightening
composition and welding
Fig. 1 A rail from production to service Fig. 2 Finite element mesh. Source: Ref 4
formation, they make the selection of an optimal The total time variation of temperature during a given moment are the greatest during the heat-
surface induction condition easier. With the both heating and quenching is called the descrip- ing process, DTmax 600 C. During the
scanning technique of surface induction hard- tion of the surface heat treatment process by ther- quenching process, however, they can reach up
ening, however, instead of time, the speed of mal cycles, which may be divided into those de- to 360 C. Temperature gradients change much
workpiece movement ensuring the depth of pendent on heating and those dependent on more in heating than in quenching. In material
hardened layer required should be defined. Gen- quenching. The same figure also shows thermal heating, there is also a great difference in yield
erally, it may be stated that longer heating times inversion in workpiece quenching when the core stress of the material, which can produce plastic
are required with smaller power densities and temperature during quenching is higher than the deformation of the material. Another very im-
vice versa. Also, for the same depth of hardened workpiece surface temperature. portant finding of the authors (Ref 18) is that the
layer, longer heating times are required with Denis and coauthors (Ref 18) presented dif- theoretical model is appropriate since the results
lower current frequencies. With regard to the ferent physical models to describe different pro- obtained were confirmed by the standard exper-
depth of hardened layer selected between 0.5 and cesses occurring in the material during surface imental methods such as temperature measure-
10.0 mm, generator frequencies of 450, 10, and induction hardening. The authors analytically ment with thermocouples, diamond pyramid
3 kHz can be selected in the single-shot surface treated studies of a cylindrical specimen 16 mm hardness test, and measurement of residual
hardening technique, in which case appropriate in diameter and 48 mm in length and made of stresses with x-ray diffraction. The difference
power densities between 2 and 50 MW/m2 are hypoeutectoid carbon steel with 0.43% C. The between the measured and the calculated tem-
obtained. With lower high frequencies such as theoretical study was then verified by appropri- perature cycles is very small. It occurs mostly in
10 kHz, the same depth of surface hardened ate experimental methods. The experimental ver- heating and reaches up to 60 C at maximum not
layer, that is, 2.0 mm, can be ensured only in the ification was to confirm the size of the expected taking into account the losses due to eddy cur-
cases when the power density is changed to 50 error of individual characteristic quantities, for rents.
MW/m2. The lowest generator frequency, that example, variation of temperature/time cycles, Figure 6 shows two temperature cycles. One
is, 3 MW/m2, shown in Fig. 3, cannot ensure the variation of through-thickness microhardness of of them takes account of the influence of the en-
depth of hardened layer smaller than 2.5 mm. the cylindrical specimen, and the through- thalpy of phase transformations in the physical
Immediately after tempering an intensive inverse thickness variation of residual stresses. model of surface induction heating and quench-
heat flow is also expected. Figure 5 shows the measured and calculated ing for the surface and the core, and the other
With the surface heat treatment processes, the temperature cycles for the surface, the core, and does not. A comparatively small influence of the
influence of the selected heating and quenching in a radius r of 7 mm at a depth of 1 mm in the enthalpy of phase transformations on the thermal
conditions on the depth of hardened layer and cylindrical specimen (Ref 18). A comparison of cycles, however, confirms the small influence on
the size of transition zone between the hardened the temperature cycles shows that in surface in- the changes of the stress state of the cylindrical
microstructure and the unhardened layer is often duction hardening a thermal flow of 3 MW/mm2 specimens during the process of surface induc-
studied. One simple and practical procedure to in heating and that of 5.8 MW/mm2 in quench- tion hardening (Ref 18).
control surface heat treatment is measurement of ing were selected. Under such heating condi- Bruckner and coauthors (Ref 19) determined
the time variation of temperature from the be- tions, a maximum temperature of nearly 1000 C the through-thickness temperature variation for
ginning to the end of the heating process and was attained while heating above 800 C was a thin cylindrical plate with a diameter of 120
then also from the beginning to the end of the somewhat slowed down. The data in the diagram mm and made of steel Ck45 for hardening and
quenching process. The heat process can be show that the time required for heating the spec- tempering and for surface hardening with the fi-
changed by changing the power density and the imen from the ambient temperature to that of 800 nite element method. Figure 7, which shows the
generator frequency, whereas the quenching pro- C is equal to the time required for heating from temperature changes from the surface toward the
cess can be changed by selecting different the latter to the maximum temperature obtained core, also shows that after 14 s a maximum tem-
quenching agents and quenching processes. Fig- at the surface, that is, 1.6 s. A temperature cycle perature of 870 C is reached at the surface. It is
ure 4 shows the time variation of temperature at at the surface takes 3.2 to 3.3 s. The temperature higher than the temperature of magnetic trans-
the surface during heating and quenching as well differences between the surface and the core in formation, which is around 750 C. The through-
as in the core, which is due to heat conduction
into the remaining cold workpiece material dur-
ing heating as well as during quenching (Ref 17).
1000
900 Calculated
Surface Measured
800
Heating time Cooling time z = 1 mm
700
Temperature (T ), C
Power off
600
Temperature (T ), C
500
Center
400
Surface Center
300
Surface
200
100
Center
0
0 1 2 3 4 5 6 7 8 9 10
Time (t ), s
Time (t ), s
Fig. 4 Variation of temperature cycles of surface and
core in surface induction hardening. Source: Fig. 5 Comparison of variations of calculated and measured temperatures cycles for cylindrical specimens 16 mm in
Ref 17 diameter. Source: Ref 18
thickness temperature variation confirms a slow specimen after different heating times (Ref 19). immediately after quenching. In any case, it is
change of temperature in the surface layer and In the diagram the austenitizing temperature, desired that after quenching the temperature TT
ensures, after quenching, a slow transition from TA3 800 C, and the highest temperature ob- due to the inverse thermal flow does not increase
compressive to tensile residual stresses in the tained at the surface, TA 900 C, are indicated. above 180 to 220 C after core cooling by heat
thin surface layer. This slow change of tempera- With a final heating time t of 9 s and a volume transfer toward the cold surface. This is the only
ture in the transition zone should be obtained by power density Q of 2.4 103 MW/m3, the high- way to ensure tempering of tetragonal martensite
an optimal heating condition to attain the desired est temperature difference DTsc max between the and a possible change of the residual austenite
variation of the stress state in the surface layer core (C) and the surface (S), that is, around 450 immediately after hardening.
and to enhance fatigue strength. C, was obtained. The high temperature obtained Figure 9 shows the variation of temperature
Figures 8 and 9 show the variation of tem- increases slightly in the core due to the cooling from the surface toward the core with various
perature from the surface to the core in a round process in the surface, which can have a bene- volume power densities Q 0.4 103, 1.2
plate with 30 mm in diameter. Figure 8 shows ficial influence on residual stress relief. Residual 103, and 2.4 103 MW/m3 (Ref 19). With
the through-thickness temperature variations stress relief can be ensured by heat transfer from smaller volume power densities also the maxi-
from the surface toward the core in a cylindrical the central part of the specimen to the surface mum temperature differences between the sur-
face and the core become smaller and the aus-
tenitizing times longer. Because of higher
temperatures attained in the core, one should be
1000
aware of the fact that the inverse heat flow may
With enthalpy be so high as to produce even a change in mi-
Surface Without enthalpy crostructure and thus, consequently, reduction of
800 hardness in the surface layer.
Figure 10 shows the influence of specimen
Temperature (T ), C
mass on the heating time with the same volume

600 power density and the same maximum final heat-
ing temperature of the surface Tmax, 900 C (Ref
19). The maximum temperature in the core
Center should also be mentioned. With the longest di-
400
ameter, for example, 120 mm, it equals the am-
bient temperature, whereas with the specimen di-
ameter of 60 mm it raises to 150 C and with
200 that of 30 mm to 450 C. The data on the vari-
ation of temperature from the surface toward the
core permit a conclusion that for the specimen
0 with the greatest mass and the diameter of 120
0 1 2 3 4 5 6 7 8 9 10 mm additional induction heating of the surface
Time (t ), s should be ensured to allow tempering of the sur-
face layer.
Fig. 6 Variations of temperature cycles of surface and core considering enthalpy of phase transformations and without Melander (Ref 20) and the author quoted in
it. Source: Ref 18 Ref 21 first treated surface induction hardening
of low-alloy steel with 0.4% C, 0.7% Mn, and
1.1% Cr for quenching and tempering as well as
1000
Ck45 N 1000
120 1000
9s
800
800 800
TAC
3 TAC
TAC Q1 3
3
Temperature (T ), C
Temperature (T ), C
Tmax Q2
Temperature (T ), C
600 7s
600 600
Q3
t H =14 s
5s
400 400
400
3s Q, W/m3 tH,s
200 200 1 0.4 109 57.4

200
10 s 2 1.2 109 18.8
6s t =1s 3 2.4 109 9.0
2s 0 0
0 0 5 10 15 0 5 10 15
0 20 40 60 Radius (r ), mm Radius (r ), mm
Radius (r ), mm
Fig. 8 Calculated time variation of temperature through Fig. 9 Calculated variation of temperature through
Fig. 7 Calculated time variation of through-thickness specimen cross section in induction heating with specimen cross section in induction heating up
temperature in surface induction heating by the volume power density Q of 2.4 103 MW/m3 and differ- to hardening temperature with different volume power
finite-element method. Source: Ref 19 ent heating times. Source: Ref 19 densities. Source: Ref 19
occur. The heat flux leaving the body is approx- the air at different temperatures are given in Hol- for a horizontal plane facing upward, and
imately the same as the heat flux entering the man (Ref 8) as:
body in a point at the rail foot. The total heat 1/5
L
1/4 DT

flux is very small or zero, due to a thermal in- DT h 1.61 (Eq 9)
h 1.42 (Eq 7)
sulation, symbolized in Fig. 6 by two thick lines L
at the foot surface. The percentage tends to in-
for a vertical plane, for a horizontal plane facing downward. DT (C)
finity in this area.
The heat transfer is predominantly conductive 1/4 is the temperature difference between the surface
L
DT
in the contact area to the neighboring rails. This h 1.32 (Eq 8) and the ambient temperature; L is the vertical or
fact is taken into account in the computer model horizontal dimension (m). The unit of the heat
by combining the head and the foot surface of transfer coefficient h is W/(m2K).
the same rail with six node interface elements No further details are given with respect to the
for heat transfer, as symbolized in Fig. 6 by the 2o calculation procedure because a transient tem-
shaded area. perature calculation is now state of the art. For
Below 500 C convection becomes more and 3o more information see Ref 7. It should be men-
more relevant. The heat flux Q ci from a plane to tioned that the thermal and mechanical processes
the surroundings is defined as: are uncoupled in so far as the thermoelasticity
6o effect (contribution to entropy via strain energy)
1 4o 5o
ci Aih(T ) (Te T )
Q (Eq 6) is neglected since it is of no practical relevance.
The cooling process starts with free cooling
where h(T ) is the heat-transfer coefficient, and during the first four minutes. Then an interaction
4u
Te is the temperature of the surroundings. It is 7 takes place with the neighboring rails at the same
convenient to approximate the contour of the 5u temperature level (Fig. 4, 8). After 100 min the
3u
cross section by straight lines for calculating the surface temperature reaches approximately 200
heat-transfer coefficients (Fig. 7). Simplified em- 2u 6u C, and the rail is lifted off from the cooling area.
pirical relations for the heat transfer coefficient The cross section has reached ambient tempera-
Fig. 7 Approximated cross section for convection.
h for free convection from various surfaces to Source: Ref 4
ture after 10 h cooling time. Generally the rail
foot cools down more quickly than the head due
to the mass difference of the head in relation to
the foot. Measured and computed temperature-
time histories are in good agreement. Figure 8
shows the temperature distribution after 4 min.
However, the situation is different in the case
of head-hardened rails. After hot-rolling, the
head of the rail is plunged into a quenching fluid
for 212 minutes. Then the rail is air-cooled as
usual. The temperature distribution in such a
57 96
head-hardening rail after 412 minutes cooling
89 25 time can be seen in Fig. 9. The composition of
100
the quenching fluid and, therefore, the heat trans-
93 100 fer coefficient are treated as a certain industrial
secret. More details on the head-hardened rail
can be found in Moser et al. (Ref 9).
87 87
800 780
760
103 103
740
740
720
97 97 680
680
112 107
740
720
680 720
660 680
640 660
Fig. 8 Temperatures in C of a rail with interaction with

other rails after 4 min cooling time. Source:
Fig. 6 Heat flux into the surroundings in percent of the total heat flux. Source: Ref 4 Ref 4
axis for different time steps of a cooling proce- prevents the rail from deforming in transversal constant and changes its sign at locations xi(t), i
dure, taking into account full interaction with the direction. This fact leads to the surprising effect 1, 2, N where
surrounding rails as shown in Fig. 3. It can be that very long rails (approximately 100 m, or 328
w
shown that the influence of TRIP on the final
residual stress state is significant; this may be
ft, length) show an almost perfectly straight mid-
dle section M of at least 60 m (195 ft) length t xi
w
| xi 0 (Eq 14)
one of the reasons for the wide scatter of mea- on the cooling bed and two deformed rail ends.
sured residual stresses in railroad rails. These Of course, after lifting the rail with a crane and Fischer et al. (Ref 13) were able to show that
results were calculated on the assumption of a releasing the frictional forces, the rail becomes there are no sticking intervals. The differential
rail-by-rail arrangement on the cooling bed, suddenly curved with a sag of some meters. equation for the rail is:
however, without frictional contact, which is dis- Also, cutting a very long rail on a cooling bed
cussed subsequently. It is important to note that leads to a sudden change of the deformation 2w 1
(M(x,t) mh(t)) (Eq 15)
the residual stress distribution in a single rail dif- shape because the friction force distribution de- x2 EJ
fers significantly from Fig. 11 and 12 due to the pends on the length of the rail. This phenomenon
different temperature field of a simple rail. If the has caused some severe accidents in the shops. where M(x,t) is the moment due to the friction
rail is fixed with respect to its transversal defor- The first authors to describe the rail end problem force distribution (Fig. 15). Now in the middle
mation (a fork-type positioning of the rail), an of a heavy rail on a rough surface during a cool- section M of the rail w(x,t) is observed to be
additional constraint is imposed on the rail leading process were Fischer and Rammerstorfer in w(t)|M 0. Since also its second derivative is
ing also to a modified picture of the residual 1989 (Ref 13). The rail is modeled by a bar with zero, Eq 15 leads to:
stress state. cross section A. For easier understanding assume
M mh
Head-hardening changes the picture of the re-
sidual stress distribution, as shown in Fig. 13. It
an elastic bar; its stiffness is EJ; E, Youngs
modulus; and J, cross-section inertia moment. t

t M
(Eq 16)
is interesting to note that the residual stress dis- The bar is primarily loaded by a temperature
tribution is nearly independent of the lateral con- Since equilibrium enforces
field T(z,t), which does not depend on the lon-
straint of the rail in the case of head-hardened
gitudinal coordinate x, leading to a temperature M 2M Q
rails. Q (Eq 17)
moment:
Due to the changing temperature differences x tx t
between the head and the foot, the contraction of
the foot at the beginning of the cooling process
is greater than the contraction of the head. This
mh(t) E T(z,t)z dA
A
m (Eq 12) Q being the resultant shear force in transversal
direction, it follows immediately from Eq 16
tendency changes several times during the cool- that:
ing period. The sag f for a rail section of 30 m Since the bar may move on the rough surface
(representing the cooling bed) a transversal fric- Q mh
in length versus time t is plotted in Fig. 14, con-
sidering a positive sag if the center of the cur- tion force, p, can be activated during the sliding, t M

x

t
M
0 (Eq 18)
vature is at the head-side. One can see that the thus:

sag changes significantly with time. Due to the initial conditions mh(0) 0, w(x,0)
Weight and Friction: Rail End Problem. In | p(x)| lq (Eq 13) 0, M(x,0) 0, Q(x,0) 0, it follows also
the treatment just described a cross section of a that:
rail is investigated under a given time-dependent where l is the coefficient of Coulomb friction
temperature field, and the assumption of a gen- (e.g., 0.45), and q is the weight per length unit Q(x,t)|M 0 (Eq 19)
eralized plane-strain state only allows the anal- of the rail (e.g., 54 kg mass for a UIC54E rail
ysis of an infinitely long rail. Furthermore, no per meter length). and, therefore:
weight or friction is taken into account. How- Since this is a sliding process, p(x) is always
Q
ever, actual rails have a length of 30 m (98 ft) to
more than 100 m (328 ft) and are subjected to
oriented in the negative direction of the trans-
versal velocity w/t with w being the transver- x M
p(x)|M 0 (Eq 20)
their own weight. The friction on the cooling bed sal displacement. p(x) is, therefore, sectionally
Equation 20 allows the conclusion that the mid-
dle section M is not affected by any friction
force during cooling:
M(x,t)|M mh
Q(x,t)|M 0
p(x,t)|M 0 (Eq 21)
f, cm L 30 m
50
0
3 6 9.103 t, s
50
100
150 100 50 0 50 100 150 200
Longitudinal stresses in MPa of a head-hardened rail along the axis of symmetry at the end of cooling. Source: Fig. 14 Sag, f, of a rail with a length of 30 m on a fric-
Fig. 13 tionless support. Source: Ref 4
Ref 4
dicates that low-frequency heating is performed of the gear wheel and the smallest differences at ened layer and a uniform microstructural state
up to the temperature of magnetic transformation the root of tooth. with minimum distortion of the teeth as well as
and high-frequency heating up to the hardening A comparison of the temperature cycles ob- of the gear wheels could be expected.
temperature. It is essential for this dual- tained in single-frequency induction heating Figure 18 shows the temperature distribution
frequency induction-hardening procedure that shows important temperature differences among in the half-cut of a gear-wheel tooth in dual-
after hardening tempered martensite is obtained individual measuring points occurring with the frequency induction heating. Figure 19, how-
in the hardened layer and gear-wheel distortion calculated temperature cycles as well as with the ever, shows the temperature distribution in the
is smaller than in single-frequency induction measured ones. The temperature differences be- same cut of the gear-wheel tooth after single-
heating. came smaller as soon as the temperature of mag- frequency induction heating (Ref 24). With dual-
Figure 17 shows the measured and calculated netic transformation of the material was ex- frequency induction heating it can be found that:
temperature cycles in single-frequency induction ceeded. Slowed heating of gear wheels above the
A maximum temperature of 937 C is ob-
heating of gear wheels (Ref 24). Because of pro- temperature of magnetic transformation ensures
tained at the tip of the gear-wheel tooth.
gressive and uniform induction heating of the longer heating times up to the hardening tem-
At the end of heating, a temperature higher
surface layer of the gear wheel after a longer perature, that is, the temperature of homoge-
than the hardening temperature required was
single-frequency induction heating not including neous austenitization. Such a heating procedure
obtained from the tip to the root of tooth.
the pause, a temperature Ts somewhat higher results in lower micro- and macrostresses during
The temperature is considerably lower than
than in dual-frequency heating was obtained at the heating process, which is highly important,
the hardening temperature only a few milli-
the surface of the gear wheel, namely, 1120 C. since materials show a considerably lower yield
meters below the root radium, for example, at
The surface temperature was much higher, al- stress at elevated temperatures. In dual-
a depth of 6 mm around 150 C.
though Curie temperature was exceeded and the frequency induction heating of gear wheels, sim-
In single-frequency heating it can be found
root of tooth of the gear wheel was heated to a ilarly as in single-frequency induction heating, it
that:
temperature higher than 800 C. Another very was found that there were low-temperature gra-
A maximum temperature of 1042 C is ob-
important finding, resulting from the time vari- dients through the entire depth of tooth; yet there
tained at the tip of tooth.
ation of temperature, is very similar temperature were obvious differences in the obtained maxi-
A temperature higher than the quenching
variations at different measuring spots at the mum temperature from which the gear wheels
temperature is obtained along the entire gear-
tooth of the gear wheel regardless of whether it were quenched. With regard to distortion of the
wheel tooth, except at the root of tooth.
is the tip or root of tooth. It is also very important teeth of the gear wheel, thermal conditions dur-
A temperature below the hardening tempera-
that the differences between the calculated tem- ing the quenching process are important. If the
ture is obtained from the root of tooth down-
peratures and the ones measured at the same calculated temperatures and the temperatures
ward, and 6 mm below the root of tooth it
measuring point are small in heating and a little measured at the same measuring point in a given
still amounts to 300 C.
bit greater in quenching. This indicates that the moment are compared, it will be found that the
model elaborated is suitable, particularly for temperature differences in dual-frequency induc- A comparison of both heating modes shows that
heating and the measuring equipment for tem- tion hardening are very small. The temperature heating of the tooth is much more uniform in
perature measurement at individual measuring differences among different measuring points dual-frequency heating, and the variation of the
points. The greatest temperature differences be- are at their minimum as well. Hence it follows stress distribution during quenching is much
tween the measured and the calculated tempera- that the quenching conditions were very favor-
tures in quenching are found at the tip of tooth able, and a very uniform thickness of the hard-
858 C
Temperature (T ), C
Magnetic field 150 kHz

anaylsis 339 kW
740 C
3 kHz
293 kW
Eddy current
1.8 2.7 2.88

Heat generation
Time (t ), s
Electromagnetic (a)
properties
Thermomechanical 970 C
Temperature (T ), C
analysis Temperature cycle

Heat distribution
Temperature Temperature distribution 25 kHz
microstructure
Volume fraction of martensite 165 kW
stress/strain
Residual stress distribution
Distortion after hardening
Temperature
2.8
Time (t ), s
Permeability (b)
Conductivity
Fig. 15 Dual-frequency (a) and single-frequency (b) in-
Fig. 14 Flow chart of the numerical calculation. Source: Ref 24 duction heating of gear wheel. Source: Ref 24
Residual Stress Formation and Distortion of Rail Steel / 431
difficult tasks because the straightness also de- ual stress, which is the most critical component, length should not be exceeded. In steel, for ex-
pends on the distribution of the residual stresses. must not exceed 250 MPa, or 36 ksi, in the mid- ample, the maximum path length is only a few
The roller deflections can be changed on an dle of the foot). According to a European Com- centimeters. Webster (Ref 31), therefore, chose
existing roller straightener in order to improve mittee for Standardisation (CEN) draft standard a longitudinal and a normal plate of the rail for
the residual stress pattern and the straightness of (Ref 23), the measurement of this residual stress the analysis. The gage volume was 2 2 2
the rail. Up to now the setup of the roller posi- component has to be performed in the following mm3, which is typical for neutron diffraction.
tions has been a matter of trial and error, largely way: A strain gage is attached in longitudinal Hence, the results are averaged values inside this
influenced by the skills and expertise of the op- direction in the middle of the rail foot. Then, a volume. In qualitative terms, his results are well
erator. saw cut in front of and behind the gage position in accordance with the ORE Report (Fig. 23 and
Railway administrations demand low residual and normal to the longitudinal direction relieves 24). Just near the head surface a certain stress
stresses in rails (e.g., that the longitudinal resid- the residual stresses. The stress relief causes an reversal was observed. The longitudinal tensile
elastic strain, which can then be measured by the stresses dropped from a maximum beneath the
strain gage. Finally, the original longitudinal surface to a lower value at the surface. Already
stresses can be calculated using the Youngs the ERRI report mentioned that results near the
modulus (Fig. 22). specimen surface must be interpreted with cau-
Strain Residual Stresses in Unused Roller- tion due to the extrapolation of the data. An ad-
gage Straightened Rails. Generally speaking, the ditional problem near the surface is parasitic
1m longitudinal residual stress pattern in the cross peak shifts if the neutron gage is not entirely
20 mm section is a C shape with tensile stresses in the immersed in the specimen. Hauk and Kockel-
head and the foot and compressive stresses in the mann (Ref 32) also reported a steep stress gra-
web. A comprehensive study about stresses in dient near the surface with compressive stresses
roller-straightened rails was done by the ORE at the surface. The stresses were measured by x-
Committee (Ref 24), which used destructive sec- ray diffraction. But in their paper the longitudi-
tioning methods. Due to the sectioning, the rail nal residual stresses changed from compressive
parts expand or shrink elastically when separated to tensile stresses within 0.1 mm beneath the sur-
from one another. The resulting elastic strains face. Thus, the general stress pattern seems to be
Saw cut
can be calculated by measuring the length clear, although near the surface there are still un-
changes, or they can be directly measured by certainties (Fig. 24).
strain gages. Of course, these measurements Behavior of Rail Steel under Plastic Defor-
must be done very carefully so that the cutting mation. There are different types of rail steel:
or frictional heating does not influence the re- the plain carbon, the alloy, and the heat treated
sults. Also, the spatial resolution is not very qualities. The different qualities should maxi-
Fig. 22 Measurement of the longitudinal stresses at the
rail foot according to a CEN draft standard high. Hodgson (Ref 25) summarized the results mize the lifetime of the rails under different op-
of the ORE Report in a scatterband of the lon- erating conditions. In this case the focus is on
gitudinal stresses (Fig. 23). describing the behavior of these steels under cy-
Similar results are reported in Ref 26 to 28. clic plastic deformation. Plastic deformation
300 200 100 0 100 200 300 MPa
An equivalent scatterband can be found in Wine- causes the material to undergo a certain change
man et al. (Ref 29). The accuracy of the mea- in shape and remains after the removal of the
Head surements can be verified by checking the force outer forces. In the case of straightening of rails
and moment equilibrium in the cross section. and rails in service, the loading occurs repeatedly
Later, in 1992, the European Rail Research and with changing signs. Therefore, the empha-
Web
Institute (ERRI) (Ref 30) reported new measure- sis is on the cyclic plastic deformation.
ments by neutron diffraction performed by Web- Plastic deformation is based mainly on the
ster et al. (Ref 31). Neutron diffraction is a non- gliding of lattice planes in the crystalline struc-
Foot destructive testing method. In contrast to x-rays, ture of metals; this gliding requires dislocations
neutrons can penetrate material more easily, al- in the lattice. Although a certain amount of dis-
lowing the measurement of residual stresses in locations are always present in a metal, they are
Fig. 23 Scatterband of the longitudinal residual stresses
taken from Hodgson. Source: Ref 25
the interior of the material. However, it is a also generated by the plastic deformation itself.
rather expensive and very time-consuming On the other hand, the piling up of dislocations
method; moreover, a nuclear reactor is necessary decreases the mobility of the dislocation again,
to provide the neutrons. Monochromatic neu- and the material shows hardening. If loading is
300 trons can be scattered at the lattice planes of a reversed, it has often been observed that the elas-
370 BHN, neutron crystalline material. If the beam path length be- tic limit increases in one loading direction while
200 370 BHN, sectioning
tween the planes is a multiple of the wavelength it decreases in the opposite loading direction.
of the neutron, then constructive interference oc- This is called the Bauschinger effect and has to
100
curs. Therefore, only under certain beam angles be considered in the case of cyclic loading (Fig.
Stress, MPa
0
will diffraction take place. Also, if stresses in the 25).
material alter the lattice distances, the scatter an- Polycrystalline materials in the virgin state are
100 gle changes. For more details about the neutron isotropic. von Mises assumed that only the sec-
scattering method see the article Methods for ond invariant of the stress tensor accounts for the
200 Determination of Inhomogeneous Residual elastic limit. The material shows elastic behavior
Stress Fields in this Handbook. Unfortunately, as long as the stress state stays within the von
300 the investigation of the interior of the specimen Mises yield surface. Thus, his theory is also
0 50 100 150
Rail height, mm
is limited. Due to the scattering, fewer and fewer called J2-flow theory, which is a good approxi-
neutrons reach points deep inside the material. mation of real metal behavior.
Longitudinal residual stresses of a 370 BHN To ensure that a reasonable amount of neutrons After plastic deformation the material is no
Fig. 24 reach the detector, a certain total beam path longer isotropic, and additional internal state
new roller straightened rail. Source: Ref 30, 31
cm3 with the single frequency. The value of the structure can be analyzed and hardness mea- was attained. It decreased slowly towards the
entire analysis of thermal conditions increases if sured. The authors decided to measure hardness tooth core. The hardness of the tooth core after
they are monitored in frequent time intervals and along the tip, the middle, and the root of tooth. hardening was 220 HV. The data on the hardness
with as fine a grid as possible for their calcula- Because of different tooth widths at different lo- measured confirm that in dual-frequency heating
tion. cations, namely, radii, a greater number of mea- the gear-wheel tooth is hardened only to a small
The theoretically calculated values of the heat surements with the same distances between the depth, that is, approximately 0.4 to 0.6 mm at
distribution in the gear-wheel tooth can be ver- measuring points were made. Figure 24 shows the tip, up to 1.5 mm in the middle, and approx-
ified only by relevant measurements carried out the hardness variation at the tip, the pitch circle imately 1.0 mm at the root.
at thermally treated gear wheels. Thus, a micro- diameter (PCD), and the root of gear-wheel tooth In single-frequency induction heating, hard-
after dual-frequency induction hardening (Ref ening layers are much thicker. Thus, the depth
24). Along the entire tooth surface from the tip of hardened layer at the tip of tooth was 1.1 mm
[W/m3]
to the root of tooth the same hardness, 750 HV, and the greatest depth in the root of tooth. Figure
25 shows the variation of hardness at the same
1011
measuring points at the gear-wheel tooth after
Max 0.0965 single-frequency induction hardening (Ref 24).
800
0.1100 Along the entire length of the tooth surface from
0.1000
0.9000 the tip to the root of tooth the same hardness,
Hardness, HV 600
0.8000 800 HV, was attained. At the tip and the root of
0.7000 tooth it changed gradually with the depth. The
0.6000 400
0.5000 results obtained show that in single-frequency
0.4000 induction hardening the thickness of the hard-
t = 2.88 s 0.3000 Tip ened layer increases with the increase in distance
20 mm 0.2000 200
PCD
0.1000 from the tip of tooth.
Root
0.0000 Conditions are somewhat different in dual-
0.100 0
0 1 2 3 4 5 6 7 frequency hardening in which the greatest depth
Min 0.0000 of hardened layer was obtained in the middle of
Distance from surface (z ), mm
Generated heat distributions in the tooth gear the tooth, and hardness decreased toward the tip
Fig. 22
at t 2.88 s induction heating (dual fre- Fig. 25 Measured hardness profiles across the tooth and the root of tooth. It follows from the hard-
gear after induction surface hardening (single
frequency). PCD, pitch circle diameter. Source: Ref 24
ness variation transverse to the gear-wheel tooth
that the core of the tooth was through-hardened
and a uniform and very high hardness, even up
[W/mm3] to 800 HV, was obtained through the entire tooth
width.
M
1010 1.0
Tip Figure 26 shows calculated line changing of
Max 0.8132
0.8 PCD the volume fraction of martensite transverse to
0.9000 Root the tooth after dual-frequency induction hard-
0.8250 0.6
0.7500 ening at the characteristic measuring points. Fig-
0.6750 ure 27 also shows calculated line changing of the
0.6000 0.4 volume fraction of martensite transverse to the
0.5250 tooth, but this time after single-frequency induc-
0.4500 0.2
0.3750 tion hardening (Ref 24). The efficiency of the
20 mm t = 2.8 s numerical calculation of the volume distribution
0.3000 0
0.2250 0 1 2 3 4 5 of martensite can be assessed by the microhard-
0.1500 Distance from surface (z ), mm ness measured at the characteristic points. In the
0.0750
0.0000 case given, major deviations occurred between
Fig. 26 Simulated volume fraction of martensite across the calculation of volume distribution of marten-
Min 0.0000 the tooth gear after induction surface harden-
ing (dual frequency). PCD, pitch circle diameter. Source:
site and the hardness measured at the given mea-
Fig. 23 Generated heat distributions in the tooth gear Ref 24 suring points only in dual-frequency induction
at t 2.8 s induction heating (single fre- hardening, whereas in single-frequency induc-
tion hardening the deviation was much smaller.
Fujio and coauthors (Ref 25) monitored dis-
M
1.0 tortion of gear-wheel teeth and the variation of

800 residual stresses after induction hardening of
Tip 0.8 gear wheels. The authors treated the conditions
600 PCD in induction hardening and quenching of gear
Hardness, HV
Root 0.6 wheels made of carbon hardening and tempering

400
steel S35 experimentally and theoretically. The
0.4
experiments of induction hardening were carried
Tip out at gear wheels with an outer diameter of 196
200 0.2 PCD
mm and width of 150 mm and the tooth of 22.9
0 mm in height. The inductive loop surrounding
0 0 1 2 3 4 5 6 7 the gear wheel had nine windings with an inner
0 1 2 3 4 5 Distance from surface (z ), mm diameter of 226 mm and a width equal to the
Distance from surface (z ), mm gear-wheel width, 150 mm. The output power of
Fig. 27 Simulated volume fraction of martensite across
Measured hardness profiles across the tooth the tooth gear after induction surface harden-
the high-frequency generator was 400 kVA and
Fig. 24 the frequency 10 kHz. The gear wheels were in-
gear after induction surface hardening (dual ing (single frequency). PCD, pitch circle diameter. Source:
frequency). PCD, pitch circle diameter. Source: Ref 24 Ref 24 duction heated to a maximum temperature of 860
C, which was reached in 187 s. During heating, heat fluxes of the temperature range below the suring points 1 and 2, somewhat lower at mea-
temperature was measured at four measuring Curie temperature, q01 75 W/cm2 and that suring point 3, and the lowest at measuring point
points, that is, at the tip of tooth 1, at the pitch above the Curie temperature, q02 10 W/ 4, where after 40 s of quenching it still amounted
circle at the tooth surface 2, in the tooth core 3, cm2 were taken into account. A comparison of to around 350 C.
and at a depth of 25 mm from the tip of tooth 4. the calculated and of the measured time varia- Figure 31(b) shows the calculated time vari-
Figure 28 shows the gear-wheel tooth with the tions of temperature in heating shows that there ation of temperature at the same measuring
marked measuring points for temperature mea- are certain differences. The maximum tempera- points of the gear-wheel tooth during quenching
surement with thermocouples (Ref 25). The time ture differences exceed even 100 C, which is, taking into account selected heat transfer coef-
variation of the temperature measured in heating according to the authors, still acceptable. These ficients 0 of 5000 and 10,000 kcal/m2Ch (Ref
the gear wheel at the same measuring points is data on the time variation can, therefore, be used 25). The calculated time variations of tempera-
shown in Fig. 29(a) and (b) (Ref 25). It follows efficiently in quality assessment of induction ture differ from the measured ones only at those
from both figures that the magnetic transforma- hardening of gear wheels in terms of microstruc- measuring points with higher cooling rates. The
tion occurred above 700 C. In the calculation, ture, microhardness as well as residual stresses, time variation of temperature refers only to the
and/or distortion of the gear-wheel tooth. The selected measuring points; therefore, assessment
investigation conducted thus gave useful infor- of the stress state during the quenching process
mation on the tooth condition after induction and of distortion of gear-wheel teeth or of a tooth
hardening. The following figures show iso- is very difficult.
1 therms transverse to the gear-wheel tooth cal- The authors focused on an analysis of the con-
culated for the induction heating process. ditions during the quenching process using a cal-
Figure 30 shows the heating process after 20, culated distribution of temperature shown as iso-
2 60, and 187 s when it ends (Ref 25). It is very therms (0 5000 kcal/m2Ch) at the half-cut
important that: of the gear-wheel tooth. Figure 32 shows the
variation of isotherms during the quenching pro-
The gear-wheel tooth is heated only by 80 C
cess after 0.1, 1.0, and finally 10 s of cooling
(from 780 C after 60 s to 860 C after 187 s
25 mm (Ref 25). In quenching it is very important that
of induction heating) in a comparatively long
the temperature gradients are high enough to pre-
heating time, that is, 127 s, when the Curie
vent plastification, that is, distortion, of the gear
3 temperature of magnetic transformation of
wheel during quenching. Such quenching con-
steel was reached.
ditions including high-temperature gradients re-
Isotherms are running almost in the direction
sult in decrease of favorable compressive resid-
of gear-wheel tooth radius.
ual stresses after hardening. It follows that a
The entire gear wheel obtains martensite-
4 sufficiently high cooling rate has to be ensured
pearlite microstructure due to the temperature
at the tooth surface as well as to the required
fields in it.
depth of hardening. That means that temperature
Figure 31(a) shows the time variation of the gradients in the gear-wheel tooth have to be at-
temperature measured at the individual measur- tained so that gear-wheel teeth are hardened with
Fig. 28 Tooth gear and position at given measuring
points for thermocouple fitting. Source: Ref 25 ing points of the gear-wheel tooth during the minimum cooling rate required, thus ensur-
quenching with a pressurized water jet (Ref 25). ing the required martensite transformation in it.
Data on the temperature variation show that the A sequence of images showing isotherms in very
1000
cooling temperatures were very similar at mea- short time intervals from the beginning of
Temperature (T ), C
800
1
600 2
3
4 860 C
C
400 780 C
C
End of
200 induction heating 600 C
C
0 840 C
C
0 40 80 120 160 187200
Time (t ), s 500 C
C
(a)
700 C
C 820 C
C
1000
Temperature (T ), C
800 400 C
C
1 800 C
C
600 2
3
400 4 q = 75 W/cm2 300 C
C
01 600 C
C 780 C
C
q = 10 W/cm2
200 02
Curie point TA = 721 C
2
0 760 C
C
0 40 80 120 160 187200
200 C
200 C
Time (t ), s 500 C
C
(b) 740 C
C
Temperature profiles of tooth gear during in- 20 s 60 s 187 s

Fig. 29
duction surface heating process. (a) Measured.
(b) Calculated. Source: Ref 25 Fig. 30 Temperature distributions during induction surface heating process. Source: Ref 25
is shown in Fig. 2. Residual stress distribution, nonmartensitic phases such as bainite, troostite, for the effective penetration depth of x-ray and
especially at the surface, varies depending on or pearlite to form. Also, when surface carbon changes in residual stress resulting from layer
steel properties and carburizing-and-hardening concentration increases to higher than 0.9% the removal. Layer removal with the x-ray method
conditions such as carbon potential, time, surface microstructure retains more austenite and has shown excellent agreement when used to
quench media, and cooling method as explained reduces hardness and compressive residual stress evaluate residual stress distribution.
later in this article. Generally, residual stress pro- by reducing the expansion that accommodates Measurement of the residual stress discussed
files in the longitudinal and tangential direction the transformation to martensite. in this section used scanning x-ray method under
are similar, while that of axial direction differs Generally, distribution of residual stress as the following conditions (Ref 5,6):
from the other two directions. High compressive shown in Fig. 1 and 2 has the following char- Parallel beam counter methods
residual stresses are produced by expansion of acteristics: Cr K, 30 kV, 8 or 10 mA, vanadium filter
carburized case at the end of quench-cooling
Compressive residual stresses have a peak at Count range: 200 cps, time constant: 16 s
process, which balance with the tensile stress in Dispersion angle: 0.35, focus: l 2 w
the core. some distance from the surface.
Distribution of residual stresses in longitudi- 5 or 6 mm
The state of residual stresses introduced in Sin2 W: W 0, 15, 30, 40
hardened case of carburized-and-hardened steel nal and tangential directions is nearly the
is generally in compression. Low-carbon case- same, but that of radial direction differs. The distribution of residual stresses are mea-
The excessive case carbon concentration in- sured under these conditions, and about 5 to 10
hardening steels are carburized and quenched in
selected quench media. During quenching, the creases retained austenite, which decreases
subsurface portion of the core transforms first at surface hardness and compressive residual
20
a high temperature to ferrite and pearlite, bainite, stresses.
Maximum value and distribution of residual ra*
or low-carbon martensite (700550 C, depend-
ing on steel grade) in relation to transformation stress are influenced by heat treatment meth- 0
plasticity. Later, at a lower temperature (lower ods such as carbon potential of carburizing tg
Residual stress, kg/mm2

than 300 C), the carburized case transforms to atmosphere and quenching. ax*
martensite with volume expansion under influ- Although some investigators concluded that the 20
ence of the transformation plasticity caused by influence of steel type and the conditions of car- tg*
the preceding transformation phase of the core. burizing and quenching are minor (for example,
High-carbon case of 0.8% C expands nearly 40
Ref 3, 7, and 9), these factors have a profound
1.2%, while that of low-carbon core of 0.2% C ax
influence on the performance of carburized-and-
is about 0.3%, and this large difference in carbon hardened products as explained later in this ar- 60
level and expansion determines the sequence of ticle.
phase transformation and resultant development Influence of Steel Grade on Residual
of compressive stress in the case. Compressive Stress. Steel grade has a profound influence on 80
residual stress in the case is influenced by core 0 0.2 0.4 0.6 0.8 1.0
distribution of residual stresses. Figure 3 shows
hardness or strength; however, the relation be- the distribution of residual stresses of two case- Depth from surface, mm
tween core strength and residual stress is not hardening grades steels, nickel-chromium alloy (a)
simple and is explained in later sections. K13NiCr12 steel (Fig. 3a) and straight carbon 20
However, the control of carburizing-and- C15 steel (Fig. 3b). Residual stress of alloy steel ra *
hardening conditions is very important to pre- shows lower stress near the surface due to re-
vent introduction of tensile residual stress at the tained austenite, and plain carbon steel shows the 0
surface. Especially, when the surface layer has highest stress at the surface.
considerably thick grain-boundary oxidation, the Influence of Size and Workpiece Shapes.
quenching time after pullout from the furnace 20
Size and shape of testpiece or work have pro-
and the subsequent cooling speed should be op- found influences on magnitude and profiles of tg*
timized to reduce formation of nonmartensite residual stresses. Figure 4 shows the influence of 40
phases. The lack of surface hardenability results specimen size on distribution of residual tg
from grain-boundary oxidation and low-carbon stresses. Generally, as the size of the specimen
contents easily cause transformation products of increases, the maximum compressive stress in- 60
creases, and also the highest stress peak gradu-
ally moves inward. However, residual stress pro- ax*
Case Core file near the surface not only varies depending 80
on carbon concentration and cooling process, but ax
also is affected by complicated vaporizing and
Tensile
stress
Radial rewetting phenomena during cooling. 100
0 120
Longitudinal Methods of Measuring Residual 0 0.2 0.4 0.6 0.8 1.0
Tangential Stress
Compressive
Depth from surface, mm

stress
(b)
0 X-Ray Stress Analysis Methods. There are
Fig. 3 Distribution of residual stresses measured by x-
several methods of measuring residual stresses, ray produced in gas-carburized hardened steels.
such as distortion measurement, strain gage, x- (a) K13NiCr12; ECD: 0.40.6 mm, carburized and double
ray diffraction, and neutron radiation methods. quenched. (b) CK15 (AISI 1015); ECD: 0.50.6 mm car-
Depth burized and hardened. rax, rtg, and rra are measured resid-
Distribution of residual stress can be measured ual stresses in axial, tangential, and radial directions, re-
Schematic of residual stresses in carburized-and- by repeating mechanical or chemical methods to spectively. Curves with asterisk show corrected curve of
Fig. 2 remove core portion or outer layer and correcting
hardened steels. Source: Ref 8 measured residual stress distribution. Source: Ref 7
60 Two common quenching methods using a the rotation velocity of the workpieces during
Ratio (inlet:outlet) 1:1 quenchant are spray quenching and immersion quenching is considerably lower, namely, 40 to
50 quenching. Particularly popular spray quenching 60 rotations/min. Very high rotation velocities
1:1.7 techniques offering different possibilities are: of the workpieces are required when a uniform
40 and reproducible depth of hardened layer are to
Spray with progressive scan heating (scan
Flow (q ), gpm
be ensured and particularly with relatively short

1:3 hardening)
heating times.
30 Spray after heating in position (single-shot
Figure 36 shows dependence of changes of
hardening)
cooling rates on the momentary temperature at
20 Spray quenching out of location after heating
1:5 the workpiece surface for four different concen-
Spray quenching is carried out immediately trations of polymeric water solutions (Ref 26).
10
after heating with a short pause. It is used with The selection of an appropriate concentration of
machine parts made of steels with good harden- the polymeric water solution for the selected
0
0 10 20 30 40 50 60 ability and with a comparatively thin hardened steel and the depth of hardened layer required
Pressure (p), psi layer. Immersion quenching is carried out after should ensure minimum distortion of the work-
the inductor has been disconnected from the piece, which is the final purpose of any heat
Fig. 34 Effect of inlet:outlet ratio on quench flow ver- high-frequency generator. Gradual hardening is treatment. Thus, the required heat removal from
sus pressure. Source: Ref 26
very efficient and prevents the influence of in- the heated surface layer of the workpiece, con-
verse heat from the core toward the surface so sidering the thickness of the heated layer, should
that no reverse heat flow and no heating of the be ensured by an appropriate quenching system.
6
already cooled surface occur. This problem is
Hole size (d), in. 3/16 characteristic of large parts of which the work-
piece surfaces should be hardened selectively. Time Variation of Stresses and
5
In the past, straight oils and water-soluble oils
were used for quenching after surface induction
Residual Stresses in a Material
4 heating. Straight oils and water-soluble oils pro-
5/32
Flow (q ), gpm
duce mild quenching effects, which reduce dif- With certain heat treatments, the required mi-
3 ficulties due to distortion and/or crack initiation. crostructural changes and an appropriate mag-
1/8 Straight oils require immersion quenching to nitude and variation of hardness are obtained. It
2
minimize the risk of oil ignition whereas water- is also required that distortion of a machine part
3/32 soluble oils are more suitable for spray quench- is as small as possible so that the final size of a
1.45
ing. Other quenchants used are water, polymeric machine part can be obtained with minimum pre-
1 1/16 water solutions of different concentration, water cision machining. Consequently, it is very im-
0.5 soluble oils, salt water, and so forth. portant that distortion be kept under control.
0 Polymeric water solutions are inflammable That means that an appropriate technology of
0 10 20 30 40 50 60 70 80
quenchants. They are prepared in various con- machining and appropriate heat treatment pro-
15 Pressure (p), psi
centrations to be suitably adapted to various cesses should be selected, and internal stresses
Effect of hole size on quench flow versus pres- cooling rates. For spray quenching various flow lower than the yield stress ensured at any mo-
Fig. 35 rates of quenchants can be selected. They depend ment and at any location of a machine part dur-
sure. Source: Ref 26
on the size of inlet openings and the number of ing heating and/or cooling. Analytical methods
outlet nozzle boreholes in one, two, or more give an insight into heat treatment conditions if
rows at the quenching ring. The fluid-flow rate the time variation of internal stresses is moni-
1000 can also be regulated by pressure. Technical lit- tored and the dependence between the cooling
erature provides data on shaping of quenching time and the specimen temperature at each point
nozzles as well as on the selection of the quen- is known. With regard to the specimen tempera-
Curve 1:10% chant flow rate required. Figure 34 shows the ture determined in this way, at each point on the
800 dependence of the flow rate on the quenchant specimen yield stress can be determined as well.
pressure and the size and number of outlet bore- Consequently, with different heat treatment con-
Curve 3:20%
holes (Ref 26). It is very important that a suffi- ditions, different values of physical quantities
cient flow rate of the quenchant is chosen to en- can be selected. They are reflected in the
Temperature (T ), C
600 sure sufficient heat removal from the workpiece changed conditions in the material, which makes
surface layer during quenching. it possible to study distortion of the machine part
Curve 2:15% The flow rate is controlled also by the number during cooling and determination of the magni-
of boreholes for the flow and spraying of the tude of residual stresses.
400 quenchant, respectively. Figure 35 shows a de- Figure 37 shows the time variation of axial
pendence of the quenchant flow rate on the bore- stresses at the surface and in individual depths,
Curve 4:25% hole diameter of the quenching nozzle, and the that is, from 2.0 to 4.0 mm under the surface and
pressure required (Ref 26). An appropriate ar- in the middle of the cylindrical specimen (Ref
200 rangement of the boreholes in the ring permits a 21). It follows from the time variation of tem-
uniform heat removal after spray and proper and perature in the diagram in Fig. 26 that the aus-
uniform cooling. The borehole cross sections tenitizing time was shorter than 15 s, which
should amount to only 15% of the total ring sur- means that after this time quenching of the sur-
0 face available and of the inductor in the single- face followed (Ref 21). In surface heating, ten-
0 20 40 60 80 100 120 140
shot type application, respectively. Rotation ve- sile stresses occurred at the surface due to ther-
Cooling rate (v), C/s
locities of the workpieces in surface induction mal extension of the surface layer, but when the
Polymer additive ratio affects cooling rate. heating are relatively high and can be selected temperature of transformation of the microstruc-
Fig. 36 between 800 and 1000 rotations/min, whereas ture from pearlitic to austenitic was exceeded,
Source: Ref 26
additional compressive stresses occurred at the Figure 38 shows a distribution of the individ- The cylindrical specimen was surface induc-
surface. ual components of the residual stresses, that is, tion heated to a temperature of 980 C and then
The compressive axial stresses transform into the axial component rz, the tangential rT, and quenched in salt water. Figure 39 shows the cal-
tensile stresses in the zone of undercooled aus- the radial rr (Ref 21). The axial and the tangen- culated distribution of individual microstructural
tenite. In the transformation of undercooled aus- tial components of the residual stresses were phases from the surface to the center of the cy-
tenite into martensite, the compressive stresses compressive at the surface and amounted to lindrical specimen at the end of cooling (Ref 18).
increase with the increased martensite fraction. 1600 N/mm2. Then they gradually reduced so The initial microstructure was preserved to a ra-
In the core, the opposite sign of the stress was that at a depth of 5.0 mm, the residual stresses dius r of 5.5 mm. In the radii between 5.5 and
obtained, namely, the tensile stress. At the end changed their sign to become tensile stresses. A 6.6 mm, the pearlitic-ferritic microstructure and
of quenching, the compressive residual stresses maximum value of the residual stresses was up low-carbon martensite appeared. With the radii
were obtained in the surface hardened layer to 1000 N/mm2. The radial stress at the surface exceeding 6.6 mm, a fine martensitic microstruc-
amounting to around 1600 N/mm2 and the was 0, but it gradually increased to a depth of ture with around 6.0% residual austenite was ob-
tensile stresses in the core amounting to around 5.0 mm to attain 500 N/mm2. tained due to intensive cooling. With the selected
870 N/mm2. Denis et al. (Ref 18) calculated and measured conditions of induction heating and fast cooling
the distribution of residual stresses through the of the specimen, no homogeneous martensite
entire radius of a cylindrical specimen of 16 mm was formed in the surface hardened layer. Figure
in diameter and 48 mm in length. The specimen 40 shows the calculated and measured variations
1000
was made of carbon steel with 0.45% C and of of individual components of residual stresses
pearlitic-ferritic composition. (Ref 18). The calculated variations of residual
500 stresses represent high compressive stresses at
the surface, that is, the axial component of resid-
ual stresses rz amounting to 803 N/mm2 and
Internal stress (), N/mm2
0 the tangential one rT amounting to 588 N/

mm2. On the contrary, the tensile residual
stresses were calculated after hardening in the
500 60 core, that is, with the preserved pearlitic-ferritic
Pearlite microstructure. Thus the axial component of re-
50 High-carbon sidual stresses rz calculated for the core
1000 amounted to 370 N/mm2 and the tangential
martensite
component rT to 62 N/mm2. The diagram in
Volume fraction (Vf), %
Ferrite
Surface 40 Fig. 40 indicates that the maximum tensile
1500 Depth 2.0 mm Low-carbon stresses were attained in the transition zone be-
Depth 4.0 mm martensite
30
tween the hardened and the unhardened layer
Center
(Ref 18). At a greater depth, very low stress gra-
2000 dients occurred and in the opposite direction,
0 20 40 60 80
20 that is, in the thin surface layer to a depth of 2.5
Time (t ), s
mm, very high gradients of residual stresses oc-
Fig. 37 Axial stress distribution at various depths be- 10 Austenite
curred. The variations of residual stresses were
low the surface during single-shot induction determined experimentally by x-ray diffraction.
surface hardening. Source: Ref 21
The great changes of the gradient of the mea-
0 sured residual stresses in the thin surface layer
0 1 2 3 4
Depth below the surface (z), mm
can also be confirmed by the measurements
1000 made. The results of the measured and calculated
Fig. 39 Calculated distribution of microstructures variation of residual stresses in the surface hard-
across the cylinder radius at the end of cooling. ened layer agree sufficiently with small local de-
500 Source: Ref 18
viations. In order to determine the local devia-
tions of the variation and of residual stresses,
Residual stress (RS), N/mm2
numerous calculations were made with varying

0
physical parameters of the material and taking
account of different process parameters, too.
1000 z A particular problem with steels having
500
ferritic-pearlitic and pearlitic-ferritic microstruc-
Residual stress RS, N/mm2
600
r ture is that heating of short duration does not
200
1000 ensure complete homogenization of austenite.
0
200 Figure 41 shows the influence of inhomoge-
z neity of austenite on the level of residual
T 600 stresses, which is particularly noticeable in the
1500 r
1000
T Calculated martensite zone (Ref 18). The initial inhomo-
Measured
geneous austenitic microstructure resulted in the
1400 appearance of the martensitic transformation
2000 0 1 2 3 4 5 6 7 8
0 20 40 60 80 Depth below the surface (z ), mm with a small fraction of residual austenite. With
Depth below the surface (z), mm regard to the volume fraction of martensite and
Fig. 40 Calculated and measured residual stress profile residual austenite, plastification of the material
Fig. 38 Residual stress distribution after single-shot in- of particular components after induction sur-
face hardening. rz, axial component; rT, tangential com-
occurred, which produced internal stresses and
duction surface hardening. rz, axial compo-
nent; rT, tangential component; rr, radial component. ponent; rr, radial component. Source: Ref 18 the variation of residual stresses, particularly in
Source: Ref 21 the thin surface hardened layer.
Figure 42 shows the calculated distribution of stresses at the surface are lower by 100 to 200 residual stresses with the favorable rate of sur-
residual stresses due to heating of the specimen N/mm2. face induction heating VH1, 200 C/s, which
with heating rates of 200 and 800 C/s to a tem- The stress gradient for the tangential and axial gives the maximum temperature obtained at the
perature of 1050 C followed by cooling with a components rt and rz is very small in the surface Tmax, 1050 C (Ref 18). This was fol-
cooling rate of 1500 C/s (Ref 18). With the high subsurface, that is, from a depth of 0.7 to 4.5 lowed by quenching with two cooling rates,
heating rate v, 800 C/s, a very steep transition mm. 1500 and 300 C/s.
of residual stresses from the compressive zone The transition from compressive to tensile re- The variation of the tangential and axial com-
to the tensile one was obtained, which resulted sidual stresses does not occur earlier at a ponents of residual stresses permits the follow-
in a decrease of fatigue strength. With the con- depth of 2.6 mm due to a small stress gradi- ing findings:
siderably lower heating rate, 200 C/s, it turned ent.
With the higher cooling rate, compressive re-
out that the variation of residual stresses in the
The radial component of residual stresses is 0 at sidual stresses are obtained at the surface, that
thin surface layer was essentially more favorable
the surface. In the subsurface it is tensile. Thus is, the axial component of 800 N/mm2 and
than that with the high heating rate. The variation
it amounts to around 50 N/mm2 with the higher the tangential component of 1050 N/mm2.
of the tangential and axial components of resid-
heating rate, that is, 800 C/s, and to 400 N/mm2 With a low gradient, the axial and tangential
ual stresses permits the following findings:
with the lower one, that is, 200 C/s. components of the stresses vary; they change
With the lower heating rate, the residual Figure 43 shows simulation of the variation of their sign to the tensile zone only in the depth
between 2.6 and 2.8 mm.
With the lower cooling rate, considerably
lower compressive residual stresses are ob-
1000 tained at the surface, that is, an axial com-
ponent of 275 N/mm2 and a tangential
z component of 390 N/mm2.
600
r A comparison of the axial and the tangential
components of residual stresses indicates that
2
200
, , N/mm
because of the considerably reduced cooling

0 rate the latter is lower in the thin surface layer
even by a factor of 3.
Residual stress RS
-200
The gradients of residual stresses with the
higher or lower cooling rate are favorable
-600 since a slow decrease of compressive to ten-
sile residual stresses results in a minor sus-
-1000 T Heterogeneous austenite
Homogeneous austenite
ceptibility of a machine part to fatigue under
dynamic loads.
-1400
Bruckner et al. (Ref 19) discussed their inves-
0 1 2 3 4 5 6 7 8 tigations conducted on residual stresses due to
Depth below the surface (z ), mm surface induction hardening as well as the time
variation of internal stresses. They applied the
Fig. 41 Calculated residual stress profile of particular components after induction surface hardening for heterogeneous finite-element method to the calculation of the
and homogeneous austenite at austenitizing temperature. rz, axial component; rT, tangential component; rr, time variation of individual components of in-
radial component. Source: Ref 18
ternal stresses rz, rr, and rt. Figure 44 shows the
time variation of all these components after heat-
ing times of 1, 4, 6, and 9 s in the cylindrical
1200
specimen with 30 mm in diameter, which was
heated with a heat flow Q3 of 2.4 106 kW/m3
z (Ref 19).
800 Radial stresses rr vary with time. They are
always 0 N/mm2 at the surface. Then they grad-
Residual stress RS, N/mm2
ually increase toward the center of the cylindri-

400
r cal specimen. After the heating time t of 4 s they
reach the highest value in the core, 210 N/mm2,
and after the heating time of 9 s they reach the
0 value of 100 N/mm2. The radial stresses during
heating and cooling may be critical if they es-
sentially exceed the yield stress, which may pro-
400
duce lamination of the surface from the core.
Tmax = 1050 C
Heating rate 200 C/s Axial stresses rz vary with time as well. They
T Heating rate 800 C/s are the highest after the heating time t of 4 s, 500
800 Cooling rate1500 C/s N/mm2 in the core and around 130 N/mm2 at
the surface. The time variation of temperature
1200 through the radius of the cylindrical specimen
0 1 2 3 4 5 6 7 8
Depth below the surface (z ) , mm
indicates that these stresses occur at around 500
C at the surface and at around 150 C in the
Simulated residual stress profile of particular components at maximum surface temperature (Tmax 1050 C) core. It can be concluded that because of high
Fig. 42
with various heating rates vH1 200 C/s and vH2 800 C/s) and at given cooling rate vc of 1500 C/s. rz, axial internal stresses in the core and consider-
axial component; rT, tangential component; rr, radial component. Source: Ref 18 ably lower ones at the surface, they rarely pro-
duce distortion of a machine part or even its fail-
Residual Stresses during Gear Manufacture / 443
processing factors and steel properties. Even sidual stresses of the pack-carburized specimens. The control of residual stress profile is not
when a certain number of parts are heat treated The influence of steel grade and quench meth- easy even if the carburizing-and-hardening
in the same condition or batch, it is quite difficult ods on three-dimensional residual stresses are operation is the same and is influenced by steel
to get the same residual stress magnitude and compared in Fig. 15. Three quench media10% lots. Difficulty of control of residual stresses is
profile, for it is almost impossible to completely saltwater, water, and oilare compared on a shown by two gears processed to same specifi-
control every factor of carburizing and quench- pack-carburized specimen. Surface carbon con- cations, but from different but acceptable heats
ing in the same manner. centration is about 1.0% C and produced about of 43BV14 steels in Fig. 16. Residual stress dis-
Figure 14 compares the distribution of resid- 10 to 16% retained austenite in an oil-quenched tribution of lot C is much lower, and surface re-
ual stresses introduced in AISI 8620 steel by dif- specimen. However, the longer carburizing time sidual stress is in tension if shot peening is not
ferent carburizing-and-quenching methods. A seems to introduce a greater percentage of re- provided. Residual stress distribution of lot D is
pack-carburized testpiece has very high carbon tained austenite and reduces hardness. much better even before shot peening. Residual
content (1.2% C) compared with that of gas car- The longitudinal and tangential residual stress stresses at the surface are increased by post-
burizing (0.8% C) and salt-bath carburizing near the surface differs where a saltwater quench quench shot peening to the same level and depth
(0.5% C). Residual stresses produced in pack- produces highest residual stresses, and an oil of about 0.13 to 0.25 mm (0.0050.01 in.) and
carburized specimens differ depending on quench seems to produce the lowest residual resulted from work hardening and stressing by
quench methods. Where water quenching pro- stress. Saltwater quench for AISI 1020 (JIS the impact of blasted shots.
duces deeper and larger compressive residual S20C) and water quench for AISI 5120 (JIS Figure 17 shows the two extremes in residual
stresses compared with that of oil-quenched SCr420) can produce higher surface residual stress distribution found in 40 production gears
specimen, even the carbon gradient is the same. stresses compared with that of oil quench, as of various specifications and steels. Residual
Residual stresses near the surface of both pack- shown in Fig. 15 (Ref 14). stress distribution of A (large gear of approxi-
carburized specimens drop sharply because of a mately 3 pitch AISI 4320 reheat quenched and
high-carbon layer with a large volume of re- shot peened) is very poor, and residual stress at
tained austenite. The difference in carburizing the surface layer is tensile before shot peening.
methods such as liquid and gas methods produce Residual stress of B (medium gear of approxi-
different carbon distribution, and the resulting mately 10 pitch marquenched and not peened) is
distributions of residual stresses differ as ob- highly compressive. The carburizing process
served in Fig. 14 (Ref 2). Salt-bath carburizing 80 specification including carburizing and quench-
has a very thin case and low carbon gradient; ing should be well standardized so as not to pro-
Endurance limit, kg/mm2
however, the case hardenability of salt-bath car- duce type A distribution.

burizing is improved by nitrogen diffused during
the carburizing process and then the near-surface
residual stresses drop. Also, residual stresses of 70
gas-carburized specimens have a mild drop of Carburizing time, h Depth from surface, mm
near-surface residual stresses compared to the re- 2.5 0 1 2 3
5.0 20
10
8.0
20.0 0 0
Residual stress, kpsi
60

100 150 200 10
Surface hardness, HV
Core strength, kg/mm2 20

800
20
Fig. 12 Relation between core hardness and endur- 40 30

700 ance limit of 9 mm diam rotating beam fatigue
test. JIS SCM 420, carburized in muffled gas-carburizing 40
furnace at 920 C for selected duration and quenched di- 60
rectly in JIS 1-1-1 cold oil (4560 C), and tempered at 160 50
500 C for 2 h. Source: Ref 9 80
60
1.2
Core hardness, HV
400 70
60 1.0
A cycle
Carbon ccontent, %
B cycle
300 C cycle 0.8
Fatigue bending strength, kg/mm2
0.6
2.0
Case depth, mm
40 0.4
1.0
0.2
Pack carburized, water quenched
0 Pack carburized, oil quenched
20 25 30 35 40 0
Gas carburized, oil quenched
Hardenability (Jominy 1 / 2 in.), HRC Liquid carburized, oil quenched
0.2
20 50 0.02 0.04 0.06 0.08 0.10 0.12
Fig. 11 Influence of steel hardenability on effective 50 100 150 200 Depth from surface, in.
case depth, core hardness, and surface hard-
ness of carburized-and-hardened gears. Carburizing tem- Core strength, kg/mm2
perature at 920 C with carburizing atmosphere of 0.9% C Fig. 14 Comparison of residual stresses produced in
potential for 2.5, 5, 8, and 20 h, quenched in JIS-1-1 cold Fig. 13 Influence of core strength on fatigue strength of AISI 8620 steel 38.1 mm diam rods by different
oil, held at 4060 C with agitation and tempered at 160 carburized-and-hardened gears. Fatigue limit carburizing-and-quenching methods. Pack-carburized and
C for 2 h. ECD: A cycle, 1.4 mm; B cycle, 1.2 mm; C cycle, of gears of different core strength. Nonalloyed and alloyed reheat quenched in water or oil, and gas or liquid carbu-
1.0 mm. Source: Ref 6 case-hardened steels. Modulus 3. Source: Ref 1, 13 rized and oil quenched. Source: Ref 2
The workpiece is of infinite length and has a Electromagnetic properties: magnetization Regardless of the measuring point, the tem-
cylindrical, axially symmetric shape. curve (B-H) perature difference between the measured
Heat conductivity does not depend on the Curie temperature TA2, surface magnetic field temperature and the calculated temperature is
workpiece length. strength H0(T), and frequency f exceptionally small.
The magnetic field varies. Surface heat flux q(T) At the individual measuring points, the dif-
For the calculation, equations for: Material properties: thermal conductivity ferences between the calculated temperature
kk(T), specific heat c(T), density q, heating and the measured temperature are greater in
Magnetic field
diagram (ITh diagram), and cooling diagram the heating cycles.
Heat conduction
(ITc diagram), latent heat L The greatest difference between the measured
Phase transformations
temperature and the calculated temperature in
Stresses The computer program for solving the tem- the heating cycle is found at the measuring
Input data to the physical model and computer perature field and phase content consists of heat- point at the surface, that is, with the radius r
program consist of: ing and cooling phases: of 18.5 mm.
Basic mesh of nodes and their start tempera- 1. During heating, the eddy current loss is re-
ture Figure 47 shows the variations of individual
sponsible for the temperature field rise. The components of residual stresses along the radius
heat flux through the surface is due to the r of 20 mm (Ref 20). The authors calculations
surrounding air. The phase transformation show that:
into austenite is calculated using a heating di-
1000
agram (ITh diagram). When the steel part has Axial residual stresses are compressive at the
been heated for a given time or to a desired surface (rz 850 N/mm2), the transition
temperature, heating is switched off. to the tensile zone is found 6.0 mm below the
r = 18.5 mm
800 2. Water quenching can be preceded by air cool- surface, and the maximum axial tensile stress
r = 14.5 ing for some seconds or vice versa or other rz, 400 N/mm2, occurs at a depth of 10.0 mm.
r =0 quenchants can be used. The material that Tangential residual stresses vary in a very
similar way and have similar values (rT
Temperature (T ), C
transformed into austenite during heating is

600 now transformed into ferrite, pearlite, bainite, 880 N/mm2) in the surface layer, whereas
or martensite depending on the cooling dia- tensile residual stresses in the central part rT
gram (ITc diagram). The material untrans- amount to 200 N/mm2.
formed during heating is assumed to remain There are no radial residual stresses rr at the
400 untransformed during quenching. Through- surface, but in the central part they slowly
out the calculations, material parameters are increase up to 200 N/mm2.
chosen from the input curves at the tempera-
ture at hand. The authors also experimentally verified the
200 magnitude of axial residual stresses at three mea-
3. Temperatures and phase content as a function
of time in every point in the body are the suring points in the thin surface layer and cal-
results obtained. These values together with culated the mean value. The measurement of ax-
0 mechanical data are used as input data to the ial residual stresses was performed with x-ray
101 1 10 102 stress program. Stresses are calculated by the diffraction. Table 1 shows measured residual
finite element method. stress values at various measuring points (Ref
Time (t ), s
20). The average of three measurements at three
Measured temperature cycles (dashed lines) Figure 46 shows the measured and calculated measuring points gave 852 N/mm2 at the sur-
Fig. 46 temperature cycles in the middle of the cylindri- face and 1377 N/mm2 in the subsurface at a
and calculated temperature cycles (solid lines)
at different radii of cylindrical specimens. Source: Ref 20 cal specimen with 40 mm diameter and 120 mm radius of 19.91 mm. The deviations between the
length (Ref 20). In the middle of its length, that measured and the calculated values are compar-
is, at a distance of 60 mm, two thermocouples atively great. The authors attribute them to mea-
are mounted in the radial direction. They measurement errors as well as to the errors in cal-
800 sure the temperature during heating and cooling. culation due to inappropriately selected values
The first thermocouple is located at a radius r of of physical parameters.
11.5 mm and the second at a radius of 18.5 mm. Fujio et al. (Ref 25) in their third report on
Residual stresses (RS ), N/mm2
400
In the figure the temperatures measured are in- induction hardening focused on studies of dis-
dicated by a dotted line and the calculated ones tortion of gear wheel teeth and of residual
0 at the same measuring points by a solid line. The stresses in gear wheels. The authors measured
differences obtained at the given time t are sur- the outer diameter and the root diameter of the
prisingly small, namely: gear wheel across two opposite teeth and the root
400
z
T Table 1 Measured residual stress values by x-ray diffraction at various measuring points
800
r
Residual stress (rz), N/mm2
Radius (r), mm Point 1 Point 2 Point 3 Mean value
1200 20.03 858 779 920 852
0 5.0 10.0 15.0 20.0 20.00 1019 1278 1156 1151
Radius (r ), mm 19.96 1443 1250 1292 1328
19.59 1109 1204 1206 1173
Calculated residual stress in particular com- 19.91 1315 1423 1394 1377
Fig. 47
ponents after surface induction surface hard-
ening. rz, axial component; rT, tangential component; rr, Source: Ref 20
radial component. Source: Ref 20
0.3 parts of the teeth with a micrometer before and ing (Ref 25). Prior to quenching, the left tooth
0.2 after quenching. The same dimensions were also surface was marked with the letter a and the
Change of tip diameter (DT ), mm
0.1 Gear No. 2

calculated theoretically, taking into account the right tooth surface with the letter b. Measure-
0 volume changes due to phase transformations, ments of the height profile are shown for two
and serve as a basis of determination of devia- teeth, that is, those marked 1 and 14, of gear
0.3 tions. wheels 2 and 3. Considering that the tooth height
0.2 Figure 48 shows a change of the outer diam- is 10 mm and the deviations are plotted in mil-
0.1 Gear No. 3 eter of the gear-wheel tooth of gear wheels 2, 3, limeters, their absolute value can be evaluated.
0 and 4 (Ref 25). The gear wheel has 26 teeth, It ranges between 9 and 100 lm at each tooth
0.3 which means that the deviation was measured surface concerned.
0.2 between the first and the twenty-sixth tooth, 3 Residual stresses due to surface induction
0.1
and 16, and so forth, so that 13 total measure- hardening of the gear wheels were calculated
Gear No. 4
ments were made. The results of the measure- along the tooth surface during the heating pro-
0
1- 3- 5- 7- 9- 11- 13- ments are shown as points in the diagram. The cess as well as the quenching process. Figure
14 16 18 20 22 24 26 dotted line represents the theoretically calculated 52(a) shows distributions of internal stresses
Tooth number increase in diameter due to heat treatment. during the heating process after 20, 60, 100, and
Experimental Figure 49 shows a change of tooth height of 187s (Ref 25). The profile variation of internal
Theoretical gear wheels 2, 3, and 4, as in the previous case stresses indicates that:
(Ref 25). The dotted lines in the individual dia-
Fig. 48 Change of tip gear wheel diameter after In the initial heating phase, the internal
quenching. Source: Ref 25 grams represent the theoretical deviations of
stresses in the root of tooth are compressive
height of the individual teeth by 0.18 mm and
and reach up to 700 N/mm2; with further
the deviations found by measurement, which are
heating they change into tensile internal
mostly greater than the theoretical values. The
stresses ranging from 200 to 300 N/mm2.
greatest deviation can be found with gear wheel
0.2 Gear No. 2 They are considerably lower in the zone
4. It even exceeds 0.2 mm.
Change of whole depth (WD ), mm
0.1 reaching from the root to the pitch circle; up

Figure 50 shows changes of the root diameter.
to a heating time of 60 s, they are tensile and
Calculations show that after heat treatment the
reach up to 700 N/mm2; with further heating
root diameter reduces by around 0.02 mm (Ref
they gradually change to compressive stresses
Gear No. 3 25). The measured values of the same diameter,
0.2 attaining 100 N/mm2.
however, remained unchanged for gear wheels 2
0.1 They are obviously very low and insignificant
and 3 and decreased by 0.1 mm at maximum for
in the upper part of the gear wheel tooth, that
gear wheel 4.
is, from the pitch-circle diameter to the tip of
A comparison of the outer tooth diameter and
0.2 Gear No. 4 tooth; therefore, they are not plotted. Defor-
the tooth root diameter, taking account also of
mations are for this very reason the greatest
0.1 the tooth height, shows that distortion of indi-
at the tip of gear-wheel tooth.
0 vidual gear wheels is considerably more com-
1 5 10 15 20 25 plicated and cannot be described by the selected Figure 52(b) shows changes of internal
Tooth number measurement methods; therefore, also changes stresses during the heating process and the cool-
Experimental of tooth profiles along tooth height were mea- ing and quenching processes (Ref 25). It is char-
Theoretical sured. Figure 51 shows tooth profile error curves acteristic of the quenching process that consid-
Change of tip whole depth of gear wheel after after induction surface heating and after quench- erably higher internal stresses occur during the
Fig. 49
quenching. Source: Ref 25
Tooth tip
Gear No. 2 Gear No. 3
0.1
0
0.1
Change of root diameter (DR ), mm
Gear No. 2
0.2
0.1
0
0.1 Gear No. 3 Tooth root
0.2
(a) (b) Left Tooth No. 1 Right (b) (a) (a) (b) Left Tooth No. 1 Right (b) (a)
0.1
Gear No. 4
0
0.1
0.2
1,2- 4,5- 7,8- 10,11- 13,14-
14,15 17,18 20,21 23,24 26,1
Tooth number
Experimental
Theoretical
(a) (b) Left Tooth No. 14 Right (b) (a) (a) (b) Left Tooth No. 14 Right (b) (a)
Fig. 50 Change of root gear wheel diameter after
quenching. Source: Ref 25 Fig. 51 Tooth profile error curves after induction surface heating (a) and after quenching (b). Source: Ref 25
quenching process and are more important in the The residual stresses are a bit lower in the Figure 55 shows shape distortion after single-
root of tooth. The figures show the magnitude middle of the tooth surface, that is, at the frequency and dual-frequency induction surface
and variation of internal stresses after the cooling pitch circle; at the surface they amount to hardening in the half-cut of the gear-wheel tooth
times of 0.1, 1, 10, and 300 s, when the gear around 90 N/mm2, then gradually increase (Ref 24). Figure 55(a) shows simulation of dis-
wheel is finally cool. The series of graphical rep- with a greater depth to reach 400 N/mm2 tortion by showing first the initial shape of the
resentations of the internal stresses at the tooth at a 60 lm depth. tooth half-cut prior to hardening (dotted line) and
surface indicates that: the modified shape after dual-frequency induc-
A general conclusion can be drawn that the ex-
tion surface hardening (continuous line). Figure
In the initial quenching phase, that is, in 0.1 perimental as well as theoretical results agree
55(b) shows simulation of distortion in the same
and 1 s, the internal stresses are of the tensile very well and provide a lot of useful information
way as Fig. 55(a), but for the conventional
character along the entire tooth height; they especially to a technologist in manufacture of
single-frequency induction surface hardening.
are the highest in the root of tooth and grad- gear wheels.
In the figure the calculated actual size of dis-
ually decrease toward the tooth tip. In Ref 24, Inoue et al. treated the variation of
tortion is shown to be 50 lm with an equivalent
Between the quenching times of 1 and 10 s, tangential residual stresses in the root of tooth
geometrical scale of 2.0 mm. A comparison of
the sign of the internal stresses changes, the after single-frequency and dual-frequency sur-
latter gradually becomes compressive and face induction hardening. Figure 54(a) shows the
ranges between 100 and 150 N/mm2 in the variation of the tangential residual stresses in the
upper part of the tooth and up to 600 N/mm2 tooth root where usually the highest residual
in the root of tooth. stresses in gear wheels are found (Ref 24). The 100
Residual stress (RS), da N/mm2

At the end of quenching, that is, after the calculated residual stresses and the measured
cooling time of 300 s, the internal stresses ones after dual-frequency hardening refer to the 80
change considerably only in the root of tooth root width of gear-wheel tooth. The residual Root point
and attain up to 1500 N/mm2. stresses are measured with the x-ray diffraction. 60
Individual measurements are marked by points.
The magnitude of residual stresses was mea- The calculated residual stresses at the root sur-
sured with x-ray diffraction and strain gages. 40
face of tooth show the same values as the mea-
Figure 53 shows the results of measurement of sured stresses, but the variations of the two differ Pitch point
stresses in the pitch circle, that is, at the middle 20
strongly, particularly at a depth greater than 0.5
of the tooth surface for both teeth and in the root mm. The calculated variation of stresses in the
of tooth where critical residual stresses occur root cross section of tooth shows a linear depen- 0
0 30 60 90
(Ref 25). Using x-ray diffraction, the authors dence to a depth of 2.0 mm. At the surface, the Distance from tooth profile (z ), m
found that: calculated tangential residual stresses amount to
The highest residual stresses occur in the root; 650 N/mm2, and, with a small stress gradient, Fig. 53 Residual stress measurements on root and pitch
point below the tooth surface. Source: Ref 25
at the surface they amount to around 540 they change so that at a depth of 1.2 mm there
N/mm2, then increase to 750 N/mm2 at a is a transition to tensile stresses, which at a depth
depth of 30 lm to reach 870 N/mm2 at a of 1.9 mm attain around 400 N/mm2. The cal-
culated variation of tangential residual stresses 800
depth of 60 lm.
Residual stresses (RS), N/mm2
is ideal since the stresses are compressive and

show a sufficiently high value at the surface, 400
slowly decreasing with depth. Such a variation
ensures high fatigue strength of the material, and
the latter ensures, in turn, a longer life of a ma- 0
chine part.
Figure 54(b) shows the variation of tangential 400
residual stresses after single-frequency induction
surface hardening (Ref 24). Resulting from a bet- Calculated
800
ter and a more uniform heating of the central part Measured
of the gear wheel across the tooth height, a
1200
martensite-bainite microstructure forms after 0 0.5 1.0 1.5 2.0 2.5 3.0
20 s 60 s 100 s 187 s quenching, and very low compressive residual Distance from surface (z ), mm
(a) stresses are obtained through root depth of tooth. (a)
The tangential compressive residual stresses are
very low and amount to around 200 N/mm2.
800
Because of a very small stress gradient, they
change to give, at a depth of 0.25 mm, the tran- 400
sition of the compressive residual stresses into
the tensile ones reaching 100 N/mm2. Such a
0
variation of the residual stresses is unfavorable
because it does not provide sufficient compres-
sive residual stresses in the surface layer, which 400 Calculated
0.1 s 1s 10 s 300 s produces a decrease in fatigue strength of gear- Measured
Stress wheel teeth. Because of a symmetric variation of 800
daN/mm2 the residual stresses at both sides of the tooth, 0 0.5 1.0 1.5 2.0 2.5 3.0
0 50 Distance from surface (z ), mm
that is, the left and the right tooth surfaces, and
(b) (b)
a symmetric load state of the gear-wheel tooth
Principal stress during induction surface heat-
in operation, the tooth may often be subjected to Measured and calculated residual stress distri-
Fig. 52 a considerable tensile load, which results in dam- Fig. 54
ing and quenching process. (a) Heating pro- butions below the surface for dual (a) and sin-
cess. (b) Quenching process. Source: Ref 25 age to the tooth root or even a tooth failure. gle (b) frequency. Source: Ref 24
both cases of hardening from the viewpoint of of gear-wheel teeth. For testing of surface du- surface hardening and the sufficient strength of
tooth distortion clearly shows that distortion in rability of surface induction hardened machine the subsurface by selecting appropriate steel or
single-frequency surface induction hardening is parts, specimens with 60.3 mm in diameter and a steel to which a hardened-and-tempered core
twice that obtained after dual-frequency hard- made of steel S45C with 0.45% C were selected. has been added. Machine parts are mostly sub-
ening. The steel was hardened from an austenitizing jected to combined compressive and transverse
This difference in tooth distortion can be at- temperature of 850 C for 1 h and then quenched loads that produce surface wear and subsurface
tributed to the fact that in single-frequency sur- in water by high tempering at 650 C for 2 h. plastification. In the third case, that is, when the
face induction hardening, the martensite trans- Finally, the surface layer was induction hardened side of a gear wheel is subjected to an alternating
formation occurs in the whole tooth. under different conditions so that the depths of bending load, the magnitude of compressive re-
Consequently, the volume change of the tooth is hardened layer were 1.75, 2.95, and 5.00 mm.
greater and so is distortion. In dual-frequency sidual stresses in the surface layer is important
After surface hardening, tempering at a tempera-
too. An appropriate heat treatment ensuring
surface induction hardening only the tooth con- ture of 150 C was carried out for 2 h. Figure 56
tour gets hardened. Consequently, the volume shows the hardness distributions of induction compressive residual stresses in the surface can
change of the tooth is smaller and so is distor- surface hardened roller specimens IA, IB, and IC result in an increase in fatigue strength and, con-
tion; that is, it amounts to only half of that ob- (Ref 28). The surface hardnesses of roller spec- sequently, a longer life of a machine part. Thus
tained after single-frequency hardening. imens are designated HVIA, HVIB, and HVIC, re- it can be concluded that the knowledge of resid-
In Ref 28, Fujita et al. dealt with the devel- spectively. The hardness of induction surface ual stresses is most important in connection with
opment of an experimental procedure for assess- hardened layer is about 750 HV, and the core those machine parts that are subjected to alter-
ment of surface durability of two hardened ma- hardness is 200 HV in any specimen. The case nating or pulsating loads, that is, dynamic loads.
terials in a pair. Since the 1980s, steels have been depth is greatest in specimen IA and followed In this way, compressive residual and applied
used most frequently for surface hardening in by specimens IB and IC. The variations of hard- stresses are ensured at any moment so that no
manufacture of various gear wheels since this ness under different conditions of induction sur- cracks can appear or propagate. The whole pro-
hardening process is faster and very economical. face hardening show almost the same hardness cedure proposed by the authors is, with the re-
In order to clarify surface durability of surface at the surface and a very similar through- sidual stresses known beforehand, connected
hardened gear wheels, investigations were con- thickness variation of hardness of the hardened with a search of the optimal thickness of the sur-
ducted on surface defects, rolling fatigue life, layer. face layer in consideration of the radius of cur-
and determination of the optimal thickness of a vature of the sliding/rolling cylindrical speci-
Figure 57 shows the residual stress distribu- men.
hardened layer under sliding/rolling conditions tions of induction hardened rollers. The variation Table 2 (Ref 28) shows the effective and total
of the calculated tangential residual stresses case depths of each roller specimen determined
agrees with the expectations based on the vari- from hardness and residual stress distributions
ation of hardness and the hardened-layer thick- after various induction surface hardening con-
ness (Ref 28). The influence of the variation of
residual stresses on surface durability depends Table 2 Case depths of roller specimens
on the load applied to the machine part con-
cerned. With a continuous compressive load, Specimen Effective case Total case
mark depth zef, mm depth zT, mm
5 102 mm
plastification of the subsurface can occur; there-
IA 1.32 1.75
fore, it is necessary to ensure a sufficient thick- IB 2.20 2.95
(a) ness of the hardened layer and a sufficient IC 3.02 5.00
strength of the subsurface layer. The sufficient
thickness of the hardened layer can be achieved Source: Ref 28
by selecting appropriate conditions of induction
200
5 102 mm
100
(b)
0
Fig. 55 Distortion of tooth gear after induction hard-
ening with dual (a) and single (b) frequency. 100
Residual stress (T ), N/mm2
Source: Ref 24
200
300
800
400
IA 500
Vickers hardness, HV
IB Heat treatment
600 IC 600 conditions
700 IA Water quenching at fixed position
446 HV IB Coil: 65 10
400 800 IC Tempering 2 h 150
Material: S45C
1.75 2.95 5.0 900
200 1000
0 1.0 2.0 3.0 4.0 5.0 0 1 2 3 4 5
Distance from roller surface (z ), mm Distance from roller surface (z ), mm
Fig. 56 Hardness distribution of induction surface Fig. 57 Tangential component of residual stress distributions of induction surface hardened roller specimens. Source:
hardened roller specimens. Source: Ref 28 Ref 28
stresses do not disappear completely, even after duced in the same lot of carburizing and hard-
fatigue failure. The process of stress decrease is ening as shown in Fig. 6.
(a)
not simple, and reduction and partial increase is The change in the surface residual stresses
observed until fatigue failure. does not directly correspond to the change in dis-
(b) (+1.4%)
Changing Surface Residual Stress by Re- tribution of residual stresses shown in Fig. 37.
peated Stressing. The change of surface resid- The change of residual stress distribution is not
(c)
ual stress investigated by rotating beam fatigue simple, and their wavy distribution patterns have
(+10%)
test samples made of JIS SCM 420 is shown in no characteristic tendency. The general trend in
Fig. 36 (Ref 5). The surface compressive resid- decrease of residual stresses is in Table 6, where
ual stresses decrease at first and then turn to in- the total area in compressive stresses decreases
(d) (+12%) crease at around 0.5 million cycles, then turn to as stress cycle increases, even when the cyclic
decrease again after a million cycles. The point stress level is lower than that of high-stress
of fatigue failure does not correspond to the up- short-life test condition (Ref 5). The reduction
(+25%) and-down trend of residual stresses (Ref 5). of area in compressive stress is compared with
(e) (+47%) The process of reducing surface residual stress that of average distribution of three carburized-
differs by testpieces as decrease, increase and de- and-hardened samples shown in Fig. 6.
crease again until final failure. The data indicated
50 100 in Fig. 37 show amplitude of repeated stress. Oc-
casionally, some fatigue failure occurs during Influence of Residual Stress and
Rotate bending fatigue strength, kg/mm2
the increase stage of surface residual stress that Grain-Boundary Oxidation on Gear
Fig. 31 Comparison of various finishing methods to results from partial irregular distribution of the Strength
eliminate problems caused by surface anoma- residual stress measured at the portion near the
lies. (a) Basic process SCM 420 carburizing. Traditional fracture face.
carburizing as the base data. (b) Carburizing and NH3 ad- Case depth influences the endurance limit and
dition. Ammonium gas addition at the final stage of car- Changing Residual Stress Distribution by fatigue lifetime of gear teeth as shown in Fig.
burizing. (c) Vacuum carburizing. (d) Alloying. Experimen- Repeated Stressing. The decrease of residual 40. When the endurance limit exhibits double
tal steel with Ni-0.2%, reduce Si to 12 of standard steel. Mo stresses is not only a phenomenon that occurs at peak, the first peak exists at very thin case depth
increased. (e) Electrochemical etching and shot peening
compared by fatigue test. Source: Ref 29
the surface, but the decrease of compressive re- and second peak at about 1.0 mm ECD. This
sidual stress is also observed as the change of tendency is different from unnotched rotating
6 residual stress distribution as shown in Fig. 38 beam fatigue test results; however, the case
Improvement of endurance limit, kg/mm2
and 39. Figure 38 shows the process of reducing depth of the second peak is similar to that of
residual stresses at several layers in a fatigue rotating beam bending fatigue test as shown in
5 testpiece made of nickel-chromium case- Fig. 21. The same tendency is observed in im-
hardening steel (SNC21: 0.13C, 2.16Ni, 0.38Cr). pact bending fatigue test results of carburized
4 Near the surface, the change or decrease of re- notched square bar (Ref 25).
sidual stresses is clear, but change at the inner Carburized-and-hardened case gives high
core is not so large and is rather simple compared hardness, strength, and compressive residual
3 with the surface changes (Ref 31). The progress stress and contributes to the improvement of fa-
of relaxation of compressive residual stress by tigue durability, while the static and impact
2 repeated stressing is clear in residual stress dis- strength deteriorate. The compressive residual
tribution as shown in Fig. 39. The decrease of stresses possess an independent feature that has
1 area in compressive stress by fatigue is com- the highest value when certain case depth is ob-
0 20 30 40 pared with the residual stress distribution pro- tained at the surface layer, as shown in Fig. 22.
Axial residual stresses, kg/mm2
Fig. 32 Improvement in bending fatigue life by surface

residual stresses. Source: Ref 30
10
0 10
0
0
10
10
10
20
20
20
1 day 1 day
3 days 1 week As quench
30 1 week 15 days 30 150 C for 1 h
15 days 23 days
30 190 C for 1 h
23 days 1 month
1 month after quenching
after quenching 40
40 40 0 1.0 2.0 3.0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.1 0.2 0.3 0.4 0.5 0.6
Depth from surface, mm Depth from surface, mm
(a) (b) Influence of tempering on longitudinal residual
Fig. 34
stress of gas-carburized AISI 8617 steel. Gas
Fig. 33 Decrease of residual stress distribution due to aging. (a) AISI 1015 (S15CK) carbon steel. (b) AISI 8620 (JIS- carburized and directly oil quenched AISI 8617 19 mm
SNC21) nickel-chromium steel. Source: Ref 31 cylinder rod. Source: Ref 3
The depth of grain-boundary oxidation increases Influence of Residual Stresses Table 6 Decrease of area in compressive
as carburizing time is elongated, as shown in Fig. Produced by Hard Shot Peening residual stress by fatigue test in relation to
28, and their influence on fatigue strength in- nominal stress and repeated cycles
creases too. These two main factors combine and
result in a complicated influence on fatigue prop- General strengthening effects of compressive Testpiece Nominal stress, Stress Area in
No. kg/mm2 cycles, N compression, %
erties. Apparently, although grain-boundary ox- residual stress are well known, as shown in Fig.
32. The important influence of residual stresses Average of 3 Before fatigue test 100
idation has deleterious effects, the importance of 1 86.6 2.6 106 4.8
residual stress is more profound and should be have been reevaluated and investigated inten- 2 78.2 4.6 106 15.1
taken into account when designing gear durabil- sively (Ref 21, 29, 3338). Figure 41 shows the 3 74.1 1.0 107 21.2
ity. Figure 40 shows the influence of residual relation between compressive residual stress in-
stress and grain-boundary oxidation on gear troduced by intensive peening methods and fa- Source: Ref 5
tooth bending fatigue strength. tigue strength investigated via control of com-
The bending fatigue strength of a carburized- pressive residual stress profile and simulation of
and-hardened gear tooth depends on the fatigue their effects on fatigue strength (Ref 35).
strength of gear tooth root where applied stresses
concentrate. Fatigue strength of notched speci- Posthardening Shotblast Finish
men or mechanical components has the highest 40
peak at thin case depth zone as observed in Fig. In mass production, transmission gears are x
77.7
Surface residual stress, kg/mm2

40. On the other hand, tooth contact areas have blast cleaned to eliminate adhered soot and/or 78.8
x
rolling fatigue strength in relation to contact color resulting from the dissociation of quench 30
pressure and Hertz shear stress, which means the oils. Shotblasting and peening increase com- 68.7 x
x
tooth pitch area needs a thick case depth to with- pressive residual stresses. However, general
stand high rolling loads. Therefore, the design shotblasting equipment cannot introduce the uni- 20
specification of ECD for gear teeth is not as sim- form arc height and coverage necessary to im-
ple as the optimal case depth for flat specimens. prove surface fatigue durability. 73.3
86.3
Specification of ECD should take the operation By appropriate control of blasting condition 10 x
condition into account to satisfy application to attain uniform coverage and arc height, shot-
needs to guarantee total gear life against rolling blasting can increase fatigue durability of pro-
fatigue and bending fatigue life. In addition to duction gears by increasing surface compressive 0
the fatigue strength given by carburizing and residual stresses, although the durability is far 105 106 107
hardening, the influence of the postheat treat- less than that attained by shot peening and hard Number of cycles, N
ment process is increasing in importance. A part peening. The details of shot peening and hard
of postheat carburizing-and-hardening treat- peening operations are explained later in this ar- Fig. 36 Changes in surface residual stresses during fa-
ment, such as shotblasting, is explained earlier ticle. For example, compressive residual stresses tigue. Gas carburized at 920 C for 5 h (18 ks)
in 0.8% C atmosphere, quenched from 860 C in cold oil
in this article; however, the recent hard peening of production gears that were 0.1 6 kg/mm2 of 35 C , and tempered at 160 C for 2 h (7200 s). x,
technology has made great advancement and can be improved up to 30 kg/mm2. If the con- fracture point. Source: Ref 5
contributes to the improvement of load-carrying dition is controlled in an optimal level, it can
capacity of carburized-and-hardened gears. The increase surface residual stresses up to 48 5
following section explains the influence of re- kg/mm2 in compression even by traditional shot-
cent shot peening technology. blasting machines. It is very important to notice 10
0
40
0 20
0 10
Axial stress
40 Tangential stress 20
D = 0.3 mm D = 0.3 mm
Radical stress
As quenched 40 180 C
C tempered
tempered
80 60 20
40 40
20 20 As quenched
After 2.15 104 cycles
0 0 30
20 20 After 6.05 105 cycles
D = 0.3 mm D = 0.3 mm
60 60 40
250 C
C tempered
tempered 300 C
C tempered
tempered 0 0.1 0.2 0.3 0.4 0.5 0.6
80 80 Depth from surface, mm
100 80 60 40 20 0 100 80 60 40 20 0
Sectional area, mm Sectional area, mm Change in residual stresses due to repeated
Fig. 37
stressing. Materials: SNC21, pack carburized
Fig. 35 Change of residual stress distribution by tempering. Pack carburized, oil quenched from 880 C, and tempered for 2 h at 900 C, annealed, reheated up to 750 C, and
at each temperature for 2 h. Surface carbon 1.0% C, retained austenite 916.5%, case depth (0.6% C) 0.3 quenched in cold oil of 15 C and tempered at 150 C for
mm, TCD 0.9 mm. JIS SCr 420 steel, 11.3 mm diam by 80 mm. Source: Ref 32 30 min. Stress amplitude: 40 kg/mm2. Source: Ref 31
Recent advancement in modeling and simu- tortion problems vary. However, by the appli- influence of steel hardenability on the distortion
lation to estimate hardness, microstructure, and cation of appropriate countermeasures in jigging of differential ring gears and its affect on the
stresses is offering new ways to understand the and quenching methods, many distortion prob- over ball diameter (OBD) of transmission gears.
mechanism of distortion and appropriate mea- lems can be minimized. Distortion of Differential Ring Gears (Ref 39).
sures to reduce distortion problems. Transfor- Differential ring gears have been press quenched
mation plasticity influences distortion at the Types of Distortion to prevent warpage caused by uneven geometry,
higher-temperature region, where the tempera- for example, when one side has a gear tooth and
ture difference influences the expansion due to Distortion can be classified into several cate- the other side is flat but has many fastener holes.
transformation, and at the lower-temperature re- gories, such as geometrical change as warpage, However, even with press quenching, distortion
gion where the region transformation at the final twisting, bending, waving, expansion or shrink- of ring gear causes many problems. Most of the
stage is affected by surrounding stress field. De- age, and nonsymmetrical dimensional change. distortion types resulting from quenching are
pending on the type of heat treatment, causes of Shape and small size changes such as gear tooth flatness, taper, inner diameter, ellipticity, pitch
distortion are different, and the solution to dis- profiles and changes in lead angles also quite error, and tooth angle and pressure angle.
common phenomena that always raise problems. The pitch error of a ring gear increases with
Distortion related to gears are classified into increasing steel hardenability, as shown in Fig.
three basic categories: 43. It also affected by gear design with regard to
+ placement of fastener holes. The decrease of
Maximum pitch error, m
Body distortion in the form of warpage thickness behind the gear tooth increases hard-
Spec. limit Twisting introduced in body shape itself ness, causes deflection of gear teeth, and in-
Body shape distorted out of concentricity creases pitch error. Oil flow rate also has consid-
The most serious complicated distortions include erable influence, and pitch error increases with
tooth shape change on lead angle, tooth contour increasing the volume of oil flow. Even with
shape as pressure angle, teeth width and height press quenching, the minimum volume of oil
0 flow exceeds the level of oil flow necessary to
balance, and pitch errors, which affect gear
+ noise, vibration, and tooth fatigue life. These quench small ring gears used for popular pas-
senger vehicles.
Change of pitch error, m
types of distortion have a profound influence on

tooth contact, fatigue durability, local wear and Distortion increases as hardenability in-
scuffing problems, and contact noise. creases. Observations show that a quench
method appropriate for small ring gears is hot oil
quench with a rather high cooling rate. As ring
Examples of Methods to Reduce gears have gear teeth on one side and cooling
Distortion severity of the tooth side and the fastener hole
side differ very much, it is important to prevent
Gear distortion is affected by various factors overcooling of gear tooth side. Therefore, appli-
0 such as steel grade, hardenability, grain growth cation of a hot oil jig quench is recommended
20 25 30 35 40 S M L C B A
during carburizing, and quench methods. Most for small-pitch hypoid ring gears.
Jominy (1/ 2 in, HRC) Quench Carburizing automotive gears are carburized in continuous
oil cycle Distortion Affecting OBD of Transmission
(a) gas-carburizing furnaces and quenched into cold Gear (Ref 40). Steel hardenability has a pro-
or hot oil. Recent new technologies applying found influence on heat treatment distortion.
vacuum or reduced-pressure carburizing fur- Generally, the higher the hardenability of steel,
naces use a pressurized gas quench system and the larger the core hardness and distortion in-
the differences of the cooling media from the crease. The average variation of steel hardena-
traditional process necessitate new cooling tech- bility indicated by Jominy (12 in.) value has a
nologies. hardness of about 15 to 20 HRC if appropriate
Influence of Steel Hardenability on Dis- chemical composition control is not provided.
tortion. The following paragraphs discuss the Therefore, the control or selection of steel har-
Fastener hole
denability is important to reduce lot-by-lot scat-
ter of distortion. The same influence is observed
100 in many components, especially on gears having
high core hardness and ring gears that have a
Change of overball diameter, m
80 fastener hole behind the gear teeth. The distor-

Pitch error tion indicated in Fig. 44 is JIS SCr 420 (chro-
110 mm
mium case-hardening steel), and the hardenabil-
60 ity is Jominy 12 in. HRC. Transmission gear of
module 2.8 are carburized at 920 C and
(b)
quenched into semihot oil of 90 C (Ref 40).
40 Influence of Machining Condition on Dis-
Influence of steel hardenability, quench oil tortion (Ref 40). Residual stress resulting from
Fig. 43 previous machining has profound effects on dis-
flow, and case depth on distortion of hypoid 20
ring gears. Gas carburized at 920 C and press quenched HT = carburizing (920 C) and tortion, and as shaved thickness increases, dis-
with cold oil. (a) Maximum pitch error and change of pitch semihot oil quenching (90 C)
error in relation to steel hardenability (Jominy, 12 in.)
tortion such as OBD and its variations also in-
quench oil flow volume, and effective case depth. (b) Ra- 0 creases (Fig. 45). Such effects may result from
0 24 26 28 30 32
dial distribution of pitch error in relation to fastener hole difference of machinability, tool sharpness, and
placement. Press quench oil flow is adjusted from mini- Jominy (1/ 2 in.) HRC also by other machining conditions. Therefore,
mum (S), regular (M), and about 1.5 volume (L) com-
pared with regular flow volume. Approximate effective Influence of steel hardenability of SCr 420, on
the process control for stable quality production
Fig. 44 even before heat treatment should be carefully
case depth is A, 1.1 mm; B, 0.9 mm; C, 0.7 mm. Source: over ball diameter of module 2.8 carburized-
Ref 39 and-hardened transmission spur gears. Source: Ref 40 maintained.
connected with the occurrence of eddy currents face must have the highest compressive crack, and larger distortions and usually also
in the workpiece surface layer, which leads to stresses. high residual stresses would occur.
heating. Due to complex synergistic effects in If the total sum of stresses, namely, load ten-
Numerous changes that take place in the hard-
induction heating or hardening, it is necessary to sion plus residual stresses on the surface, are
ened surface layer of the workpiece are always
carefully study each influence on the properties always compressive, then there is no chance
a result of the heating and quenching conditions.
of the hardened surface layer (Ref 11, 34). Fa- for the occurrence of cracks and crack
Therefore, it is necessary to study the events tak-
tigue strength in machine components that have growth.
ing place in the workpiece directly after the hard-
been induction surface hardened is increased if To ensure good behavior of the surface and
ening temperature is reached. In the workpiece
the summed up load tensions and residual the hardened surface layer in the loaded con-
heated to the hardening temperature one can dis-
stresses in the surface layer are compressive. In dition, it is necessary to induce a suitable
tinguish three zones, shown in Fig. 67(a): the
order to ensure the highest fatigue strength of a prestressing in the surface layer. This can be
first where the outer layer is heated to the hard-
component, it is necessary to provide: achieved by a carefully selected heat treat-
ening temperature, the second zone layer heated
ment method that would create the highest
In dynamically loaded components, the sur- below the hardening temperature between the
compressive residual stresses on the surface
face is prone to fatigue occurrence, so the sur- temperatures TA1 and TA3 for rapid heating, and
and desirable profile of the latter in the hard-
finally the third zone layer, which remains cold
ened subsurface layer.
Induction surface hardening offers great op-
during the entire heat treatment process.
Heating to the hardening temperature at a cer-
Heated above hardening temperaturequenched portunities to ensure considerable compres-
tain depth is followed by quenching. Quenching
Heated below hardening temperaturequenched sive stresses in the machine component sur-
face and likewise to ensure restrained results in the occurrence of compressive residual
Core not heated
transformation of compressive surface stresses, as shown in Fig. 67(b), when the fa-
stresses in the subsurface layer into tensile miliar transformations in the hardened layer take
residual stresses. place. The second layer does not suffer the same
distortions as the surface layer, though the heat-
The endurance of machine components sub- ing there has been sufficient to improve the prop-
(a) jected to bending and torsion loads can be suc- erties of the material. In the second layer, hard-
cessfully increased by ensuring sufficiently high ening is incomplete, which in comparison with
Residual stress compressive residual stresses. To create a suffi- the first layer results in lower hardness and
+RS RS
cient amount of compressive residual stresses strength of material. In cases when a machine
Tension Compression that would have a favorable distribution is what component that has been surface induction hard-
any manufacturer wishes to achieve since only ened in this way is subjected to an external load,
in this way is it possible to increase the reliability as shown in Fig. 67(c), then additional tensile
of components in operation. An early failure of residual stresses can be noted in the first layer
Martensite Tempered a component in operation might cause cata- and the second layer (Fig. 67d).
Residual structure strophic damage on a machine and thus a loss of Since fatigue of a machine component is a
stress profit. A decisive role in the occurrence of resid- very delicate problem connected with accumu-
ual stresses is played by the synergistic effects lated tensile stresses in the second zone, there is
among the heat treatment method, the kind of a danger that, due to the size and shape and lo-
material, and shape of the workpiece. For this cation of the hardened trace, the effects of fa-
(b)
reason, heat treatment has to be treated from the tigue are transferred to the surface. When a
+ point of view of heating, overheating, and cool-
External load stress loaded layer is exposed to tensile external stress
Tension Compression ing/quenching and from the point of view of cre- up to the surface, then the surface becomes very
ated internal stresses at a certain point during the sensitive to the occurrence of cracks. This ten-
treatment. During heat treatment, internal dency to crack is further increased if defects are
stresses are created by the temperature differ- present in the surface of the workpiece material.
ences and phase transformations between the A critical state in the second zone of the hard-
core and the surface, which is a result of the vol- ened surface layer also occurs on locally hard-
ume differences between the core and the sur- ened workpieces where the surface was over-
face. The created volume differences between heated or heated nonuniformly.
the core and the surface then give rise to internal
stresses. During the process of heating and cool-
(c)
ing, internal stresses may produce the following Fatigue Strength of Materials
effects:
Tension Resultant stress Compression
In the case when in each moment lower in- In professional literature, data on fatigue
ternal stresses than that of the yield point are strength of materials are usually presented for a
ensured, one can expect higher residual prescribed shape and size of specimens that have
stresses induced by the heat treatment in the been adjusted to the testing device. Specimens
Resultant workpiece, but these would not cause distor- for fatigue strength are usually cylindrical with
stress
tions, cracks, or failure. a smaller diameter in the middle part and a
In the case when during the heat treatment at rounded transition into the larger diameter part.
a certain moment internal stresses exceed the The latter is then usually clamped for testing.
yield point, distortions and usually lower re- Modes of loading the specimens vary but are
(d) sidual stresses in the workpiece result. usually either torsion, bending, and/or tension/
In an extreme case of very detrimental con- compression. The highest fatigue strength is dis-
Fig. 67 Stress profile in a round bar in the loaded state
where residual stresses after induction surface
ditions during the heat treatment when inter- played by a specimen subjected to bending loads
hardening and loading stresses add up. See text for details. nal stresses are higher than the tensile (Ref 11, 32). For other modes of loading, the
Source: Ref 34 strength of the material, the workpiece would relation with bending fatigue strength rwb is ex-
pressed empirically, that is, fatigue strength in ence in the achieved fatigue strength is min- The question arises as to the fatigue strength
torsion sw 0.58 rwb, and fatigue strength in imal. This can be attributed to a very desirable in those specimens where the slot reaches deeper
tension/compression rwz 0.70 rwb. distribution and size of compressive residual than the hardened layer. A regular problem oc-
Figure 68 presents Wohler curves for different stresses throughout the hardened layer. Since curring in these cases is crack occurrence and
modes of dynamically loaded specimens made the depth of the slot reaches only one quarter crack propagation starting from the slot. Due to
from different steels that had been heat treated of the hardened surface layer, the size of com- the shape of the specimen and the slot, stresses
in different ways. From among six curves, four pressive residual stresses at the slot is still start concentrating at these places, depending of
represent specimens made from heat treatable very high, so that the weakening due to the course on the kind and size of external loads.
steel and two for cementation steel specimens slot and stress concentration along the slot Here it should not be forgotten that along the slot
(Ref 11). The heat treatable steel is Cr-Mo-Ni does not cause any essential drop in fatigue there are no compressive residual stresses, and
steel with 0.37% Ni, and the specimens were strength. that the size of tensile stresses along the slot
heat treated in two different ways: In quenched-and-tempered specimens with plays a decisive role in crack occurrence.
Surface hardening applied to specimens with no earlier prestressing of the surface layer en- Figure 69 shows bending stress in the tooth
a smooth shape (curve 1) and specimens with sured, the fatigue strength was considerably root subjected to dynamical load versus the num-
a slot (curve 2) lower than in surface hardened specimens. ber of oscillations (Ref 32). Figure 69(a) shows
Quenching and tempering applied to smooth Also remarkably lower was the fatigue the bending stress for the case of induction sur-
specimens (curve 4) and specimens with a strength of quenched-and-tempered speci- face hardening of adjacent flanks of two teeth
slot (curve 6) mens with a slot. The results in the graph with a coil reaching into the tooth gap. In the
show that the difference in fatigue strength in process the tooth flank as well as the tooth root
The cementation steel is a chromium nickel steel slotted surface hardened specimens and slot- are hardened. This kind of heat treatment of
with 0.15% C where the specimens were ted quenched-and-tempered specimens is 5 to gears from steels for induction surface hardening
smoothly shaped (curve 3) and slotted (curve 5). 1. gives a fatigue bending strength in the range
The achieved hardness on the surface of the Smooth cemented specimens displayed 25% from 320 to 490 N/mm2. Figure 69(b) shows the
hardened specimens was 56 to 59 HRC and on lower fatigue strength than the surface hard- same relationship for a case when the induction
the cemented specimens 58 to 59 HRC. In order ened specimens of the same shape, whereas coil encircles an individual gear tooth. In this
to test the effects of the slot on fatigue strength the cemented specimens with a slot displayed process, the tooth flank is hardened and the mi-
on all the specimens, whether they were
50% lower fatigue strength than the same sur- crostructure and hardness in the tooth root are
quenched and tempered, hardened, or cemented,
face hardened specimens. preserved. A result of this method of hardening
a slot of equal size and shape was made. It was
is that the fatigue strength is drastically lowered
made in the middle of the cylindrical specimen
to values ranging from 200 to 300 N/mm2 for
to an equal depth of 0.4 mm. The depth of the
surface hardening and cementation was the the entire range of steels suitable for induction
same1.5 mm. The test results showed that surface hardening. This is a considerable drop in
1400 fatigue strength of the material in the root of the

there are significant differences in terms of dif- 1200 Confidence limit
ferent heat treatment methods and that the high- 1000 according to DIN 3990
tooth (Ref 34, 35).
est fatigue strength was found in surface hard- 800
ened specimens.
A comparison of the results of fatigue testing 600 Residual Stresses after Induction
has shown that: Surface Hardening and Finish
400
In surface hardened specimens with a smooth Grinding
cylindrical shape and with a slot, the differ- 300
For manufacturing crankshafts, a heat treata-

200 ble 4140 AISI steel was used. This steel is very
70 appropriate for statically and dynamically loaded
Surface-hardened (smooth) 103 104 105 106 107 parts of car engines and machines, especially be-
60 Number of load cycles, N cause of its high hardness achieved after hard-
Surface-hardened (notched) (a) ening (57 HRC). The steel is characterized by
50
good hardenability and is thus suitable for manu-
Carburized (smooth) 1400 facturing machine parts with large cross sections
1200
wb, daN/mm2
Confidence limit in which after refinement a very high strength

40 Quenched and tempered (smooth) 1000
according to DIN 3990 can be obtained. After tempering the steel does
800
not show a tendency to brittleness, and therefore
30 600 no special heat treatment procedures are re-
Carburized (notched) Shot peened
quired. This steel is also suitable for surface
20 400 hardening (flame hardening, induction surface
hardening) and displays a very good resistance
300
10 Quench and tempered (notched) to wear. However, special attention has to be
paid during product design, and great care
200 should be given to the design of radius and tran-
0
0 1 2 3 4 5 6 7 sition areas to prevent notch effects under dy-
103 104 105 106 107 namical loads. The steel is adapted for the use
Number of load cycles, N 106
Number of load cycles, N in a wide range of temperatures and preserves
Fatigue strength of surface hardened and car- (b) high toughness even at low temperatures (Ref
Fig. 68
burized specimens. Curves: 1, surface hard- 17, 36).
ened (smooth); 2, surface hardened (notched); 3, carbu- Fig. 69 Bending fatigue strength of gear tooth at tooth
rized (smooth); 4, quenched and tempered (smooth); 5, gap hardening (a) and flank hardening (b) for
Figure 70 shows residual stress distribution
carburized (notched); 6, quench and tempered (notched). various steels. Dashed lines denote confidence limit ac- after induction surface hardening in the central
Source: Ref 11 cording to DIN 3990. Source: Ref 32 bearing location (A) and on the extreme left-side
bearing location (C). For both bearing locations Under different machining conditions of carbide, after grinding a finer martensite mi-
residual stresses were measured on two speci- grinding, different temperature cycles were ob- crostructure with a higher carbon content ob-
mens. The distribution of residual stresses on the tained on the surface and in the depth of the heat- tained at the expense of cementite-carbide
bearing location (A) is, as expected, very similar affected zone, which has effected microstruc- phases and with a possibility of a lower re-
on both specimens, the highest compressive re- tural changes and changes in the microhardness sidual austenite content may be expected in
sidual stresses ranging between 1020 and and residual stresses (Ref 3641). In the grind- the thin surface layer. The modified content
1060 N/mm2 at a depth around 250 lm, then ing process, the changes of temperature in the of the cementite-carbide phase depends on the
slowly dropping to a depth of 3.5 mm having the surface layer of the workpiece are very impor- heating conditions, whereas the content of the
size of around 800 N/mm2, then experiencing tant. Temperature measurements provide data on residual austenite depends on the cooling
a sharp fall to a depth around 5.5 mm. temperature cycles, which, because of the rela- conditions. Such a microstructure is still a
The residual stresses distribution after inductive movement of the workpiece and the grinder, typically quench microstructure, only in the
tion surface hardening on the bearing location indicate the variation of temperature both in very thin surface layer between 50 and 200
(C) is very similar to that in the central bearing heating and cooling of the given spot at the lm first austenization and then requenching
location (A), only its absolute values are slightly workpiece. The maximum temperatures occurred. The thickness of the requenched
lower and a distinct fall in the residual stresses achieved at the surface and in the surface layer layer depends on the grinder, the grinding
can be noted as early as around the depth of 3.5 are also very important. A distinction can be conditions, and the state of the grinder (sharp
mm, reaching its minimum value already at a made among four characteristic cases of tem- or used grains). Such a microstructure is still
depth around 5.5 mm. perature cycles: adequate and ensures the working life of the
It can be seen that the residual stress distri- machine part. The only risk is too high a con-
bution is just as favorable as in the central lo- The maximum temperatures at the surface tent of the residual austenite formed or vari-
cation except that its absolute values are slightly and in the surface layer are higher than the ous damages such as cracks, grooves, and
lower. The authors believe that the difference in fusion temperature of the workpiece material, galling to the surface and the surface layer.
the residual stress distribution can be related to depending on the temperature cycles. Such The maximum temperature in the contact
the period of overheating on the austenitization conditions may occur due to very sharp grind- zone is lower than the temperature required
temperature, which resulted in a thinner layer in ing conditions or due to the selection of an for the beginning of austenitization and
austenitization and thus also a thinner hardened inappropriate grinder with regard to the work- higher than the lower temperature, which is
surface layer. piece material. Both influences contribute to limited by the temperature of steel tempering
blunting of abrasive grains, which produces a and amounts to approximately 200 C. In this
larger contact zone between the abrasive case, the grinding conditions are very mild so
grain and the workpiece, which, in turn, pro- that with the selection of the right kind of
0
duces a stronger overheating of the work-
Bearing location A; grinder neither major nor important changes

200 Specimens A1, A2 piece. In such cases burns will occur at the are expected either at the surface or in the
workpiece surface and, consequently, soft- surface layer. In the surface layer only mar-
400 ened spots that do not ensure the working life tensite tempering may occur if it was not per-
A1 C2 required of a component, that is a machine formed already during the heat treatment of
600 part. the workpiece. Such grinding conditions are
Thus, on the surface a maximum temperature very welcome in the cases that the distortion
800
higher than the melting temperature of the of the workpiece is relatively small, and the
1000 Bearing location C; workpiece material was obtained. The depth additions for final fine grinding of the surface
Specimens C1, C2 of the remelted layer is only a few microns
C1 A2 are quite small.
1200 and makes a very fine ledeburite microstruc-
0 1 2 3 4 5 6 7
ture containing fine cementite spread in resid- The volume changes that may occur in the sur-
Depth below the surface (z ), mm
ual austenite. The newly formed microstruc- face layer after steel grinding are thus:
Fig. 70 Residual stress profiles after induction hard- ture has a slightly lower hardness than
Formation of the residual austenite contrib-
ening on the specimens A1 and A2 of the mean martensite. The residual stresses in the thin
bearing location in the middle of the crankshaft and on the utes to the formation of tensile residual
surface layer will be tensile due to plastic de-
specimens C1 and C2 on the extreme left-side bearing lo- stresses due to grinding.
formation of the surface layer in grinding
cation. Source: Ref 37 The lower content of the cementite-carbide
caused by tensile forces in the contact zone
phase produces formation of ledeburite con-
of the workpiece material and the tensile
taining the residual austenite, which contrib-
stresses induced by the occurrence of residual
0 utes to the formation of tensile residual
austenite should be added to this.
stresses due to grinding.
The maximum temperature in the contact
Bearing location A: The tempering effects in the martensite struc-
200
specimens A2: Normal zone is lower than the temperature required
grinding conditions ture also contribute to the formation of tensile
for the beginning of fusion of the given ma-
400 residual stresses due to grinding.
Bearing location C:
terial and higher than the austenitizing tem- Material plastification due to grinding can
specimens C2: Gentle perature. The lower temperature, that is the produce compressive or tensile residual
600 grinding conditions austenitizing temperature, will shift because stresses depending on the type of grinding
of a high rate of heating of the workpiece to- and the grinding conditions.
800 ward higher temperatures as known from
transformation diagrams. In such cases, the Figure 71 shows residual stress changes re-
1000 surface layer is expected to heat up to such a sulting from induction hardening and grinding
temperature as to produce a change in the for main bearing spots A and C (Ref 37). The
1200 crystal structure so that an austenitic micro- residual stresses were measured after grinding
0 50 100 150 200 250 300
structure, through which the accompanying only to a depth of 200 lm. The variation of the
Depth below the surface (z ), m
diffusion processes are going on, will form. residual stresses indicates that the favorable
Variation of the residual stresses after induction Provided the previous microstructure of the compressive residual stresses obtained with in-
Fig. 71 surface layer was martensite-cementite- duction hardening were reduced only slightly so
surface hardening and grinding. Source: Ref 37
ening, Third Report, Induction Hardening of mebehandlung, Werkstatt Betr., Vol 85 (No. Hardening and Finish Grinding Conditions
Gears Made of 535 C Carbon Steel, Bull. 5), 1952, p 183188 in Order to Ensure High Compressive Re-
JSME, Vol 22 (No. 169), July 1979, p 32. G. Parrish, D.W. Ingham, and M. Chaney, sidual Stresses on Machine Part Surface,
10011008 The Submerged Induction Hardening of The 12th International Federation of Heat
26. D.J. Williams, Quench Systems for Induc- Gears, Part 2: Properties Imparted and Prob- Treatment and Surface Engineering Con-
tion Hardening, Reprint from Metal Heat lems Solved, Heat Treat. Met., Vol 25, No. gress, Congress Proceedings, Vol 1, The In-
Treat., July/August 1995 2, 1998, p 4350 stitution of Engineers, Australia, Mel-
27. M. Melander, Proc. International Sympo- 33. G. Parrish, D.W. Ingham, and M. Chaney, bourne, Oct 2000, p 133138
sium on the Calculation of Internal Stresses The Submerged Induction Hardening of 38. E. Brinksmeier, A Model for the Develop-
in Heat Treatment of Metallic Materials, E. Gears, Part 1: Processing and Application ment of Residual Stresses in Grinding, Ad-
Attebo and T. Ericsson, Linkoping, Sweden, Aspects, Heat Treat. Met., Vol 25 (No. 1), vances in Surface Treatments: Technology,
1984, p 399419 1998, p 18 Application, Effects, Vol 5, International
28. K. Fujita, A. Yoshida, and K. Nakase, Sur- 34. S.L. Semiatin and D.E. Stutz, Induction Guidebook on Residual Stresses, A. Niku
face Durability of Induction Hardened Heat Treatment of Steel, ASM International, Lari, Ed., Institute for Industrial Technology
0.45% Carbon Steel and Its Optimum Case 1987 Transfer and Pergamon Press, 1987, p 173
35. P.K. Braisch, The Influence of Tempering
Depth, Bull. JSME, Vol 22 (No. 169), July, 189
and Surface Conditions on the Fatigue Be-
1979, p 9941000. 39. R. Snoeys, M. Maris, and J. Peters, Ther-
haviour of Surface Induction Hardened
29. G. Beck and A. Simon, Prediction of Resid- Parts, Mater. Sci. Forum, Vol 102104, mally Induced Damage in Grinding, Key-
ual Stresses, Advances in Surface Treat- 1992, p 319334 Note Papers, Ann. CIRP, Vol 27 (No. 2),
ments: Technology, Application, Effects, 36. J. Grum and D. Ferlan, Residual Internal 1978, p 571581
Vol 4, International Guidebook on Residual Stresses after Induction Hardening and 40. P.G. Althaus, Residual Stresses in Internal
Stresses, A. Niku Lari, Ed., Institute for In- Grinding, 17th ASM Heat Treating Society Grinding, Ind. Diamond Rev., No. 3, 1985,
dustrial Technology Transfer and Pergamon Conf. Proc., Including the First Interna- p 124127
Press, 1987, p 303326 tional Induction Heat Treating Symposium, 41. M. Moris and R. Snoeys, Heat Affected
30. G. Seulen and H. Voss, Oberflachenhartung D.L. Milan, D.A. Poteet Jr., G.D. Pfaff- Zone in Grinding Operations, Proc. 14th In-
mit Induktionserhitzung bei mittleren Fre- mann, V. Rudnev, A. Muehlbauer, and ternational Machine Tool Design and Re-
quenzen, Stahl Eisen, Vol 63 (No. 51), W.A. Albert, Ed., ASM International, 1998, search Conf., F. Koenigsberger and S.A.
1943, p 929935 p 629639 Tobias, Ed., Manchester, 1973, p 569
31. K. Kegel, Die Praxis der Induktiven War- 37. J. Grum, How to Select Induction Surface 669
Hardening by Reheating and Quenching

M. Narazaki, Utsunomiya University
G.E. Totten and G.M. Webster, G.E. Totten and Associates Inc.
OF THE VARIOUS STEEL PROCESSING Measurement and evaluation of quenching in the transformation process is to heat steel to
METHODS, heat treating has the greatest over- power its austenitizing temperature. Steel is then cooled
all impact on control of residual stress and on Effect of process variables on cooling behav- rapidly to avoid the formation of pearlite, which
dimensional control. Among the various pro- ior and heat transfer is a relatively soft transformation product, to
cesses involved in heat treating, quenching is Effect of cooling characteristics on residual maximize formation of martensite, a relatively
one of the most important. One author has esti- stress and distortion hard transformation product, to achieve the de-
mated that approximately 20% of the problems Methods of minimizing distortion sired as-quenched hardness.
in heat treating relate to heating and as much as Tempering The most common transformation products
80% of the problems relate to cooling (Ref 1). Prediction of residual stress and distortion that may be formed in quench-hardenable steels
This article provides an overview of the effects from austenite are in order of formation with de-
of various material- and quenchant-related pa- creasing cooling rate: martensite, bainite, pearl-
rameters on residual stress, distortion control, Phase Transformation during Heat ite, ferrite, and cementite. The formation of these
and cracking. The subjects that are discussed in- Treating products and the proportions of each are depen-
clude: dent on the time and temperature cooling history
of the particular alloy and elemental composition
Phase transformations during heat treating
of that alloy. The transformation products
Metallurgical sources of stress and distortion Steel Transformation formed are typically illustrated with the use of
during reheating and quenching transformation diagrams that show the tempera-
Effect of materials and quench process design Properties such as hardness, strength, ductil- ture-time dependence of the microstructure for-
on distortion ity, and toughness are dependent on the micro- mation process for the alloy being studied. Two
Quenchant selection structures that are present in steel. The first step
of the most commonly used transformation dia-
grams are time-temperature-transformation
(TTT) and continuous-cooling-transformation
(CCT) diagrams.
800 A3 TTT diagrams, also called isothermal trans-
formation (IT) diagrams are developed by heat-
ing small samples of steel to the temperature
700 A1
where austenite transformation structure is com-
Pearlite start pletely formed, that is, austenitizing temperature,
600 then rapidly cooling to a temperature interme-
Bainite
Bainite start Pearlite end
end diate between the austenitizing and the marten-
Temperature, C
500 site start (Ms) temperature, and then holding for

Bainite end a fixed period of time until the transformation is
400 complete, at which point the transformation
products are determined. This is done repeatedly
300 until a TTT diagram is constructed such as that
Martensite
shown for an unalloyed steel (AISI 1045) in Fig.
200
1. TTT diagrams can only be read along the iso-
therms.
CCT Diagrams. Alternatively, samples of a
100
given steel may be continuously cooled at dif-
ferent specified rates, and the proportion of trans-
0
1 101 102 103 104 105
formation products formed after cooling to vari-
Seconds
ous temperatures intermediate between the
1 2 4 8 15 30 60 austenitizing temperature and the Ms are deter-
Minutes mined to construct a CCT diagram such as the
1 2 4 68 16 24 one shown for an unalloyed carbon steel (AISI
Time
Hours
1045) in Fig. 2. CCT curves provide data on the
Time-temperature-transformation (TTT) diagram of an unalloyed steel containing 0.45% C. Austenite tempera- temperatures for each phase transformation, the
Fig. 1
ture 880 C. Courtesy of Verlag Stahlessen mbH Dusseldorf amount of transformation product obtained for a
given cooling rate with time, and the cooling rate (Ref 2). Typically, when a carbide-ferrite mix- and C equals the weight percentage of carbon
necessary to obtain martensite. The critical cool- ture is converted to martensite, the resulting ex- dissolved in austenite and martensite.
ing rate is dictated by the time required to avoid pansion due to increasing carbon content is ap- Berns reported that if the value of (DV/V) is
formation of pearlite for the particular steel be- proximately 0.002 in./in. at 0.25% C and 0.007 known or can be computed, then internal stresses
ing quenched. As a general rule, a quenchant in./in. at 1.2% C (Ref 2). The fractional increase that are developed in a part due to temperature
must produce a cooling rate equivalent to, or fas- in size when austenite is converted to martensite differences (DT) arising from either one-dimen-
ter than, that indicated by the nose of the pearl- is approximately 0.014 in./in. for eutectoid com- sional heating or cooling could be estimated
ite transformation curve to maximize martensite positions. This illustrates the effect of carbon from (Ref 6):
transformation product formation. CCT dia- structure and steel transformation on residual
grams can only be read along the curves of dif- stresses and distortion, which leads to dimen- r E e E 13 (DV/V) E DT
ferent cooling rates. sional changes.
Estimation of Volumetric Change. In the where E (modulus of elasticity) 2 105 N/
Caution: Although it is becoming increas-
previous discussion, it is shown that there are mm2 and (coefficient of thermal expansion)
ingly common to see cooling curves (tempera-
various microstructures possible upon quench- 1.2 105. Relative volume changes due to
ture-time profiles) for different cooling media
ing of steel and that the potential microstructural phase transformation are shown in Fig. 6 (Ref
(quenchants) such as oil, water, air, and others,
transformations that are possible for a given steel 6).
superimposed on either TTT or CCT diagrams,
are shown by their CCT or TTT diagrams. Fur- Figure 7 shows that stresses, such as an in-
this is not a rigorously correct practice and vari-
thermore, dimensional changes are possible, decrease in hydrostatic pressure, accelerate phase
ous errors are introduced into such analysis due
pending on the carbon content and microstruc- transformations (Ref 7). This will occur whether
to the inherently different kinetics of cooling
tural transformation product formed. Table 1 the stresses are tensile or compressive and will
used to obtain the TTT or CCT diagrams versus
summarizes the atomic volumes of different mi- result with accelerated austenite decomposition
the quenchants being represented. A continuous
crostructural components as a function of carbon and increasing Ms temperature. The strain of this
cooling curve can only be superimposed on a
content (Ref 3). Table 2 provides an estimate of process is often estimated as being equal to the
CCT, but not on a TTT diagram.
volumetric changes as a function of carbon con- volumetric expansion divided by 3 (Ref 8).
Metallurgical Crystal Structure. When steel
tent for different metallurgical transformations Transformation plasticity is a process whereby a
is slowly cooled, it undergoes a crystal structure
(Ref 4). stress will affect linear strain. This is shown in
(size) change as it transforms from a less densely
packed austenite (face-centered cubic, or fcc) to Thelning reported that volumetric expansion
a more densely packed body-centered cubic that occurs as a result of quenching could be es-
(bcc) structure of ferrite. At faster cooling rates, timated from (Ref 5):
the formation of ferrite is suppressed and mar-
tensite, which is an even less densely packed DV/V 100 (100 VC Va) 1.68C
body-centered tetragonal (bct) structure than Va (4.64 2.21C)
austenite, is formed. Illustrations of these crystal
structures are provided in Fig. 3. This results in where (DV/V) 100 equals the percentage
a volumetric expansion at the Ms temperature as change in volume, VC equals the volume per-
shown in Fig. 4. centage of undissolved cementite, (100 VC
Figure 5 shows that the crystal lattice of aus- Va) equals the volume percentage of martensite,
tenite expands with increasing carbon content Va equals the volume percentage of austenite,
(a)
800 A3
700 A1
600
Pearlite start
Temperature, C
Pearlite end
500
Bainite start
400
Bainite end (b)
Martensite
300
200
100
0
0.7 1 10 60 102 103 104 105
Seconds
1 2 4 8 15 30 60
Minutes
1 2 4 68 16 24
Time Hours (c)
Fig. 2 Continuous-cooling-transformation diagram of an unalloyed steel containing 0.45% C. Austenite temperature Fig. 3 Crystal structures. (a) Austenite, fcc. (b) Ferrite,
880 C. Courtesy of Verlag Stahlessen mbH Dusseldorf bcc. (c) Martensite, bct
Fig. 8 where the effect of applied stress on mar- large effects on the start and stop times for pear- At the point of maximum temperature differ-
tensitic transformation strain is shown (Ref 8). litic transformation (Ref 7). ence between the surface and the core (point T),
Generally, the Ms temperature is increased by Cooling and Steel Metallurgical Transfor- the core cools (shrinks) more quickly than the
tensile stress and decreased by hydrostatic pres- mation. The following paragraphs discuss cool- surface, leading to an elastic dimensional reduc-
sure. Figure 9 shows that stress exhibits very ing of steel both with and without metallurgical tion of the surface until a point of stress conver-
transformation. sion is obtained, at which point the surface is in
Cooling without Transformation (Ref 8, 9). If compression relative to the core. After cooling
steel is cooled sufficiently fast, cooling will not has been completed, the residual stress distri-
be accompanied by microstructural transforma- bution, between the surface and the core shown
Temperature, F tion changes. Under these conditions, the surface at the bottom right in Fig. 10 (Ref 10), will be
0 200 400 600 800 1000 1200 1400 1600 of the component cooled much more quickly obtained. If the surface stresses exceed the hot
1.4
than the core at first, as illustrated in Fig. 10 (Ref yield strength of the material, it will plastically
10). At this point, the specific volume in the core deform, resulting in thermally induced dimen-
is greater than that of the surface, and the reduc- sional changes.
1.2
tion in volume at the surface (due to lower tem- Cooling with Transformation (Ref 8, 9). When
Austenite perature) is resisted by the greater volume in the steels that may undergo transformational
core, resulting in the surface being in tension and changes are quenched, the possibility of the for-
1.0
High-temperature
the core in compression. mation of both thermal and transformational
transformation stresses must be considered. Figure 11 illustrates
Table 1 Atomic volume of different micro- three different examples of this process (Ref 9).
0.8 Example 1, illustrated in Fig. 11(a), occurs
Linear expansion, %
Very slow structure constituents of ferrous alloys

cooling when phase transformation of both the surface
Phase 3
Apparent atomic volume, A and the core occurs before the thermal stresses
0.6 Ferrite 11.789 change sign. Above the Ms transformation tem-
Rapid Cementite 12.769 perature, the stresses that are formed are thermal.
Pearlite
quenching Ferrite carbides 11.786 0.163 C(a)
Pearlite 11.916 Upon further cooling, the stresses in the core ex-
0.4 Austenite 11.401 0.329 C(a) ceed the yield strength and plastic deformation
Martensite Martensite 11.789 0.370 C(a) (elongation) occurs. Subsequent martensitic
forms Austenite transformation at the core provides a substantial
(a) C, % C stress component due to volumetric increases
0.2
from martensitic phase transformation. This
Ms causes the core to be in compression and the sur-
0 Table 2 Volumetric changes with different face to be in tension simultaneously.
steel transformations Example 2 (Fig. 11b) illustrates the case that
0 100 200 300 400 500 600 700 800 900
begins after the thermal stresses change sign.
Steel transformation Volumetric change (a)
The transformation-induced volume increase of
Temperature, C Pearlite austenite 4.64 2.21 C the surface layer adds to the compressive stresses
Austenite martensite 4.64 0.53 C
Steel expansion and contraction upon heating Austenite acicular lower bainite 4.64 1.43 C
at the surface. Since the stresses are balanced,
Fig. 4 there is a corresponding increase in the tensile
and cooling Austenite feathered upper bainite 4.64 2.21 C
stresses in the core.
(a) C, % C Example 3 is a case where, although the trans-
formation of the core starts later, it finishes be-
3.61 1.080 fore the surface (Fig. 11c). During cooling, the
sign of the stresses changes three times. There
Austenite, A
3.59 are important consequences whether the core

a
transforms before or after the stress reversal be-
3.57 1.060 0.132 cause thermal stresses may be counteracted, and
Martensite
Martensite
c/a tensile surface residual stresses may result (Ref
Retained
3.55 0.130 austenite
8).
Tempered This is illustrated in Fig. 12(a) where it is
1.040 martensite shown that if the steel transformation occurs be-
Specific volume, cm3/g
c/a
0.128 fore the thermal stress maximum, the ferrite/

3.04 pearlite structure of a cylindrical test specimen
Martensite, A
Ferrite + carbide will be distorted into a barrel-shape (Ref 6). If

c 0.126
2.96 1.020 the transformation occurs after the thermal stress
Austenite maximum, the austenite is pressed into a barrel
2.88 0.124 shape followed by a volumetric increase due to
a
martensitic transformation as shown in Fig.
0 1.000 12(b). This will result in high tensile residual
0 0.4 0.8 1.2 1.6 0.122
stresses on the surface. If the steel transformation
Carbon, wt%
occurs simultaneously with the maximum ther-
Carbon content versus lattice parameters of (re- 0.120 mal stresses, as shown in Fig. 12(c), transfor-
Fig. 5 0 0.4 0.8 1.2 1.6 2.0
mation in the core will occur prior to surface
tained) austenite and martensite at room tem-
perature. a at the top of the graph is the lattice parameter Carbon content, % transformation, and a barrel shape will appear
of fcc austenite. a and c in the lower half of the graph are
the two lattice parameters of tetragonal martensite. The ra- Specific volume (DV/V) of carbon steels relative
with high compressive stresses on the surface. If
Fig. 6 the surface is transformed prior to the core, the
tio of c/a for martensite as a function of carbon content is to room temperature. Tempered martensite,
also given. 200 C transformational stresses will decrease, or pos-
sibly even reverse the thermal stresses. If this changes occurring during the tempering of hard- occur in the plastic zone and are permanent.
occurs, a spool shape will be formed. ened steel (Ref 10). Upon heating, the stresses are gradually relieved
These data show that the position of cooling Figure 14 (Ref 11) illustrates the effect of di- by changes in the shape of the part due to plastic
curves for both the surface and the core for the mensional variation and retained austenite con- flow. This is a continuous process, and as the
quenching process must be considered with the tent of a bearing steel (100 Cr 6) as a function temperature of the part is increased, the material
appropriate TTT curve for the steel of interest of tempering temperature. In addition to those yield stress decreases as shown in Fig. 16 (Ref
and that there are numerous mixtures of thermal effects discussed previously, tempering may also 13). It is a function not only of temperature but
and transformational stresses possible. Table 3 lead to dimensional variation due to relaxation also of time, since the material will creep under
provides a summary of these processes (Ref 6). of residual stresses and plastic deformation, lower applied stresses. It is apparent that the
In some steels, those with higher carbon con- which is due to the temperature dependence of stresses can never be reduced to zero, because
tent and alloy steels, the martensite finish (Mf) yield strength (Ref 10). the material will always possess some level of
temperature is below 32 F (0 C), which means yield strength below which residual stresses can-
that it is likely that at the conclusion of heat treat- not be reduced.
ing there will be as much as 5 to 15% of austenite Metallurgical Sources of Stress and Material Movement. When parts are heated
remaining (Ref 11). The amount of retained aus- Distortion during Reheating and during heat treatment, a thermal gradient exists
tenite will exhibit significant effects on the mag- Quenching across the cross section of the component. If a
nitude of compressive stresses formed and ulti-
mately on dimensional changes to be expected.
Some of the factors affecting retained austenite Basic Distortion Mechanism. Shape and
formation include: chemical composition (which volume changes during heating and cooling can 3
dictates the Ms temperature), quenching tem- be attributed to three fundamental causes (Ref
12): 285 MPa
perature, quenching cooling rates, austenitizing
temperature, grain size, and tempering. Residual stresses that cause shape change
when they exceed material yield strength. 2
Strain (L/Lo), %
Tempering This will occur on heating when the strength
properties decline. 209 MPa
The tempering process involves heating hard- Stresses caused by differential expansion due
ened steel to some temperature below the eutec- to thermal gradients. These stresses will in- 107 MPa
toid temperature in order to decrease hardness crease with the thermal gradient and will 1
and increase toughness. In general, tempering is cause plastic deformation as the yield 18 MPa
divided into four stages, which are summarized strength is exceeded.
in Table 4 (Ref 10). These include: Volume changes due to transformational
Tempering of martensite structure phase change. These volume changes will be 0
Transformation of retained austenite to mar- contained as residual stress systems until the 0 100 200 300
tensite yield strength is exceeded. Temperature (), C
Tempering of the decomposition products of
Relief of Residual Stress. If a part has locked- Fig. 8 Dilatometer curves for a 0.6% C steel
martensite and at temperatures 900 F (480 in residual stresses, these stresses can be relieved (60NCD11) for different applied stresses
C) by heating the part until the locked-in stresses
Decomposition of retained austenite to mar-
exceed the strength of the material. A typical
tensite (Ref 11) stress-strain curve obtained from a tension test
Figure 13 illustrates the effect of microstructural is shown in Fig. 15 (Ref 12). Initial changes in
variation during tempering on the volume shape are elastic, but under increased stress they
200
1000
900
800
Tim e ( t ) , s
1 atm
700
F.P. =(12
12kbar)
kbar
Temperature, C
600 F.P. =(23

23kbar)
kbar 100
500
B =(11atm)
atm tF
400
Mss =(11atm)
atm B =(12
12kbar)
kbar
300
B =(23
23kbar)
kbar tD
200 Mss =(12
12kbar)
kbar
0
100 Mss =(23
23kbar)
kbar 0 20 40 60 80
Tensile stress (), MPa
0
1 10 102 103 104 105
Time, s Fig. 9 Effect of tensile stress on pearlite transformation
starting and ending times. Isothermal transfor-
Fig. 7 Effect of hydrostatic pressure on the transformation kinetics of 50CV4 steel. B, bainite; F.P., ferrite-pearlite mation at 673 C, eutectoid steel. The tD and tF times are
transformation; Ms, martensitic start temperature. Source: Ref 7 transformation starting and ending times, respectively.
section is heated so that a portion of the com- There are various factors that can affect dis- component design. Poor component design pro-
ponent becomes hotter than the surrounding ma- tortion and growth of steel heat treating. These motes distortion and cracking by accentuating
terial, the hotter material expands and occupies include: component design, steel grade and con- nonuniform and nonsymmetrical heat transfer
a greater volume than the adjacent material and dition, machining, component support and load- during quenching. Component design character-
will thus be exposed to applied stresses that will ing, surface condition, heating and atmosphere istics that are common to distortion and cracking
cause a shape change when the material strength control, retained austenite, and the quenching problems include (Ref 19, 20):
is exceeded. These movements can be related to process (Ref 18).
heating rate and section thickness of the com- Parts that are long (L) with thin (d) cross sec-
ponent. Component Design tions. Long and thin parts are defined as:
Volume Changes during Phase Transfor- greater than L 5d for water quenching, L
mation. When a steel part is heated, it trans- One of the overwhelming causes of steel 8d for oil quenching, and L 10d for
forms to austenite with an accompanying reduc- cracking and unacceptable distortion control is austempering where L is the length of the
tion in volume as shown in Fig. 4 (Ref 14).
When it is quenched, the structure transforms
from austenite to martensite and its volume in-
1000
creases. If these volume changes cause stresses Center
that are constrained within the strength of ma- T
Temperature, C
terial, a residual stress system is created. If the Surface
stresses cannot be contained, then material 500
0
movement will occur, which will cause cracking
under extreme conditions. The expansion is re-
lated to the composition of the steel. Fig. 17
shows the relative volume increase of two steels 0
as a function of austenitizing temperature and 0 10 100 1000
specimen dimensions. Time, s
While all of these phenomena are well-known Tension A Residual stress Tension
physical changes, the situation is made more B
complex when all three events occur simulta- Center
neously. In addition, other events such as heating B
rate, quenching, and inconsistent material com- Surface
position further complicate the process. 0 0
Surface
C
Effect of Materials and Quench
Process Design on Distortion Compression
Compression Center Surface
Quenchant selection and quenching condi- Fig. 10 Development of thermal stress on cooling in steel specimen. T, time instant of maximum temperature differ-
tions are critically important parameters in ence; O, time instant of stress reversal; curve A, stress variation at the surface under elastic condition. B and
quench system design. For example, one study C are actual thermal stress variations at the surface and the core under elastic-plastic conditions.
compared the distortion obtained with quenching
of a 0.4% medium-carbon plain steel bar of 200
mm diameter by 500 mm long in water or oil Core
TA Core TA Core TA
from 680 C (Ref 15, 16). The results, shown in
Fig. 18(a) and (c), show that essentially equiv-
Temperature
alent variation in diameter and length with both Surface

Surface
Surface
cooling processes were obtained that were due Ms Ms Ms
to thermal strains within the steel. Interestingly,
the well-known diameter variations at the end of
the bar, known as the end effect, were ob- RT
served; this is attributed to heat extraction from
both the sides and ends of the bar.
When the bars of the same type of steel and
the same dimensions were heated to 850 C to +
Stress, z
austenitize the steel and then quenched in water

or oil, the results shown in Fig. 18(b) and (d),
respectively, were obtained (Ref 15, 16). Con-
siderably greater dimensional variation and
lengthening of the bar (for the oil quench) were
obtained due to both thermal and transforma- tu tu tu
tional strains with the steel. Time Time Time
Thuvander and Melander modeled the dimen- (a) (b) (c)
sional changes of a 70 mm steel (0.15% C, 1%
Mn, 0.75% Cr, 0.85% Ni) cube after austenitiz- Surface Core
ing and then quenching in water and oil (Ref 15, Thermal stress
17). The results of this work (Fig. 19) show that Total stress
the edges and faces shrink (becoming concave),
and the effect is greater when quenched in water Comparison of thermal and transformational stresses for three different quenching conditions. See text for
Fig. 11
than when quenched in oil. details. tu, time instant of stress reversal
parts and d is the thickness or diameter. Long of alignment. A general rule for solving such The compositional tolerances should be
and thin parts may be quenched using a sup- quench distortion problems is that the short side checked to ensure that the alloy is within
port mechanism such as that shown in Fig. is the hot side, which means that the inside of specification.
20. the bowed metal was quenched more slowly than However, some alloys are particularly prob-
Parts that possess large cross-sectional area the opposite side (Ref 20). lematic. For example, some steel grades must
(A) and are thin (t), are defined as: A 50t. be water quenched when the alloy composi-
Parts that exceed these dimensions often must be Steel Grade and Condition tion is on the low side of the specification
straightened or press quenched to maintain di- limit. Conversely, if the alloy composition is
mensional stability (Ref 20). If possible, mate- Although quench cracking is most often on the high side, cracking is more common.
rials with sufficient hardenability should be oil caused by nonuniform heating and cooling, ma- Steel grades that exhibit this problem include:
or salt quenched. A schematic of a press quench- terial problems may be encountered. Some typ- 1040, 1045, 1536, 1541, 1137, 1141, and
ing system is shown in Fig. 21. ical material problems include (Ref 19): 1144. As a rule, steels with carbon contents
Design symmetry is also an important variable
to minimize distortion. For example, the unsym-
metrical gear design shown in Fig. 22(a) typi- Table 3 Size change and residual stress caused by heat treatment of prismatic parts (see
cally may undergo distortion as shown in Fig. Fig. 12)
22(b) (Ref 19). (The load on a gear tooth in-
creases as the 4.3 power of the taper, Ref 19.) Dimensional
(DT)2 (DV/V)3 dependency (De) (rE) Example
Solution to the gear design problem shown in
Fig. 23 is to provide greater symmetry as shown Change of microstructure Small 0 e1 e11 e111 0 0 Tempering, precip.
Hardening,
in Fig. 23. If this is not possible, press quenching isotropic material
or tooth-by-tooth induction hardening may be Thermal stress Big 0 e1 e11 e111 0 0 Quenching of
the only solutions (Ref 19, 20). austenitic steels
Another common design problem is with parts Thermal and
transformation stress
having holes, deep keyways, and grooves. One Transformation R K Small 0 e1 e11 e111 00 0 In air
illustration of this problem is hardening of a after thermal stress Big 0 e1 e11 e111 0 Full hardness
shaft over a lubrication cross hole as shown in maximum penetration
Fig. 24 (Ref 19). Preferred alternative designs In water
are also shown in Fig. 24. If a radial cross hole Transformation R Big 0 e1 e11 e111 0 0 Medium hardness
before K after thermal penetration
is mandatory, the use of a carburized steel with stress maximum
oil quenching would be preferred. Transformation K Big 0 e1 e11 e111 0 0 Shallow hardness
Distortion that was encountered when quench- before R after thermal penetration (shell
ing a notched part, such as a shaft with a milled stress maximum hardening)
Transformation R K Small 0 e1 e11 e111 00 0 Normalizing,
slot, is shown in Fig. 25 (Ref 20). In this case, before thermal stress Big 0 e1 e11 e111 0 quenching
nonuniform heat transfer results. The metal maximum without hardening
within the notch is affected by the shrinkage of
the metal around it due to slower cooling within R surface; K core; DT (TK TR); DV/V relative volume change; Convexity De ek em; em and ek dimensional change in middle
the slot caused by vaporization of the quenchant. of the plane, respectively, at the edge; rE residual stress at the surface (remaining stress)
Therefore, upon cooling the metal on the side

with the shaft is too short, pulling the shaft out
Table 4 Metallurgical reactions occurring at various temperature ranges and related physi-
cal changes of steel during tempering
Transformation for 2
Temperature
K range
Stage C F Metallurgical reaction Expansion/contraction
R P 1 0200 32392 Precipitation of e carbide. Loss of tetragonality Contraction
Temperature , C
2 200300 392572 Decomposition of retained austenite Expansion

3 230350 446662 e carbides decompose to cementite Contraction
4 350700 6621292 Precipitation of alloy carbides. Grain coarsening Expansion
Tmax
B
M
1 2 3 4
Decomposition of
martensite to
ferrite and cementite
Increase in volume
log t, s
Retained austenite
1 Tmax UR UK
to martensite
2 UR Tmax UK Retained austenite Carbide
to bainite
3 UK Tmax UR precipitation
4 UR UK Tmax
Barrel Spool 0 100 200 300 400 500 600 700 800 900
Tempering temperature, C
Fig. 12 Size change due to thermal changes and phase
transformation. K, core; R, surface Fig. 13 Effect of microstructural constitutional variation on volume changes during tempering
and hardenability greater than that of 1037 are typically more surface seams that act as stress the ideal condition (Ref 18). Subcritical anneal-
difficult to water quench (Ref 19). risers with dirty steels, and steels with higher ing is performed to relieve stresses incurred dur-
Some steel grades with high manganese are sulfur levels are often manufactured to coarse ing normalization without softening or homog-
prone to microsegregation of manganese and grain practice for improved machinability, enizing the steel. The subcritical annealing
gross segregation of chromium are prone to which also imparts greater brittleness and process reduces the carbon content and alloy car-
cracking. These include: 1340, 1345, 1536, propensity for cracking. bide content in the austenite allowing the pro-
1541, 4140, and 4150. If possible, it is often Decarburization of up to 0.0025 in. per 116 in. duction of more lath martensite in the micro-
a good choice to replace the 4100 series with diameter may be present. structure, which provides higher fracture
the 8600 series of steels (Ref 21). toughness and higher impact toughness (Ref 22).
Dirty steels, those containing greater than
It is well known that cracking propensity in-
creases with carbon content. Therefore, carbon
0.05% S, are more prone to cracking such as Machining
content of steel is one of the determining factors
1141 and 1144. The reasons for this include:
for quenchant selection. Table 5 summarizes
greater alloy segregation in dirty steels lead Material removal during machining can result
some steel mean carbon content concentration
to alloy-rich and alloy-lean regions, there are in high residual stress levels and ultimately un-
limits for water, brine, or caustic quenching (Ref
21). acceptable distortion (Ref 18). When excessive
It is well known that regions containing high machining stresses are imparted, the process
0.4 concentrations of coarse carbide microstructure may require modification to include a rough ma-
as a result of improper forging may become the chining and stress relieving followed by fine ma-
0 initiation point for subsequent quench cracking, chining. This subject is covered in the article in
particularly with parts of complex shape (Ref chapter 5 and is not discussed in detail here.
Dimensional alteration
0.4 22). It is important to provide a sufficient forging

reduction ratio to allow the carbide formation to Component Support and Loading
0.8 become fine and uniform (Ref 23).
Since part manufacture, such as gear produc- Toshioka (Ref 16) examined the bending be-
1.2 tion, often requires machining, the condition of havior of a piston rod that is heated vertically
Austenitizing temperature
800 C the steel that is going to be machined is critically while suspended from the top of a furnace. After
1.6 850 C important. Some workers have recommended austenitizing, the piston rods were then oil
910 C
that normalized and subcritical annealed steel is quenched while still hanging vertically and the
20
Retained austenite
16
Temperature, F
12 200 400 600 800 1000 1200
800
8 50
0.2% proof stress, MPa
Low-alloy steel
0.2% proof stress, tsi

600
40
4
Creep-resistant
0 400 austenitic steel 30
RT 180 220 240
Tempering temperature, C 20
200
Fig. 14 Dimensional variation and retained austenite Carbon-managanese
Carbon-manganese steel
steel 10
content of 100Cr6 steel as a function of tem-
pering temperature 0
0 100 200 300 400 500 600 700
Temperature, C
P Fig. 16 Variation of yield strength with temperature for three generic classes of steel
Stress, =
Ao
Elastic Plastic
90MnV8
760 C
Ultimate
0.6 800 C
tensile
145CrV6
Volume increase, %
strength
870 C
Yield 830 C
stress Fracture 0.4
Uniform Necking
elongation
0.2
0
L Lo 50 50 10 50 50 20 50 50 50 50 50 250
Strain, =
Offset Lo Specimen dimension, mm
Fig. 15 Various features of a typical stress-strain curve Fig. 17 Volume increase of steels 90MnV8 and 15CrV6 as a function of austenitizing temperature and specimen
obtained from a tension test dimensions
Index / 485
tanks ........................................... 172 Patenting ........................................ 261 Photoelastic coatings ...........................91

ultrahigh temperature ............. 454, 455(F) PA-TRAN computer program ............. 304 thickness selection .......................... 134
Oils. See Oil quenching. PCD. See Pitch circle diameter. Photoelasticity, to evaluate residual stresses in
(X)-diffractometer ............................ 121 Peak shift method ..........................1213 P/M products ............................. 413
One-angle technique (SET) ............. 112(F) Pearlite ................................... 4(F), 448 Photoelastic technique ....................... 110
One-phase convection heat transfer ..... 312, atomic volume in ferrous alloys ...... 250(T) Photographs, to measure surface wetting .... 269
314 in carburized cases .......................... 189 Photometer parameter ....................... 334
OOR. See Out-of-roundness. in schematic representation of relative Physical vapor deposition (PVD) .....25, 118,
Open-hearth process ...........................70 transformation of mild steel 119, 120, 121
Operator kernel plate ................................... 91(F) coatings .................................... 11, 12
of Fredholm integral equation of the first shape change ................................ 5(T) deformation tendency ................... 170(T)
type ...................................... 126 transformation to austenite, volumetric mechanical, thermal, or structural origins of
of Volterra integral equation .............. 126 change .............................. 250(T) residual stress ........................13(T)
Optical gages ............................. 109, 110 volume fraction in quenched Japanese Pickel method .................................. 106
Optical-geometrical methods, to measure sword ................ 308(F), 309310(F) Piecewise-homogeneous materials,
strains and displacements fields in area of volume fraction of .......................... 297 peculiarities in study of ....... 130(F), 131
crack indicator ............................ 130 Pearson VII method .......................... 122 Pinion shafts, distortion ............ 255, 257(F)
Optical interferometry Peen forming ................... 151, 347, 348(F) Pinned dislocations ........................6667
methods ......................... 134136(F) Peening, fatigue ..................................27 Pinning ............................................55
Optically sensitive coating method ........ 132 Peening-induced microstructural work- Pipe
Optically sensitive coatings ................. 133 hardening effect ............... 6263(F,T) weldment residual stresses ............. 100(T)
ORE Committee .............................. 431 Peenscan process .......... 349350(F), 351(F) weldments .................................... 102
ORE Report .............................. 431(F) Peenstress (computer program) ......91, 350, Pipe steels, stress-corrosion cracking .........81
Organic matrix composites ...................12 352(F), 353(F) Pisarenko-Lebedev criterion ...312, 317, 328
Orikaeshi ........................................ 309 Penetration depth ............................. 121 as failure criterion during hardening ..... 315
Oscillating stress .............................. 345 Persistent slip bands (PSBs) ........ 28(F), 29, Piston ring, tempering and distortion ..177(F),
Oscillators ...................................... 221 3334 178
Ostergren damage parameter ...... 3031, 45 Perzynas constitutive model, modification Pitch circle diameter (PCD) ..........308309
Out-of-phase hardening ..................... 432 for semicontinuous casting ............. 377 Pitch error .........................453(F), 454(F)
Out-of-roundness (OOR) .......418(F), 454(F) Perzynas inelastic constitutive Pitting ........................................... 215
Over ball diameter (OBD) ........ 453, 454(F) equations .................................. 372 Plain carbon steels
Overheating, localized, and Perzynas viscoplastic constitutive crack initiation .................................34
distortion ............................256257 relationship, modified .................. 385 cryogenic cooling ........................... 331
Overload-induced compressive residual Perzynas viscoplastic model on excess stress cyclic deformation behavior ....... 2829(F),
stresses ......................................35 theory ............................ 373374(F) 31(F), 32
Overload ratio ............................... 35(F) temperature-dependent viscosity modulus of elasticity .....................96(T)
Overpeening effects .......................... 347 variation ............................ 374(F) nitriding ................................... 210(F)
Oxide-dispersion-strengthened iron-base pH, effect on main gas-pipe line steels Poissons ratio .............................96(T)
alloys ....................................... 414 corrosion .....................................82
residual stress relaxation produced by
Oxides, role in stress-corrosion cracking .....81 Phase transformations
annealing ........................ 5455(F)
Oxide scale ..255, 258(F), 273, 277(F), 278(F) due to welding ........... 392393(F), 394(F)
shear modulus .............................96(T)
and quench cracking .......... 278(F), 286(T) and fatigue .....................................27
Plain carbon tool steels, cryogenic
Oxygen finite-element method for modeling ..... 296,
cooling ..................................... 340
alloying element effect on crack growth ..80 300, 301(F), 302, 303, 306(F), 307(F),
composition requirements for powder forged 309 Plane-strain fracture toughness .... 74(F), 80
parts ................................. 411(T) during heat treating .. 248251(F,T), 252(F), Plane-strain stress analysis, with von Mises
effect on gaseous nitrocarburizing .... 214(F) 253(F), 254(F) yield criterion for casting ............... 366
material movements ..................251252 Planing .......................................... 150
volume changes ................... 252, 254(F) PLASMA (plasma-nitriding computer
Phonons ............................................ 3 program, simulation) .................. 216
P Phosphate solutions, and stress-corrosion Plasma carburizing ........................... 189
cracking ......................................79 Plasma cutting ................................. 109
Pack carburizing ..........189, 443(F), 444(F), Phosphorus Plasma nitriding ... 210211(F), 215(F), 216,
451(F) alloying addition effect on sintering ..... 402 407
carbon potential control .................... 444 alloying effect on hydrogen embrittlement of stainless steels ............................... 211
and retained austenite content ............. 447 steel .......................................83 Plasma-nitriding simulation program
Parabola method .............................. 122 alloying element effect on crack growth ..80 (PLASMA) ............................... 216
Parallelepiped, quenching and heating effect on transition temperature .........76(T) Plasma nitrocarburizing ... 210211, 212(F),
computational and experimental plasticity loss after hydrogenation ......76(T) 215(F)
results ......................... 321323(F,T) resistance to hydrogen embrittlement ..76(T) Plasma-sprayed coatings ................. 11, 25
Paris equation ...............................29,30 time up to fracture ........................76(T) Plasma spraying ............................. 16(F)
describing crack propagation ...........3435 work of propagation of a ductile mechanical, thermal, or structural origins of
Partial damage, for inducing residual stress crack ..................................76(T) residual stress ........................13(T)
relaxation ....................................54 Phosphorus (max), composition requirements Plastic Ball Grid Array (PBGA)
Partially alloyed powder ................ 400(F) for powder forged parts ............. 411(T) package .....................................12
Patch test ....................................... 369 Photoelastic coating method ... 127, 128, 130, Plastic compression, regime in simple slab
Patel and Cohens method ..................... 8 131, 133134(F), 135, 136(F), 137 casting ................................. 362(F)
Index / 487
and cyclic deformation behavior ........ 33(F) cyclic deformation ........................ 29(F) kinetics of process .......................... 288
Push stress ............................ 260, 263(F) fatigue strength .......................... 244(F) of low-alloy steels ...................... 337(T)
local fatigue strength ..................... 47(F) material effect on distortion ........ 252256,
Quenched steels, delayed fracture ........ 77(F) 257(F), 258(F,T)
Quench embrittlement ....................... 196 material effects .............. 274, 280(F), 312
Q Quenching. See also Air quenching; Aqueous mathematical modeling of process ....... 319
polymer quenching; Brine quenching; media, 449
Quality assurance, inspection plan .. 13, 14(F) Carburized quenching; Cold-die media, influence of distortion of
Quality control .............................1112 quenching; Direct quenching; Distortion; gears ........................... 454456(F)
of gear strength .............................. 440 Fluidized-bed quenching; Fog quenching; media measurement and evaluation of
Quantimet 720 quantitative microscope, with Free quenching; Gas quenching; Hot oil power ........ 265269, 270(F), 271(F),
computer interface ....................... 341 quenching; Immersion quenching; 272(F), 273(F)
Quantitative electronic microscopy, to Intensive quenching; Interrupted methods .................................280282
identify and count microcarbides ...... 339 quenching; Marquenching; Martempering; methods, effect on carburized-and-hardened
Quasi-spall .......................................76 Molten metal quenching; Nonuniform steel residual stresses ....... 443444(F)
Quasi-static surface yield strength in quenching; Oil quenching; Plug methods, Ukraine Patent (No. 4448, Bulletin
compression ....................... 66, 68(T) quenching; Pre-cooling quenching; Press 6-I), 1994 ............................... 328
Quebec metal powder process ............. 399 quenching; Quenchants; Quench cracking; model of stress/strain prediction in case-
Quenchants. See also Quenching; Quench Quench distortion; Quench oils; Quench hardened parts ............... 199, 201(F)
severity; Quench severity; Quench uniformity; Restraint before nitriding .............................. 209
uniformity. ......... 260265(F,T), 266(F), quenching; Salt-bath quenching; Selective no phase transformation, mechanical,
267(F), 268(F), 269(F), 270(F) quenching; Spray quenching; Time thermal, or structural origins of residual
agitation rate influence ................. 176(T) quenching; Two-step quenching; Water stress ..................................13(T)
aqueous polymer ..257, 264, 268(F), 269(F), quenching. ..... 99, 257272(F,T), 273(F), one-step ....................................... 319
272(F) 274(F), 275(F), 336 Polyakov rules ..................... 260, 264(F)
brine ...........................264265, 270(F) agitation effect .... 258, 259(F), 275277(F), powder metallurgy processed parts ....... 407
caustic soda ..................264265, 270(F) 283(F), 284(F), 285(F,T) quenchant and material properties
circulation uniformity effect ............... 176 boundary conditions selection for effects ......................... 259, 262(T)
cooling rate and distortion simulation .............................. 325 quenchant choice and
compared ........................... 175(T) of carburized bushing .......... 320321(F,T) distortion .................. 174175(F,T)
and distortion ................... 174175(F,T) of carburized cylinder, computer residual stress prediction ......... 284293(F)
effect on quenching performance ........ 259, simulation .............. 296, 302(F), 305 simple shape bodies, computational and
262(T) carburized gear axial stresses .... 440441(F) experimental results ...... 321323(F,T)
factors influencing cooling intensity .... 174, of case-hardened gear, model .. 202203(F), simulation, inverse technique ...............23
175(T) 204(F) steel chemical composition effect ........ 274
after induction hardening .................. 232 chloride solutions for tool steel supercarburized high-speed steels .... 337(T)
influence on distortions of C-style punches ................................. 326 surface conditions effect ........ 273, 277(F),
sample .............................. 175(T) coating effects ..................... 273, 278(F) 278(F), 279(F)
influence on distortion trend of cavity of cooling characteristics effect on residual surface distortion comparison ......... 170(F)
cold forging dies ............ 175, 176(T) stress and distortion .. 275278, 281(F), tank for immersion ................ 172, 173(F)
intensively cooling .......................... 314 282(F), 283(F), 284(F), 285(F,T), temperature influence on distortion of mold
oils ... 263264, 267(F), 268(F), 269, 272(F) 286(T)
hole .................................. 171(T)
selection, and cooling characteristics ... 275, dimensional changes ....... 252, 255(F), 274,
two-step ................. 312, 319(F), 320, 328
281(F), 282(F) 275, 282(F)
of carburized bushing .......... 320321(F,T)
selection, and distortion ..............279280 direct or single reheat after carburizing, and
selection effect ..... 269270, 272(F), 274(F) workpiece size effects ..... 252, 255(F), 274,
retained austenite .................. 447(F)
temperature effect .......176, 268(F), 269(F), and distortion ...................... 252, 255(F) 275, 282(F)
270271(F) distortion, components 159, 161(T), 162(F) Quench oils .......... 263264, 267(F), 268(F),
uniformity ...... 258259(F), 260(F), 261(F) distortion, component with simple 323324
vaporizable liquid ........................... 258 shape .......... 159161(F,T), 162(F,T), accelerated ......................... 264, 267(F)
viscosity ...................................... 270 163(F), 164(F) and carburized steel residual
water ................ 264, 269, 270(F), 272(F) distortion, metallurgical sources ... 251252, stresses .............................. 445(F)
Quenchant solution circulation rate ...... 328 254(F) conventional ................................. 263
Quench cracking ... 253256(F,T), 257, 259 and distortion potential ...............184185 martempering ...................... 264, 268(F)
260, 263(F), 264(F), 285(F), 312 distortion prediction .............. 284293(F) MS-20 ...................................320321
elimination by intensification of heat transfer double reheat and quench after carburizing, MZM-16 .................................. 318(F)
at phase transformations ............. 328 and retained austenite ............. 447(F) quench chamber pressure
prevention .................................... 323 geometry effects ... 273274, 279(F), 280(F) control ........................ 455456(F)
probability of ............................ 313(F) in hardening press, and distortion quench severity index
and quench nonuniformity ................. 258 minimizing ................... 185186(F) (H value) ..................... 454455(F)
and surface roughness ......277278, 286(T) for inducing residual stress relaxation .....54 vapor blanket stage ............... 455456(F)
techniques of steel quenching for prevention after induction hardening ....... 236238(F), Quench press machines, and
of .............................. 325, 326(F) 241, 242(F), 246 distortion ..................... 181182(F,T)
Quench Cracking Working Group, Japan for induction hardening .......... 231232(F) Quench severity ........ 257, 259(T), 262, 265,
Heat Treatment Society ..... 277, 285(F) from intercritical temperature interval .....81 266(F), 269
Quench distortion .......................259260 of Japanese sword, computer of aqueous polymer quenchants .......... 264
Quenched-and-tempered steel simulation ....296, 304, 307(F), 308(F), definition ............................... 257, 265
bending fatigue tests in sea water ...... 34(F) 309310(F) and distortion ..........................279280
25). Subsequent quenching of the part leads to Therefore, microstructure determination is an es- ommendations for quench media selection for
quench cracks at sharp corners and areas with sential component of any distortion-control pro- use with various steel alloys is provided by stan-
sudden changes in cross-sectional area (stress cess. dards such as AMS 2770. Some additional gen-
risers). Cracking is caused by increases of resid- eral comments regarding quenchant selection in-
ual stresses at the stress risers during quenching. clude (Ref 4, 20):
The solution to the problem is to increase the Quenching Process
Most machined parts made from alloy steels
heating speed by increasing the power density of
Other than component design, the quenching are oil quenched to minimize distortion.
the inductor. The temperature difference across
process itself is one of the most frequently en- Most small parts, or finish-ground larger parts
the heated zone is decreased by continuous heat-
countered problems in heat treating. When de- are free quenched. Larger gears, typically
ing or scanning of several pistons together on a
signing a quenching process, it is important to those larger than 205 mm (8 in.) are fixture
single bar (Ref 25).
consider quenchant selection and quench sever- (die) quenched to control distortion. Smaller
For heat treating problems related to furnace
ity and uniformity. gears and parts such as bushings are typically
design and operation, it is usually suggested that
Quenchant Selection and Severity. A more plug quenched on a splined plug typically
(Ref 19):
detailed discussion on quenchant selection and constructed from carburized 8620 steel.
The vestibules of atmosphere-hardening fur- the ranges of quench severity possible with these Although a reduction of quench severity leads
naces should be loaded and unloaded with media are provided in a subsequent section. to reduced distortion, it may also be accom-
purging. Load transfer for belt and shaker However, here the general issue of quench se- panied by undesirable microstructures such as
hearth furnaces should only occur with thor- verity is addressed. Quench severity is defined the formation of upper bainite (quenched
ough purging to minimize atmosphere con- as: ability of a quenching medium to extract pearlite) with carburized parts.
tamination. heat from a hot steel workpiece, expressed in Quench speed may be reduced by quenching
Hardening furnaces typically contain exces- terms of the Grossmann number (H) (Ref 26). in hot (150205 C, or 300400 F) oil.
sive loads prior to quenching. If the steel at A typical range of Grossmann H values for com- When hot oil quenching is used for carburized
quenching temperature is greater than 20% of monly used quench media are provided in Table steels, lower bainite, which exhibits proper-
the distance from discharge to charge door, it 8, and Fig. 31 provides a correlation between the ties similar to martensite, is formed.
is too much. Either the production rate can be H value and the ability to harden steel as indi- Excellent distortion is typically obtained with
increased or some of the burners can be cated by the Jominy distance (J distance) (Ref austempering, quenching into a medium just
turned off. 20). Although Table 8 is useful to obtain a rela- above the Ms temperature. The formation of
tive measure of the quench severity offered by retained austenite is a significant problem
Retained Austenite different quench media, it is difficult to apply in with austempering processes. Retained aus-
practice because the actual flow rates for mod- tenite is most pronounced where manganese
Dimensional changes may occur slowly or erate, good, strong, and violent agitation and nickel are major components. The best
quickly and are due to the volume composition is unknown. steels for austempering are plain carbon,
of the transformation products formed upon Alternatively, the measurement of actual cool- chromium, and molybdenum alloy steels (Ref
quenching. One of the most importantwith re- ing rates or heat fluxes provided by a specific 20).
spect to residual stress variation, distortion, and quenching medium does provide a quantitative Aqueous polymer quenchants may often be
crackingis the formation and transformation meaning to the quench severity provided. Some used to replace quench oils, but quench se-
of retained austenite. For example, the data in illustrative values are provided in Table 9 (Ref verity is still of primary importance.
Table 7 illustrate the slow conversion of retained 27). Gas or air quenching will provide the least
austenite to martensite, which was still occurring Typically, the greater the quench severity, the distortion and may be used if the steel has
days after the original quenching process for the greater the propensity of a given quenching me- sufficient hardenability to provide the desired
two steels shown (Ref 15, 16). This is particu- dium to cause increased distortion or cracking. properties.
larly a problem when dimensional control and This usually is the result of increased thermal
stability are the primary goals of heat treatment. stress not transformational stress. Specific rec-
1.00
WT ID Example
Outside
Thin-walled tube
L diameter: 200 mm
0.80 (annulus)
Length: 1500 mm
OD Typical distortions
Boundary A and growths
Ratio ID/OD
0.60 Out-of-straightness:
1000-2000 m
Ring
OD shrinkage at
0.40 center: 300-500 m
Increase in length:
Tube Pinion 1000-1500 m
Wheel
0.20
Retort Center Retort

0 wall pole wall
0 1 2 3 4 5 6 7 8 9
Ratio length/wall thickness, L/WT
Fig. 29 Typical pinion shaft distortion due to furnace
Fig. 28 Classification of shapes loading
492 / Index
Steels, series and classes (continued) 1023 (CK22 German grade) relaxation of residual stresses after shot
carburized gear axial stresses during cyclic stress-strain curve ......... 2829(F) peening ............................ 33(F)
quenching ....................... 441(F) residual stress relaxation ..................59 residual stress relaxation, delayed .. 55(F),
gear application, model of case hardening residual stress relaxation produced by 59
and stresses from ........ 202203(F), annealing .......................... 55(F) residual stress relaxation produced by
204(F) 1040, water quenching ...............253254 annealing .......................... 55(F)
for ring, induction hardened and 1045 (CK45 German grade) shot peened bending specimen and crack
carburized quenched ...........303(F), brazed compound with tungsten carbide- initiation ........................... 34(F)
304(F), 305307(F) cobalt ............................. 395(F) shot peening .......................... 347(F)
Cr12Mo, hollow cylinder distortion ...... 163 brazing residual stresses ............. 393(T) shot peening and macro residual stresses
CrWMn, thermal straightening ............ 170 brazing with ceramics and half-width values ....... 55, 57(F)
9CrSi, asymmetrical component compounds .............394(F), 395(F) shot peening effect on bending fatigue
distortion ......... 165, 167(F,T), 168(F) bushing distortion, eccentric strength ....................... 4243(F)
15CrNi6, residual stress of hard metallic cylinder ..................159, 161(F,T) S-N curves after grinding, residual stresses
material ............................. 346(F) continuous-cooling-transformation effect .......................38(F), 39(F)
15CrV6, volume changes during phase diagram .................... 248249(F) S-N curves and residual stresses effect
transformation ............... 252, 254(F) crack initiation .......................... 34(F) from milling ................. 3637(F)
17CrNiMo6, shot peening .......... 350, 351, cyclic deformation behavior .......... 32(F) stop ring, distortion of ......... 180(F), 181
352(T), 354(F) cyclic deformation behavior after deep stress-controlled loaded in push-pull tests,
18CrNiMo5, residual stress of hard metallic rolling .............................. 31(F) cyclic deformation ............... 33(F)
material ............................. 346(F) cyclic deformation behavior in low-cycle stress relief heat treatment effect on
18Cr2Ni4W, gear wheel, distortion of ... 166 fatigue regime ............... 31(F), 32 fatigue life and fatigue limit ........40
38CrMoAl, axle of boring lathe, distortion cyclic stress-strain curve ......... 2829(F) surface residual stress vs. number of
of ........................................ 166 distortion of cylinder ...... 162(T), 163(F) cycles .............................. 40(F)
50CrV4 distortion of stop ring ......... 159, 161(F) SWT parameter vs. number of cycles to
residual stress of soft metallic eccentric hollow cylinder, failure .............................. 45(F)
material .......................... 346(F) distortion of ............... 165, 166(F) time-temperature-transformation
stress peening ......................... 348(F) effective stress-intensity factor diagram .......................... 248(F)
9Mn2V, thermal straightening ............ 170 range ............................... 48(F) valve stem distortion ....160161, 164(F)
16MnCr5, carburized steel CCT fatigue notch factor vs. surface residual water quenching ....................253254
diagram ....................... 192, 193(F) stress .............. 40(F), 41(F), 42(F) 1055
26MnCr4, hardened and case-hardened grinding and macro residual stresses and for cylinder scanning induction hardened,
plate ........................... 191, 192(F) half-width values ............ 55, 57(F) computer simulation .... 290, 293(F),
50MnCr5, carburized steel CCT grinding and S-N curves influenced by 294(F)
diagram ....................... 192, 193(F) residual stresses .................. 37(F) grinding .......................... 150, 151(F)
90MnV8, volume changes during phase grinding-induced work softening ........42 1070, Almen strip material ............ 349(F)
transformation ............... 252, 254(F) Haigh diagram of bending fatigue strength 1080
90MoCrV8, fluidized-bed quenching ... 263, of high-strength steel ............ 44(F) austempering .............................. 281
267(F) half-width values vs. annealing time, after crack initiation ..............................34
100MnCr5, carburized steel CCT shot peening ................. 55, 56(F) crack initiation and macro residual
diagram ....................... 192, 193(F) stresses .................................34
hollow cylinder distortion ....... 161, 162,
20MoCr4, carburized cylinders and case- elastic chuck, distortion of .... 166, 168(F)
164(F), 165(F,T)
hardening residual stress ... 195, 198(F) hollow cylinder distortion .............. 162
induction hardening ............ 223224(F)
1015 (CK15, S15CK) 1095, tight scale formation ...... 255, 258(F)
local fatigue strength ..........46(F), 47(F)
aging effect on carburized steel ....... 449, 1118, residual stress distribution in
450(F) macro residual stress and half-width carburized-and-hardened steel ... 447(F)
case hardening ........................ 438(F) values, shot peened and 1137, water quenching ...............253254
cold-rolled steel sheet stampings, hardened ................. 5556, 58(F) 1141
distortion of ............... 168169(F) macro residual stress and half-width quench cracking .......................... 254
distortion of carburized steel ........... 159 values, shot peened and water quenching ....................253254
hollow cylinder distortion .............. 162 normalized .............. 5556, 58(F) 1144
S-N curves and residual stresses effect, macro residual stress and half-width quench cracking .......................... 254
after deep rolling ................. 37(F) values, shot peened and quenched water quenching ....................253254
work-hardening effect on fatigue and tempered ............ 5556, 58(F) 1340, quench cracking ..................... 254
behavior ...............................40 macro residual stress ratio vs. annealing 1345, quench cracking ..................... 254
1018 time, after shot peening .... 55, 56(F) 1526
carbonitriding ......................... 191(F) micro residual stresses, annealing quenching and tempering effects on
carbonitriding and tempering .......... 191, temperature ............................55 residual stresses .......... 195, 198(F)
192(F) milling and macro residual stresses and tempering after quenching of carburized
tempering carburized cases ......... 191(F) half-width values ............ 55, 57(F) steels ................................. 446
1019, crack propagation rate and stress quenched-and-tempered, effective stress- tempering effect on residual
intensity in welded intensity factor range ............ 49(F) stress ............................. 447(F)
specimens ....................... 3536(F) quenched-and-tempered, local fatigue 1536
1020 (JIS S20C) strength ............................ 47(F) quench cracking .......................... 254
carburized and quenched ...... 443, 444(F) quenched-and-tempered, shot peened, water quenching ....................253254
S-N diagram (Wohler curves) for slip band effective stress-intensity factor range 1541
formation, microcrack initiation, and ....................................... 49(F) quench cracking .......................... 254
failure .............................. 28(F) quenching ....................... 275, 282(F) water quenching ....................253254
259 / Hardening by Reheating and Quenching
(film boiling) ruptures on the metal surface, lo- 37(c) illustrates rapid wetting followed by in- congruent. If the temperature was measured (as
calized wetting begins and conductance insulation by bubbles adhering to the metal sur- usual) in the center of the probe, the large dif-
creases. The increase in conductance of the wet- face, and Fig. 37(d) illustrates rapid wetting with ferences in wetting behavior would not be ob-
ted metal is proportional to the amount of the repeated new formation of film boiling, a process served.
metal surface wetted by the quenchant. When the that occurs with many aqueous polymer quen- The temperature distribution within the probe
metal surface is completely wetted, conductance chant solutions. In all four diagrams, the tem- during quenching (indicated by isotherms), hav-
is at its highest value. perature, TC, is shown that is measured in the ing a non-Newtonian wetting is shown in Fig.
Figure 37(a) shows a normal electrical con- center of the probes. The TS point characterizes 40(a), where there is a great difference relative
ductance, G, increase corresponding to the per- the temperature and the time when wetting be- to that of the Newtonian wetting (Fig. 40b). In
centage of the wetted surface. Three other pos- gins. This shows that temperature measurements the case of Fig. 40(b), the main grad T is radial,
sibilities of wetting are also shown. Figure 37(b) in the center of probes provide poor information whereas in the case of Fig. 40(a) it is axial. Of
shows a rapid rewetting process (or explosive about the real quenching process that is insuffi- course the hardness distribution in the probes
wetting) similar to that shown in Fig. 35. Figure cient to adequately characterize the hardening must be extremely different.
process. This is also illustrated in Fig. 38 (Ref Another major source of nonuniform quench-
30). ing is foaming and contamination. Contaminants
The influence of the physical properties of the include sludge, carbon, and other insolubles. It
Quench severity in terms of H value quenchant and the probe on the wetting process, includes water in oil and oil in water and aqueous
x and the heat-transfer coefficients (FB, NB, and polymer quenchants. Foaming and contamina-
CONV) and therefore on the quenching results is tion leads to soft spotting, increased distortion,
5.0
very strong. The wetting kinematics are identi- and possibly cracking.
2.0 fied as the starting time, tS, of wetting, the fin- Quench Distortion and Cracking. In the
ishing time, tf, of wetting, and the difference be- previous discussion, two quenchant-related phe-
1.5 tween tf and tS is the wetting time tW. The effect nomenon have been discussed: quench cracking
H value
of variation of these parameters on the quench- and quench distortion. Although quench crack-
1.0
ing process is summarized in Table 10. ing can be eliminated, quench distortion cannot.
0.70 The influence of a wetting process occurring Instead, the issue is distortion control, not elim-
over a long time (non-Newtonian wetting) on the ination. Both quenching-related distortion con-
0.50 temperature distribution in quenched parts is trol and quench cracking are discussed in this
0.35 shown in Fig. 39 (Ref 23), where the tempera- section.
tures measured near the surface of a submerged Quench Distortion. One form of distortion
0.20 cylindrical probe at different distances z from its that may occur upon quenching is defined as
6 9 12 15 18 21 24
lower end are shown. The wetting front requires shape distortion, which is dimensional variation
J distance (1/16 in.)
about 18 s to arrive at a height of 80 mm. If there that occurs when the parts are hot and the stress
Quench severity in terms of Grossmann (H) is an explosionlike wetting of the probe (New-
Fig. 31 tonian wetting), the five temperature slopes are
values. J, Jominy distance. Source: Ref 20
Quench cracks
Table 7 Dimensional variation in hardened high-carbon steel with time at ambient tem-
perature
Change in length, % 103
Tempering Hardness, After After After After Tray
Steel type temperature, C HRC 7 days 30 days 90 days 365 days
1.1% C tool steel 790 C quench None 66 9.0 18.0 27.0 40.0
120 65 0.2 0.6 1.1 1.9
205 63 0.0 0.2 0.3 0.7
260 61.5 0.0 0.2 0.3 0.3
1% C/Cr 840 C quench None 64 1.0 4.2 8.2 11.0 Quenchant flow
120 65 0.3 0.5 0.7 0.6
205 62 0.0 0.1 0.1 0.1
260 60 0.0 0.1 0.1 0.1
Fig. 32 Harmful effects of vertical quenchant flow
through the load
Table 8 Typical quenching conditions and

Grossmann H values Table 9 Comparison of typical heat trans- Quenchant
fer rates flow
Quenching medium Grossmann H value
Poor (slow) oil quenchno agitation 0.20 Quench medium Heat-transfer rate, W/m2 K
Good oil quenchmoderate agitation 0.35
Very good oil quenchgood agitation 0.50 Still air 5080
Strong oil quenchviolent agitation 0.70 Nitrogen (1 bar) 100150
Poor water quenchno agitation 1.00 Salt bath or fluidized bed 350500
Very good water quenchstrong agitation 1.50 Nitrogen (10 bar) 400500
Brine quenchno agitation 2.00 Helium (10 bar) 550600
Brine quench violent agitation 5.00 Helium (20 bar) 9001000
Ideal quench Still oil 10001500
Hydrogen (20 bar) 12501350
Circulated oil 18002200 Quenchant
It is possible with high-pressure impingement to achieve H values greater Hydrogen (40 bar) 21002300 flow
than 5.00.
Circulated water 30003500 Fig. 33 Effect of quenchant flow direction on distortion
of their own weight leads to changes such as sulting in pull cracking (Ref 41). This is are the opposite of each other, although the
bending, warpage, and twisting (Ref 1). Shape shown in Fig. 41(a) (Ref 41), where rapid, but cracking event takes place for both between the
distortion is attributable to component support nonuniform surface cooling to point A has oc- Ms and Mf. Figure 42 shows both push and pull
and loading as discussed previously. curred at which time it affects adjacent point B, cracking (Ref 41).
A second form of distortion is size distortion, which is cooling more slowly, causing a deferred For cracking to occur, the presence of a stress
which includes dimensional changes observable contraction at point B, both of which occur riser (points of stress concentration) is typically
as elongation, shrinkage, thickening, and thin- while the martensitic transformation occurs at necessary. Two types of stress risers may be
ning. Size distortion is caused by the volumetric the Ms point. As a result, point A, which cooled found. One is a geometric notch that includes
variation that accompanies each of the transfor- rapidly, undergoes compression, and point B, cutting tool marks, sharp corner angles, and ar-
mational phases formed upon quenching (Ref 1). which cooled more slowly, undergoes pulling. eas with rapid section thickness changes. The
Size distortion can be further classified as: one- This means that pull stress is a tensile stress, and other type of stress riser commonly found is a
dimensional, two-dimensional, and three-dimen- if this stress becomes large enough, cracking will notch in the material that may include intergran-
sional. One-dimensional distortion is exempli- occur and it will occur in areas where cooling is ular effects, carbide segregation, and aggregates
fied by the change in length when rod or wire is delayed. of impurities (Ref 41).
quenched and is primarily caused by transfor- When there is nonuniform cooling within the Although it would be desirable to eliminate
mational distortion. Two-dimensional distortion part between the Ms and Mf, there will be a all stress risers to facilitate quenching without
is also primarily caused by transformational dis- stretching or elongation in areas where the cool- any potential for cracking, this simply is not pos-
tortion, and it is exemplified by size variation in ing is slow, which will act as a push stress sible in most cases. Instead, quenching methods
two dimensions such as would occur with sheet leading to push cracking (Ref 41). This is that minimize potential cracking often must be
or plate stock upon quenching. With bulk ma- shown in Fig. 41(b) (Ref 41) where point A, developed. Polyakov (Ref 42) has provided im-
terial that can undergo dimensional variation in which cooled rapidly, stretches point B (which mersion recommendations for parts with com-
three dimensions, the problem is due to both cooled more slowly) to point B below the Ms plex shapes where cracking potential is mini-
thermal and transformational distortion and is temperature, which is a state that will undergo mum and maximum (Fig. 43). The Polyakov
much more complicated (Ref 1). Owaku (Ref 1) expansion due to martensitic transformation. As rules for quenching such parts include (Ref 42):
has shown that one of the primary contributors a result, the rapidly cooled point A (exterior) will
Conditions for quench cracking are most fa-
to quench distortion is uneven (nonuniform) undergo pulling and the slowly cooled point B
vorable if parts are immersed into the quen-
cooling. (interior) will undergo compression. This results
chant so the perimeter of the stress riser (PSC)
Quench Cracking. Stresses that lead to crack- in interior point B causing pushing and cracking
simultaneously touches the liquid along the
ing are thermal, nonuniform cooling from TA and at point A, which will occur in areas where
entire length.
Ms and transformational stress formed between quenching occurs rapidly.
In the case where the perimeter of the stress
Ms and Mf. Nonuniform thermal stresses occur Therefore, pull cracking, which occurs with
riser touches the quenchant at the moment of
when nonuniform surface cooling occurs. In this nonuniform surface cooling between TA and Ms,
immersion slowly in individual regions,
case, there will be a deferred contraction in the and push cracking, which occurs with nonuni-
quench cracking will be reduced substan-
slower cooling areas creating a pull stress re- form cooling within the part between Ms and Mf,
tially.
z Quenchants
Wetting front w Steam In addition to providing a uniform quench by
optimizing agitation and surface cooling unifor-
Film boiling mity, the success of the quenching process is of-
ten dependent on the selection of a particular
quenchant. However, there are typically many
Nucleate boiling options to select from, and most quenching me-
Fluid
dia are capable of providing a range of cooling
rates. This section provides a brief overview of
Convective the various quench media that are available. Un-
heat transfer
Heat transfer
fortunately, there is no uniform standard for re-
(a) coefficient porting cooling rates available for a broad range
of quenchant media. Therefore, various pub-
Film of liquid
lished comparisons are provided, and they will
Convection be sufficient for the reader to determine the rela-
boiling tive quench severity offered by these quen-
chants.
Sputtering
Gas
Air
Perhaps the oldest, most common, and cer-
Mist cooling tainly least expensive quenching medium is air.
Air, being a gas, cools the heated part by a film-
Fluid drops boiling cooling mechanism. (See Fig. 34 for a
Wetting front w z schematic of different cooling mechanisms.) The
relative quench severity offered by still air rela-
(b)
tive to other quench media is shown in Table 9.
Wetting behavior and change of heat-transfer coefficient along the surface. (a) Immersion cooling. (b) Film As with other quenching media, the heat-
Fig. 34 transfer rates of air cooling are dependent on the
cooling. Source: Ref 14, 26
496 / Index
Tension testing ...................... 251, 254(F) and temperature monitoring to control alloying effect on susceptibility to austenite
Termite welding, of rail steel ........... 434(F) distortion ............................... 184 grain growth ..................... 325, 328
Test methods, stress-corrosion cracking ... 110 and time variation of temperature of gear- alloying element effect on crack growth ..80
Testpieces, carburized, variation of residual wheel teeth in induction alloying influence on delayed fracture of
stresses ................. 439, 440(F), 441(T) hardening ........................... 230(F) steel ................................... 78(F)
Tetragonality degree ......................... 338 Thermodynamics ................................ 3 effect on transition temperature .........76(T)
Tetragonal martensite ....................... 338 Thermoelasticity effect, on rail steel ....... 426 first-order residual stress parameters 335(T)
tempering of ................................. 224 Thermokinetic diagram of the supercooled modulus of elasticity .....................96(T)
Theory of regular conditions ............... 322 austenite transformations ............. 313 plasticity loss after hydrogenation ......76(T)
Thermal conductivity ..................... 3, 312 Thermomechanical analysis, for solidification Poissons ratio .............................96(T)
effect on residual stress development in modeling, benefits listed ............ 363(F) resistance to hydrogen embrittlement ..76(T)
steels ................................... 3(T) Thermomechanical state, during and after shear modulus .............................96(T)
nonlinear equations ......................... 315 surface induction heating ............... 226 time up to fracture ........................76(T)
nonstationary, equation for ................ 312 Thermomechanical theory .................. 372 work of propagation of a ductile
Thermal convection and radiation, in Thermoplasticity, of carburized bushing with crack ..................................76(T)
carburizing ................................ 200 two-step quenching ......... 320321(F,T) Titanium alloys, macro and micro residual
Thermal cycles, as description of surface heat Theta-method .................................. 304 stress relaxation ............................55
treatment process ......................... 223 Thickness of beam/plate/tube wall, symbol Titanium carbide coating ................... 118
Thermal cycling, for inducing residual stress and units of .............................93(T) Titanium hydrides, formation at grain
relaxation ....................................54 Thin-slab casting process, residual stress boundaries ...................................78
Thermal diffusivity coefficient ............. 322 formation ....... 383385, 386(F), 387(F), Titanium nitride ....118, 119, 120(F), 122(F),
Thermal expansion coefficient 388(F), 389(F) 209
of aluminum alloy ...................... 378(T) Three-point bending ......................... 155 Titanium nitride coatings ............... 121(F)
differences affecting brazing residual Three-time rule ................................ 109 Tool gap hardening .......................... 241
stresses .....................394(F), 395(F) Threshold (critical) stress-intensity factor Tool steels
Thermal expansion mismatch ................12 (KISCC), ......................................80 alloying addition effect on sintering ..... 402
Thermal expansivity ............................ 3 Threshold effect .................................30 contact wear resistance improved ......... 420
effect on residual stress development in Threshold stress valve .........................80 cryogenic cooling ............. 340(F), 341(T)
steels ................................... 3(T) Through-hardened steels, contact heat treatments applied for dimensional
Thermal gradients, nonuniform ............ 332 fatigue ...................................... 198 stabilization .............. 338(F), 338(T)
Thermal growth ............................... 118 Through-hardening .......................... 316 martensitic transformation ....... 332, 333(F)
Thermal inversion in workpiece P/M parts ..................................... 406 metal-injection molding .................... 412
quenching ............................. 223(F) Through-thickness temperature, from P/M processed, applications ........404405
Thermal load .................................. 288 induction hardening ............ 223224(F) P/M processed, heat treatment of ....... 408,
Thermally activated processes, for inducing Tight scale formation ........... 255, 258(F) 417418(F)
residual stress relaxation ...... 5460(F,T) Tikhonovs method ........................... 127 P/M processing .............................. 400
Thermal oscillations, influence eliminated in Time sintering ......................404405, 406(T)
microstrains ............................... 335 of carburizing and fatigue strength ....... 446 spray forming ..........................412413
Thermal plasticity ............................ 313 interaction with deformation and Tool steels, series and classes
Thermal radiation coefficient, for centrifugal microstructure ........................ 3(F) ASP30 (P/M tool steel)
out-of-roundness measurements ... 418(F)
casting pipe models ...................... 382 and residual stress level in nitriding .. 214(F)
D2, spray forming ........................... 413
Thermal shocking, ............................ 156 Time discretization, in unsteady-state casting
H13
Thermal shrinking stresses ................. 191 analysis .................................... 376
direct-metal deposition .................. 419
Thermal spraying ....................... 118, 120 Time function of temperature
rapid prototyping ......................... 413
mechanical, thermal, or structural origins of change ........................... 321322(F) spray forming ............................. 413
residual stress ........................13(T) Time of diffusion, and hydrogen critical M2, out-of-roundness
Thermal straightening ....................... 170 concentration ................................75 measurements ...................... 418(F)
Thermal strain .......................... 286, 298 Time quenching ......................... 280, 281 M20, high-speed steel for R6M5
Thermal strain rate .................... 202, 312 Time-temperature-transformation (TTT) punches ....................... 326(F), 327
Thermal stress diagrams ........... 191, 248(F), 249, 250, T12, distortion ............................... 159
of carburized bushing due to high-rate 251(F), 288, 297 T15
quenching ................. 320321(F,T) computation of, during hardening microstructures of convertional vs. P/M
castings, segregation in ..................... 167 processes ............................... 200 processed ........................ 418(F)
as cause of distortion ..........159161(F,T), Time till a crack initiation ....................80 P/M processing .............................. 402
162(F,T), 163(F), 164(F), 165 Tin spray forming ................................ 413
cooling with transformation ........ 250251, alloying effect on hydrogen embrittlement of Tool steel UHB Chipper ................. 156(F)
252(F), 253(F,T) steel .................................. 83, 84 Torque rods, shot peening effect on fatigue
nonuniform ................................... 260 alloying element effect on crack growth ..80 life ........................................20(T)
and quench severity ......................... 257 effect on transition temperature .........76(T) Total case depth (TCD) ..................... 437
Thermal-stress analysis, to evaluate residual plasticity loss after hydrogenation ......76(T) Total strain increment ....................... 217
stresses in P/M products ................ 420 resistance to hydrogen embrittlement ..76(T) Total strain rate .............285, 300, 312, 373
Thermal surface treatment .......... 19, 20(F) time up to fracture ........................76(T) Total strain Wohler curve ................ 30(F)
Thermochemical surface treatment ........19, work of propagation of a ductile crack Tracked and road vehicles, shot peening for
20(F) 76(T) improving vibratory fatigue
Thermocouples ................................ 223 Tin-bismuth alloy, strip continuous casting by properties .................................. 345
for measuring temperature on gear-wheel twin-roll method .......................... 383 Traction-compression loading ..... 22, 23(F),
teeth, induction hardening ....... 230(F) Titanium 24(F)
placed molten lead in most heat treating pro- The formation of high-temperature transfor- range from 140 to 600 C (2851110 F). How-
cesses and are usually the medium of choice for mation products is enhanced. ever, melting points as low as 85 C (175 F) are
high-temperature quenching. The advantages of attainable by the addition of up to 10% water.
Most quenching salts are either binary or ter-
salt quenching include: Salt-baths are susceptible to potential explosive
nary mixtures of potassium nitrate (KNO3), so-
degradation at temperatures greater than 600 C
Highly alloyed steels, such as those shown in dium nitrite (NaNO2), and sodium nitrate
(1110 F).
Table 11, can be isothermally annealed. (NaNO3). The minimum quenching temperature
The selection of a martempering or austem-
Scaling, cracking, and distortion of high- depends on the melting point of the salt mixture.
pering process depends on the steel being
speed tool steels are minimized. The ratio of the salt mixture may also affect the
quenched. Salt-bath temperatures in the range of
The risk of cracking during martensite for- viscosity of the medium and therefore affect
195 to 350 C (385660 F) exhibit only a min-
mation, for example, spring wire, is reduced. cooling rates. Quenching temperatures may
imal effect on the Grossmann H value (Ref 50).
However, like all quenchants, heat-extraction ca-
pabilities depend on the agitation rate, as shown
in Fig. 49 (Ref 50).
The quench severity of a molten-salt bath may
be substantially affected by the presence of water
G G as shown in Fig. 50 (Ref 51). Variations in both
Temperature, Tc
Temperature, Tc agitation rate and water addition can profoundly

Conductance, G
Conductance, G
affect the depth of hardening of AISI 4140 steel,

as shown in Fig. 51 (Ref 51). Therefore, control
of water content is important to achieve the max-
imum benefit of the increase in quench severity.
Tc
Tc However, automated monitoring equipment to
ts tf ts = tf
Time, t Time, t Table 10 Effect of quenchant and material
(a) (b) properties on quenching performance
Effect on
property variation
G Fluid property ts, tf Dtw

G
Temperature, Tc
Temperature, Tc
Fluid property
Type of quenchant I, D I, D I, D
Conductance, G
Conductance, G
Addition of additives I, D I, D I, D
Increasing agitation (v) D D I
Increasing bath temperature (Tb) I I D
Metal property
Tc Tc Increasing thermal diffusivity (a) I I I
Increasing cross-section size I I D
Increasing surface roughness D D I
ts = tf ts tf Increasing surface oxidation D D D
Time, t Time, t
(c) (d) ts, starting time; tf, finishing time; tw, wetting time; , heat-transfer co-
efficient; I, increasing; D, decreasing
Fig. 37 Temperature decrease, TC, and increasing electrical conductance, G (proportional to the wetted surface) during
quenching in different quenchants. (a) Slow wetting. (b) Rapid (explosive-type) wetting. (c) Rapid wetting
followed by isolation of bubbles adhering to the metal surface. (d) Rapid wetting with repeated formation of film boiling
after this process. See also Fig. 35 and 36. Source: Ref 14, 28
1000
1000 1000
800
z = 80 mm
3
C 2 Wetting
750 750
1 600 front
Temperature, C
Temperature, C
60 R
1
Temperature, C
Water 2 z
40
500 500
400
3 20
Polymer
250 250 0
200
1-3
0 0
0 10 20 30 40 0 5 10 15 20 0
0 5 10 15 20 25 30 35
Time, s Time, s
(a) (b) Quenching time, s
Fig. 38 Comparison of cooling curves measured at different positions in a cylindrical CrNi-steel probe (25 by 100 Fig. 39 Temperature drop on the surface of a cylindri-
mm) during slow wetting (water) and sudden wetting (aqueous polymer solution) at (a) center (indicated by cal steel probe (25 mm diam by 100 mm) at
C) and (b) close to the probe surface at three indicated heights (1,2, and 3) various distances z from the lower end. Source: Ref 39
control water content to within reasonably close

tolerances is currently available.
700 C
600 Fluidized Beds
500
700 C Fluidized-bed quenching processes may be
600 200 C used as safer and more ecologically acceptable
400 alternatives to molten-metal or molten-salt
800 C
600
quenching systems. A fluidized bed is generated
200 C by blowing a gas (e.g., nitrogen, argon, carbon
400
200 C dioxide, helium, or hydrogen) through a solid
support. Examples of solid supports include alu-
t =5s t = 10 s t = 15 s minum oxide, iron, copper, and molecular sieves
(a) (Ref 52). Generally, aluminum oxide provides
the best heat-transfer capacity, thermal stability,
and environmental compatibility. Particle size
also contributes substantially to cooling proper-
700 C 250 C ties. In general, cooling rates increase as alumina
grain size increases. The lowest limit of particle
600 200 size is 40 mesh (Ref 50). Fluidized-bed tem-
perature can also affect heat-transfer rates. As
825 C 725 C 150 C
500 expected, cooling rates decrease with increasing
bed temperature, as shown in Fig. 52 (Ref 53).
Traditionally, the most common gases for flu-
750 idized beds were nitrogen and air. However,
800 other gases, such as hydrogen and helium, pro-
775 C 775 C 200 C
vide even greater potential for wider ranges of
t =5s t = 10 s t = 11 s t = 15 s
heat-transfer rates. The heat-transfer flow rates
(b) of hydrogen, helium, and nitrogen as a function
of flow rate is shown in Fig. 53 (Ref 53). Rey-
Fig. 40 Time-dependent temperature distribution during cooling of cylindrical steel probes (25 mm diam by 100 mm) noldson (Ref 54) has shown that it is possible to
in the case of slow non-Newtonian wetting and explosive Newtonian wetting obtain cooling rates between those achievable by
a mineral oil and by a low-pressure gas quench-
ing system using air-fluidized beds.
Quench Oils
Pull stress TA Push stress TA
A1 A1 Most quench oils are derived from petroleum
oil basestocks, and the hydrocarbon fractions are
classified as paraffinic, naphthenic, and aro-
matic. The ratio of these hydrocarbon compo-
nents in the petroleum basestock used to for-
Elongation
Elongation
mulate a quench oil determines the viscosity,

B B
viscosity-temperature, surface wetting, sludging,
Disturbance Interior staining, and fire-resistant properties. Quench
M1 oils are selected on the basis of their ability to
A B
A A mediate heat transfer during quenching. Quench
Fast oils are usually classified on the basis of their
M1 Exterior
B
quenching speed and application temperature as:
B Slow
A Stretch Conventional (nonaccelerated) oils or cold
oils
Temperature C B Temperature C Accelerated oils
Marquenching oils or hot oils
Ms Ms
Although there are other classifications such as
fast, superfast, and water emulsifiable, the above
three classifications are the most commonly en-
Pull cracking Push cracking
countered.
B Interior A Conventional quench oils are typically min-
Fast Disturbance Stretch eral oils, which may contain antioxidants to re-
Exterior B
A Pull Push duce the rates of oxidative and thermal degra-
dation. Most of these oils have viscosities of up
Uneven surface cooling Uneven body cooling to 100 to 110 SUS (Saybolt Universal Seconds)
(a) (b)
at 40 C (100 F), although some have viscosities
of up to 200 SUS at 40 C (100 F). Conventional
Mechanisms that explain the generation of (a) pull stress and pull cracking and (b) push stress and push quenching oils do not contain additives to in-
Fig. 41
cracking crease cooling rate.
Accelerated quenching oils are formulated gous to a slow oil to those faster than water by quenching, higher cooling rates may increase the
from basestocks used for conventional quench- adjusting these variables. Of course, this also potential for distortion and cracking (Ref 50).
ing oils and are used at comparable temperatures. means that to minimize stresses from nonuni- The cooling power of brine solutions is not
In addition to antioxidants, accelerated quench form quenching it is necessary to optimize agi- significantly affected by small variations in bath
oils contain additives that enhance the wetting tation and control bath temperature and polymer temperature. Although a brine can be used near
process during the quench, which results in re- concentration during use. The effect of bath tem- the boiling temperature of water, maximum
duced-film boiling as shown in Fig. 54. These perature and agitation on the ability to through cooling rates are obtained at about 20 C (70 F).
oils are used with crack-sensitive, lower-harden- harden steel is shown, for one polymer quen-
ability steels. chant, in Fig. 58 and 59, respectively.
Martempering oils are used at temperatures
between 95 and 230 C (200 and 450 F). They Water Cracks are Cracks are
not formed formed
are usually formulated using solvent-refined oils
with a very high paraffinic fraction to optimize Water is a relatively inexpensive and available PSC
oxidative and thermal stability, which is neces- quenchant that has been used for many years.
sary in view of their high use temperatures. Sta- The quenching properties of water are shown in
bility is also enhanced by the addition of anti- Fig. 60, which shows (Ref 50):
oxidants. Because martempering oils are used at Cooling times increase with increasing water PSC
relatively high temperatures, a protective, non- temperature.
oxidizing environment is often employed that al- The maximum cooling rate decreases with in-
lows them to be used much closer to the flash creasing water temperature.
point than otherwise possible under open-air The temperature where the maximum cooling
conditions. Nonaccelerated and accelerated mar- A A AA BB
rate occurs decreases with increasing bath B
tempering oils are available. Rotate
temperature.
The quench severity of accelerated and non-
accelerated quench oils is relatively insensitive Although the quenching properties of water PSC B
are highly variable and very sensitive to thermal A
to bath temperature as shown in Fig. 55 (Ref 55). AA
However, agitation does significantly impact the gradients in the water surrounding the cooling
performance of a quench oil as illustrated in Fig. metal, particularly at areas of varying cross-sec-
tion size and other stress risers, what is not seen PSC View A
56 (Ref 54).
in Fig. 60 is the fact that the film-boiling process A
is unstable and highly variable and that water
Aqueous Polymer Quenchants does not rewet steel in a uniform manner during
the quench. These variations produce high sur- PSC
Aqueous polymer quenchants are aqueous so- face thermal gradients and often increasing dis-
lutions of a water-soluble polymer, the most tortion and cracking. It is interesting to note that
common examples of which include: polyalky- the addition of 5 to 7% of an aqueous polymer
leneglycol, polyvinylpyrrolidone, polyethyloxa- quenchant will provide more uniform wetting
zoline, polysodium acrylate, and an additive to properties without a significant decrease in cool-
provide corrosion protection. Quenchant perfor- ing rates, which will result in great reductions in PSC
mance is due to polymer selection and solution cracking and distortion (Ref 50).
viscosity. These quenchants are being used in- Fig. 43 Immersion of cylindrical parts in a quenchant.
creasingly to replace conventional and acceler- The dashed horizontal lines indicate the level
Brine and Caustic Solutions of the liquid; the vertical arrows indicate the direction of
ated oils because of their reduced cost, fire immersion of the part. PSC indicates the perimeter of the
safety, and relatively low environmental impact. The term brine refers to aqueous solutions stress concentrator.
Typically, quench severity decreases with in- containing various concentrations of salts such
creasing quenchant concentration, increasing as sodium chloride. The cooling rates provided
bath temperature, and decreasing agitation rates. by brine are higher than that provided by water
This is shown in Fig. 57 for a polyalkylene gly- at the same temperature. Although the presence
col quenchant (Ref 56). As shown in this figure, of salts will decrease the propensity for film boil- Compressed air
it is possible to obtain quench severities analo- ing and soft spots often accompanying water 800
Temperature, C
600
Still air
400
(a)
200
0
0 10 20 30 40
Cooling rate, C/s
(b) Fig. 44 Comparison of cooling capacity of still and

compressed air. Solid line, still air; dashed line,
Fig. 42 Two forms of quench cracking: (a) pull cracking and (b) push cracking compressed air
The most common alternative to NaCl brine fer coefficient. The Grossmann number (H) is Cooling-Curve Analysis
solutions is aqueous solutions of NaOH (caus- defined as:
tic). The addition of NaOH produces slower The cooling-curve tests with some metallic
cooling rates than NaCl brines in the martensitic H h/(2k) probes have been used as the most useful means
transformation temperatures for many steels of testing the cooling power of liquid quenchants
(350 C, or 600 F) which would be expected where k is the conductivity of the metal. Thus, such as oils, water, and polymer quenchants. The
to reduce cracking propensity as shown in Fig. the H value is equal to the interfacial heat-trans- cooling curves are usually obtained by quench-
61 (Ref 50). Interestingly, the maximum cooling fer coefficient divided by twice the thermal coning a test specimen instrumented with thermo-
rate occurs at about 10% salt concentration for ductivity of the metal. couples and measuring the temperature as a
both NaCl and NaOH. When the H value is multiplied by the dimen- function of time at specific points within the
sions of the body, their product corresponds to specimen. The testpieces used are cylinders,
the well-known dimensionless Biot number (Bi) plates, and spheres; the most common is a cyl-
Measurement and Evaluation of (Ref 57): inder with a length three to four times its diam-
Power of Quenching Media eter and with a thermocouple located at its geo-
Bi HD hD/(2k) hR/k metric center. There are several standard
When designing a quenching process, it is im- cylindrical specimens (standard probes).
where D and R (D/2) are the diameter and the From the time-temperature curve of the stan-
portant to consider quenchant selection, quench radius of the cylindrical or spherical workpiece
severity, and quench uniformity. Quench sever- dard probe, one can calculate the temperature/
or, correspondingly, the thickness and half- cooling rate curve, the heat-transfer coefficient
ity is defined as: the ability of a quenching me- thickness of the plate.
dium to extract heat from a hot steel workpiece. curve, and the heat flux curve. Several charac-
The Biot number compares the relative mag-
Heat removal from workpieces during quench- teristic parameters that can be obtained from
nitudes of surface heat transfer and internal con-
ing can be quantitatively described in terms of these curves are the maximum cooling rate, the
duction resistance to heat transfer. A very low
the interfacial heat-transfer coefficient. The heat- cooling rate at 300 C (572 F), the characteristic
value of the Biot number means that internal-
transfer coefficient is defined as: conduction resistance is negligible compared temperature (the minimum temperature of film
with surface heat-transfer resistance. This in turn boiling), the temperature at the maximum cool-
h Q/[A(Tp T1)] implies that the temperature will be nearly uni- ing rate, cooling time from 800 to 400 C, and
form throughout the workpiece. Therefore, the so forth. In order to harden steel, the maximum
where h is the heat-transfer coefficient, Q is the magnitude of the Biot number shows the non- cooling rate and the temperature must be suffi-
heat flow from the workpiece to the quenchant, uniformity of temperature distribution through- ciently high to minimize ferrite and pearlite
A is the surface area of the workpiece, Tp is the out the body of the workpiece during quenching transformation. The cooling rate at 300 C (572
workpiece surface temperature, and Tl is the (Ref 57). F) can be used to indicate the probability of dis-
quenchant temperature. The most significant deficiency of the H value tortion and cracking because it is near the mar-
is the incorrect assumption that cooling occurs tensite temperature of most carbon and low-alloy
at a constant rate during quenching. Even with steels.
Grossmann Number the well-known limitation, the H value has been
widely accepted by heat treaters. The Grossmann Cooling-Curve Test Methods
In steel quenching, the Grossmann number H values for commonly used quenching media
(Ref 26) is used more widely than the heat-trans- are shown in Table 8. The most common method in use throughout
the world to evaluate the cooling properties of
quenching oils is cooling-curve analysis. Cool-
ing-curve analysis provides a cooling time ver-
Water sus temperature pathway, which is directly pro-
Polymer
Fluids
Oil
Salt
1200
Nitrogen Helium Hydrogen
10 bar 40 bar
1000
Load
5 20 bar 30
Temperature, C
3 10 20
Gases
1 6 10 800
Nitrogen Helium 600

Single component
6 bar 6 bar 6 bar Argon

3 3 3 400 Nitrogen
1 2 2 Hydrogen Helium
200 Hydrogen
0 1000 2000 3000 4000 0 6 12 18 24 30 36 42 48 54 60

Heat-transfer coefficient, W/m2 K Time, min
Fig. 45 Comparison of the heat-transfer coefficients achievable with different gas quenching media for bulk-loading Fig. 46 Comparison of cooling properties of common
and single-component quenching gases
portional to physical properties, such as hardness or another preferred temperature (Ref 58). The 3
of quenched steel parts. The results obtained by temperature inside the probe and the cooling
(by 3 diameters long)

3000 rpm
this test may be used as a guide in selecting heat times are recorded at selected time intervals to
Diameter, in.
treating oil or comparing the quench severities establish a cooling curve (temperature-time 2
of different heat treating oils, new or used. curve). The cooling rate is derived from the tem- 2000 rpm
ASTM D 6200 and ISO 9950. Cooling-curve perature-time curve. 1000 rpm
1
analysis of quenching oils according to ASTM JIS K 2242. The cylindrical silver probe (Fig.
D 6200 (Ref 58) and ISO 9950 (Ref 59) is con- 63) was adopted and set in 1965 for the JIS 400 F
400 F (205 C)
C)
ducted using the Inconel 600 alloy probe (Fig. method (Japanese industrial standard K 2242) 0
0 1 2 3 4 5 6 7 8 9 10
62). The probe is heated to 850 C (1562 F) in (Ref 60), because silver does not exhibit phase
Time, min
an electric furnace and then immersed in at least transformations or surface-oxidation effects on
700 mL of the quenching oil, typically at 40 C, the cooling curve and it also exhibits a high ther- 3
3000 rpm

mal sensitivity. However, the considerably dif-
ferent thermal conductivity from that of steel, the 2000 rpm
Diameter, in.
2
difficulty of preparing the delicate surface ther-
Table 11 Martempering (marquenching) mocouple assemblies, and the poor mechanical 1000 rpm
versus austempering for various steels strength have been cited as disadvantages. Fur- 1
Cross-section Hardness, thermore, the JIS silver probe is not appropriate 500 F
500 F (260 C)
C)
size HRC for water and polymer quenchants, because wa- 0
Steel type mm in. Martempering Austempering ter or polymer quenching of the JIS probe sig- 0 1 2 3 4 5 6 7 8 9 10
Low-alloy steel 13 0.5 3565 3555 nificantly decreases the lifetime of the silver-al- Time, min
Alloy steel 100 4.0 3565 3555 umel thermocouple. Therefore, a modified silver
Cast iron 13 0.5 63 3
probe (Fig. 64) is used for polymer quenchants 3000 rpm

2000 rpm
Diameter, in.
2
1000 rpm
100 100
1
600 F
600 F (315 C)
C)
80 80
0
0 1 2 3 4 5 6 7 8 9 10
Time, min
Cooling time, min
Cooling time, min
60 60
Fig. 49 Effect of agitation on the quench severity of
molten salt
40 40
20 20
50
Cooling rate calculated
0 0 from temperature curve
0 4000 8000 12000 16000 0 20 40 60 80
measured in the center of a
Volumetric flow rate, ACFM Chamber pressure, PSIG 25 mm diam steel specimen
(a) (b)
45
Fig. 47 (a) Effect of volumetric flow rate at constant density on cooling time. (b) Effect of chamber pressure at constant
Maximum cooling rate, K/s
volumetric rate on cooling time

1 vol% water
added
Areas of low 40
heat transfer
Without water
Cold spots formed
addition
360
cooling 35
30
0 0.3 0.6
(a) (b) (c) Agitation rate, m/s
Fig. 48 Effect of gas flow pattern on quench uniformity. (a) Gas-injection nozzles with flow perpendicular to the Fig. 50 Maximum cooling rate of a hot-salt bath (De-
workpiece. (b) Gas-injection nozzles with flow horizontal to the workpiece. (c) Combination of horizontal gussa AS-140) at 200 C (390 F) as a function
and vertical flow of agitation and percentage of water added
(Ref 61). It is the same shape as the JIS probe, efficient and/or the surface heat flux during alloy probe, because of its low thermal conduc-
and it is equipped with a metal-sheathed Chro- quenching are estimated from the measured tivity (Ref 6365).
mel-Alumel (CA) thermocouple (K type) (1.0 cooling-curve data of standard probes. The sur- The lumped-heat-capacity method can be
mm outer diameter, 0.2 mm wire diameter) at face heat-transfer coefficient or the surface heat used if an assumption of uniform probe tem-
these geometrical centers instead of the silver- flux is necessary as the surface-boundary con- perature during cooling can be justified (Ref 63
alumel thermocouple of the JIS probe. dition for computer simulation of the quenching 65). If the probe temperature is uniform, the heat
process. loss from the probe Q is equal to the decrease in
Techniques for Estimation of Heat- Some practical techniques for estimation of the internal energy of the probe:
Transfer Coefficient the surface heat-transfer coefficient and surface
heat flux have been proposed. The lumped-heat- Q hA(Tp T1) cqV(dTp /dt) (Eq 1)
To evaluate the cooling power of quenchants capacity method (Ref 62) is a classical and sim-
more qualitatively, the surface heat-transfer co- ple method for the determination of the surface where h is the heat-transfer coefficient on the
heat-transfer coefficient and the surface heat flux probe surface, A is the surface area of the probe,
during quenching. This method provides accu- Tp is the probe temperature, Tl is the quenchant
rate heat-transfer coefficients from quenching temperature, c is the specific heat of the probe
55 55
data obtained from silver probes that have high material, q is the specific density of the probe
With water Without water thermal conductivity (Ref 6365). On the other material, V is the volume of the probe, and t is
addition addition hand, inverse methods are more suitable for es- time. So, dTp /dt is the cooling rate of the probe.
5 timating the heat-transfer coefficients from If the quenchant temperature around the probe
50 50 quenching data obtained using the Inconel 600 Tl is uniform, the next relationship is derived
16 mm
4 mm from Eq 1:
47 HRC q h(Tp T1) (cqV/A)(dTp /dt)
Surface hardness, HRC
Surface hardness, HRC
300 (Eq 2)
45 3 45
4 H2
where q is the heat flux on the probe surface.
Heat transfer (600 C), Btu/h ft2 F
He Here, probe weight qV is constant, but c and

2
40 40 A change with temperature. If the change of the
surface area of the probe A is ignored, only the
200 temperature dependence of the specific heat c
(Eq 2) need be considered, and then:
35 35
1 q h(Tp T1) c(Tp)(qV/A)(dTp /dt) (Eq 3)
100
where c(Tp) is the specific heat as a function of
30 30 N2 probe temperature Tp.
3/ 4 R 1/ 2 R 1/ 4 R C 1/ 4 R 1/ 2 R 3/ 4 R Thus, the heat flux q and/or the heat-transfer
coefficient h can be directly calculated from the
0 cooling rate dTp /dt (Ref 64, 65). Figure 65
50 mm diam 0 2 4 6 8 10 12 14 16
shows heat-transfer coefficients calculated with
Fluidizing flow
Fig. 51 Influence of agitation rate and water addition the lumped-method and cooling-curve data of
on hardness distribution in 50 by 200 mm (2 Minimum fluidizing flow
the JIS silver probe quenched in different quench
by 8 in.) AISI 4140 steel bars quenched in a hot-salt bath Fig. 53 Effect of fluidized gas on heat transfer media.
(Degussa AS-140) at 200 C (390 F). Agitation rates and
water additions: 1, 0 m/s, 0 vol%; 2, 0.3 m/s, 0 vol%; 3,
0.6 m/s, 0 vol%; 4, 0.6 m/s, 1 vol%; 5, 0.6 m/s, 2 vol%
1600
1400
7
Conventional
quench oil
6
1200 Fused salt 150 F
F
5 500 F
F
Cooling rate, C/s
Cooling rate Martempering oil

Temperature, F
4 800 500 C 1000 500 F

F
3 Molten
800 metal
500 F
F
2 Cooling rate
800 300 C
1 600
0 Accelerated
100 0 100 200 300 400 500
400 quench oil
Fluidized bed temperature, C 150 F
F
Fig. 52 Effect of fluidized-bed temperature on cooling 200

rate between 800500 C (1470930 F) and 0.7 1.0 1.5 2 3 4 5 7 10 15 20 30 40 60
800300 C (1470570 F) measured with 75 by 100 mm Time, s
(3 by 4 in.) 90MoCrV8 steel sample; temperatures mea-
sured at the center of the section Fig. 54 Comparison of cooling-curve performance of accelerated versus a nonaccelerated quench oil
The numerical inverse methods require 1. The initial values of heat-transfer coefficients probe. The values of the heat-transfer coeffi-
techniques that decrease instabilities due to ex- are approximately calculated by a lumped- cients in the convection-cooling stage (the
cessive sensitivity to measurement errors and heat-capacity method from the cooling-curve lower-temperature region) are almost the same
noise. The accuracy of the solutions obtained by data of the probe. for each quenchant, despite the differences of the
the numerical inverse methods may be question- 2. The total temperature region of the cooling sizes and the materials of these probes. However,
able because of various conditions in the nu- process is divided into about 20 subregions the values in the higher-temperature region are
merical calculation including: time step, spatial and the initial heat-transfer coefficients are very different for each probe. This is caused by
step size, magnitude of noise, error in measured defined as stepwise continuous functions in the difference of the thermal properties between
data, and so forth. Furthermore, the accuracy is each region. the JIS probe and the ISO probe.
not achieved for all cooling stages in quenching, 3. The cooling curve is calculated by a two-di-
unless these conditions are appropriately set for mensional finite difference method using Wetting Behavior and Nonuniform
each stage. these coefficients as the surface-boundary Quenching
One of the numerical inverse methods is the condition.
solution of the inverse heat conduction problem 4. The residual sum of squares between the It is well known that the wetting process on
(Ref 66, 67). Another method is the iteration measured temperatures Texp and the corre- the surface of hot metal affects cooling charac-
method, which utilizes both the lumped-heat-ca- sponding calculated temperatures Tcal is teristics during water, polymer, and oil quench-
pacity method and a two-dimensional inverse given as R (Texp Tcal)2. ing (Ref 40). If the initial temperature of hot
method with the least residual procedure (Ref 5. The cooling curve is calculated again after metal is sufficiently high, a vapor film is formed
64, 65). The calculation procedure is: changing the heat-transfer coefficients. on the surface immediately upon immersion. Af-
6. The iteration of 3, 4, and 5 is performed until ter vapor blanket cooling stage (film boiling), a
16 Tcrit {R/n}1 / 2 is satisfied. collapse of the vapor blanket (i.e., wetting) oc-
Strong agitation curs progressively or explosively. The progres-
15 where Tcrit is a critical value of the temperature
Moderate agitation sive wetting during quenching could increase
14 No agitation
difference between the measured temperatures nonuniform cooling because the heat-transfer
and the corresponding calculated temperatures coefficient on the nonwetted surface is signifi-
Cooling rate at 550 C, C/s
13
and n is the number of data Texp in the subregion. cantly lower than that on the wetted surface.
12 An iterative technique to minimize R is used. Hence, the wetting behavior is a major factor in
11 The same procedure is repeated in each subre- cooling, and it affects quench distortion of steel
gion in the whole cooling process. parts.
10
Figure 66 (Ref 65) illustrates an example of Cooling-curve analysis provides relatively lit-
9 heat-transfer coefficients calculated with the in- tle information about the wetting process. The
8 verse method and cooling-curve data obtained temperature in the center of the probe at the tran-
using an ISO Inconel 600 alloy probe quenched sition point from lower to higher cooling veloc-
7
in various quenchants. Heat-transfer coefficients ity only describes the wetting of the nearest sur-
6 that were calculated from the cooling-curve data face point and gives no information about the
5 of the JIS probe are also shown in Fig. 66. The wetting process on the entire surface of the
0 4 8 12 16 20 24 28
lumped-heat-capacity method program LUMP- probe. The following techniques are employed
PROB (Ref 63) was used for the JIS silver for measuring the wetting process.
Effect of agitation of a quench oil on the ability probe, and the inverse method program Inv-
Fig. 55 Probe-2D (Ref 64, 65) was used for the ISO
to through harden steel
140
900 0.4
Predicted hardness for a quench oil (25 mm, or 1 in. bar)
0.6
135
800
0.4
130
700
Bath temperature, F
0.6
125
600 0.8
Temperature, C
120
500 15.7 HRC, 43 C (110 F), FPM = 0 0.6
31.5 HRC, 43 C (110 F), FPM = 100
115
16.6 HRC, 88 C (190 F), FPM = 0
400 0.8
32.1 HRC, 88 C(190 F), FPM = 100
110 1.0
300
Circ rate = 50
0.8
Flow rate = 0 105 Circ rate = 75
200 1.0 Circ rate = 100
Flow rate = 100 100
15 17 19 21 23 25
100
Polymer concentration, %
0
1E 2 1E 1 1E + 0 1E + 1 1E + 2 1E + 3 1E + 4 1E + 5 1E + 6 1E + 7 Fig. 57 Effect of variation of quenchant concentration,
agitation rate, and bath temperature on the
Time, s Grossmann H value for one polyalkylene glycol quen-
chant. Circ rate in ft/min. Note: these curves vary greatly
Fig. 56 Relative insensitivity of the ability of a quench oil to harden steel with respect to varying bath temperature. for each polymer quenchant; therefore, these data are for
FPM, flow rate general illustrative purposes only.
Measurement of Wetting Kinematics Conductance Measurement. Another quenched in various quenchants without agita-
method for determining the wetting process is to tion. Different cooling curves were obtained for
Direct Observation with Video or Photo- measure the electrical conductance between the each quenchant. A lumped-heat-capacity method
graphs. For transparent quenchants, the surface specimen and an electrode immersed in the was used to estimate heat-transfer coefficients
wetting process may be observed by video or quenchant (Ref 69) (Fig. 70). When a vapor from these cooling-curve data. These coeffi-
photographically. Images captured on videotape blanket forms around the entire specimen sur- cients are shown in Fig. 72(b).
or sequential photographs provide detailed in- face, the conductance between the specimen and In general, the cooling curve during water,
formation about the wetting process. Figure 67 the electrode is low. When the vapor blanket col- polymer, and oil quenching has three stages
(Ref 68) shows examples of the wetting behavior lapses on the specimen surface, the conductance (stage A: vapor blanket cooling (film-boiling)
and change of wetting distance Lf with time, dur- increases as shown in Fig. 71. The increase in stage, stage B: nucleate-boiling stage, and stage
ing water, polymer, and oil quenching of the the conductance is approximately proportional to C: convection-cooling stage). Heat-transfer co-
stainless steel disk specimen (30 mm diameter the wetted portion of the specimen surface. The efficients in the high-temperature region (vapor
by 10 mm thick). A progressive collapse of the conductance is at its highest value when the en- blanket stage) are relatively low. Cooling curves
vapor blanket from the sharp edges was observed tire sample surface is completely wetted. Con- of workpieces quenched into nonvolatile quen-
in water and oil quenching, while an instanta- ductance-time curves provide the time when chants such as molten salt, liquid metal, and gas,
neous collapse occurred in polymer quenching. wetting starts (ts) and the time when wetting is do not exhibit vapor blanket cooling or nucleate
Wetting length Lf versus time t was estimated finished (tf). boiling.
from the video images. The t-Lf curves provide The wetting behavior in the quenching of hot
wetting velocity, time when wetting starts (ts), metal is affected by quenchant properties such
and time when wetting is finished (tf). Effect of Process Variables on as the type of quenchants, quenchant tempera-
Temperature Measurement. The current Cooling Behavior and Heat Transfer ture, and so forth. As shown in Fig. 67, in water
method for examining the wetting process is to and oil quenching, the vapor blanket was formed
measure cooling curves by inserting thermocou- The quenching of steel requires a wide vari- around the entire surface of the specimen im-
ples in near-surface positions along the specimen ation and sufficient reproducibility of heat trans- mediately after immersion and then ruptured
surface. Figure 68 (Ref 68) shows cooling curves fer in order to achieve the required cooling rate, progressively from the sharp edges to the center
during water, polymer, and oil quenching of the which is dependent on the hardenability of the of the flat surface of the disk specimen. The pro-
stainless steel disk specimen (30 mm diameter steel and the section size of the workpiece. gressive collapse of the vapor film begins im-
by 10 mm thick) without agitation. Temperatures Therefore, it is important to recognize the influ- mediately after immersion in water. The pro-
were detected by metal-sheathed thermocouples ence of the variables during quenching. gressive collapse starts after the formation of a
attached to the specimen. Figure 69 shows the Heat transfer during quenching is affected by stable vapor blanket stage in oil quenching. The
positions of metal-sheathed thermocouples for many factors, such as the quenchant, bath tem- time of duration varies according to the oils used.
the measuring cooling curves. Thermocouples perature, agitation, and the dimensions and The starting time of the wetting during polymer
were inserted tightly into holes drilled to the geo- shape of the workpiece being quenched. Only a quenching depends on the type of polymer used,
metrical center A and positions B, C, and D near few of these factors can be realistically varied, polymer concentration, and liquid temperature.
the specimen surface. Basic information can be including bath temperature, agitation rate, and Wetting starts immediately upon immersion for
derived from the near-surface cooling curves. A the quantity and racking arrangement of the some aqueous polymer solutions and after the
period of slow cooling and a subsequent period workpieces. formation of a stable vapor blanket stage for
of fast cooling are equivalent to a period of non- other polymer quenchants.
The wetting velocity (the propagation velocity
wetting cooling stage (vapor blanket stage) and Effect of Quenchant Selection of wetting front) during water or oil quenching
nucleate-boiling stage. The transition point in-
is significantly slower than during polymer
dicates the transition from film boiling to nucle- The selection of quenchant is the most basic quenching. Such a slow wetting velocity could
ate boiling at the thermocouple location. The on- factor that affects cooling behavior. When se- cause a nonuniform surface cooling in the spec-
set and conclusion of wetting, and thus the lecting a quenchant, it is important to consider imen, because the heat-transfer coefficient on the
velocity of wetting front, can be calculated by quench severity and quench uniformity. nonwetting surface is significantly lower than
extrapolating the local transition times to the The cooling curves in Fig. 72(a) were ob- that on the wetting surface. Figure 68(a) shows
starting and finishing positions of the wetting. tained using a 10 mm diam silver specimen the cooling curves at representative positions
1000 1000 1000

30 C
C
20 C
C
800 800
750
Temperature (TC), C
40 C 50 C
Temperature, C
Temperature, C
C C
600 600 0 m/s
40 C
C 500
50 C
C 0.3 m/s
400 400 0.6 m/s
30 C
C 250
200 200
20 C
C
0
0 15 30 45 60
0 0
0 5 10 15 20 0 50 100 150 200 Time (t ), s
Time, s Cooling rate, C/s
Fig. 59 Effect of agitation rate on the ability to through
Fig. 58 Effect of bath temperature on the ability to through harden steel harden steel
and the temperature differences between these the surface through the vapor blanket by confer depends on the temperature difference be-
positions during water quenching. Cooling im- duction, radiation, and convection. When the tween the quenchant and the surface of the
mediately upon immersion is very rapid on the surface temperature of the workpiece decreases, workpiece. It also depends on quenchant viscos-
edges (position D), and the difference of the sur- the thickness of the vapor blanket is reduced unity, which governs the convection flow of the
face temperature, TB TD, is very large (about til the liquid contacts the hot surface of the work- quenchant around the workpiece.
500 C at maximum). piece. This is the start of the wetting process. By The effect of water temperature on cooling
Instantaneous collapse of the vapor blanket direct contact with the surface, the vapor film curves of a 12.5 mm diam by 60 mm Inconel
occurs in polymer quenching. Wetting velocity begins to collapse, dramatically increasing the 600 probe is shown in Fig. 60. By decreasing
after the start of the breakdown of the vapor film heat flux and the cooling rate. By increasing liq-
is very high. Such wetting behavior could reduce uid temperature, the energy required for evapo-
the nonuniformity of surface cooling of a spec- ration is reduced and the thickness of the vapor
16 2.8
imen. Figures 68(b) and (c) show that the dif- film increases. As a result, both the cooling rate NaOH
Heat transfer coefficient (),
Heat transfer coefficient (),

ferences of the surface temperature (TB TC and and the heat-transfer rate decrease. In addition,
(Btu/ft2 h F) 103
TB TD) during polymer quenching is smaller by stabilizing the vapor blanket, the transition 14 NaCl 2.5
than that in water quenching (Fig. 68a) or oil temperature from lower to higher cooling rate
mW/m2 K
quenching (Fig. 68d). (the minimum temperature required for film 12 2.1
boiling) decreases.
Effect of Quenchant Temperature Once wetting has begun, heat transfer by nu-
cleate boiling controls the cooling rate. This 10 1.8
In the vapor blanket stage during water, poly- stage is also dependent on quenchant tempera-
mer, and oil quenching, heat is transferred across ture. In the convection-cooling stage, heat trans- 8 1.4
0 5 10 15 20 25
Salt concentration, %
1000
1800 Effect of salt concentration on the heat-transfer
Fig. 61
Water temperature: coefficients of NaCl and NaOH brine solutions
40 C 1600
800 50 C
60 C 1400
70 C
80 C
Temperature, C
1200
Temperature, F
600 90 C Termination
1000
12.5
400 800 9.5
600
200 400
200 Support
tube
0
0 10 20 30 40 50 60
Time, s
1.5
(a)
Cooling rate, F/s
6
50 100 150 200 250

1000 30
1800
1600
800 1.5 mm
200
30
1400
sheathed
thermocouple
Temperature, C
1200
Temperature, F
600
160
1000
800
400
Water temperature: r 0.75
40 C 600
50 C
60 C
30
200 400
70 C Probe
80 C
200
90 C
0
0 20 40 60 80 100 120 140 160
Cooling rate C/s
(b)
Fig. 62 ISO Inconel 600 alloy probe. International
Fig. 60 Effect of water bath temperature on heat removal using a 12.5 mm diam by 60 mm Inconel 600 probe with standard, ISO 9950. r, radius; , diameter. Di-
a flow velocity of 0.25 m/s (50 ft/min) mensions given in mm. Source: Ref 59
water temperature, the duration of film boiling mm, Fig. 64) quenched in 80 C oil. In the vapor
Insulating decreases, which is indicated by the accelerated blanket stage and convection stage, the tempera-
tube transition from slower cooling to faster cooling. ture of the specimen decreases slowly and the
In addition, cooling rates of the three different cooling rates in these stages accelerate by the
Supporting cooling stages are increased. agitation. As the vapor film collapses, the tem-
rod Silver Cooling curves during oil quenching are rela- perature drops rapidly because of the transition
wire tively insensitive to bath temperature as shown from film boiling to nucleate boiling. This tran-
in Fig. 55. However, the temperature of an aque- sition temperature from lower to higher cooling
Silver ous polymer solution does significantly impact rates is almost unaffected by flow velocity.
pipe
on the cooling performance as shown in Fig. 58. Figure 59 shows the effect of selected flow
Cooling curves of workpieces quenched by velocities (0, 0.3, and 0.6 m/s) on cooling curves
nonvolatile quenchants such as molten salt, liq- in polymer quenching. In this case, the liquid
30 Heat-
resistant
uid metal, and gas do not possess a vapor blanket flow around the workpiece reduces the stability
insulator and nucleate-boiling stage. Workpieces are of the vapor blanket. Therefore, the transition
10 cooled by radiation and convection of the quen- from lower to higher cooling rates may be
M6 1 chant. In this case, the heat-transfer coefficient strongly influenced by the liquid flow velocity,
5 5 Almel
depends on the temperature difference between and the agitation reduces the duration of film
wire the quenchant and the surface of the workpiece. boiling.
The effect of agitation on the wetting process
3 on a stainless steel disk (30 mm diameter by 10
15 Effect of Agitation
mm thick) during water quenching is shown in
In addition to quenchant temperature, vapor- Fig. 74 (Ref 68). Figure 75 shows the effect of
Silver film stability is greatly affected by quenchant ag- agitation on the cooling curves of this stainless
15 0.1 rod body itation. A high flow velocity increases the heat steel disk at the representative positions (shown
transfer by convection and reduces the thickness in Fig. 69) and the temperature differences be-
of the vapor film. Furthermore, agitation of the tween these positions during water quenching.
liquid reduces the stability of the vapor/liquid These results show that the agitation of water
Insulation interface by disturbing the liquid flow adjacent increases the wetting velocity and hence shortens
tube the finishing time of wetting tf. However, the
10 0.1 to the vapor film. Therefore, agitation reduces
starting time of wetting ts in water quenching
the duration of film boiling. Heat transfer in the
Japanese industrial standard silver probe. JIS K does not depend on the flow velocity because the
Fig. 63 convection-cooling stage directly depends on ag-
2242-1997. , diameter. M6 1, metric fine wetting at the sharp edges always starts imme-
screw thread. Dimensions given in mm. Source: Ref 63
itation. The effect of agitation on the heat trans-
diately after immersion (edge effect). As a result,
fer by nucleate boiling is not significant because
the degree of nonuniformity of the surface cool-
nucleate boiling agitates the liquid adjacent to
ing (see the values of TB TD and TC TD)
the boiling surface by itself (self-agitation ef-
during water quenching significantly is de-
fect).
creased by the agitation.
Figure 73 shows the effect of selected flow
Figures 76 and 77 (Ref 68) illustrate the effect
velocities (00.4 m/s) on cooling curves of a
of agitation on the wetting process and the cool-
cylindrical silver probe (10 mm diameter by 30
Supporting
rod
105
106 Water (30 C): JIS probe and LUMPPROB
Water, 30 C Water (30 C): ISO probe and InvProbe-2D
10% polymer quenchant (PAG), 30 C 5 104 10% PAG (30 C): JIS probe and LUMPPROB
10% brine, 30 C 10% PAG (30 C): ISO probe and InvProbe-2D
Heat-transfer coefficient (h ), W/m2 K
Oil: JIS1-2 (80 C): JIS probe and LUMPPROB

1.0 sheathed Oil (JIS1-2), 80 C 2 104 Oil: JIS1-2 (80 C): ISO probe and InvProbe-2D
thermocouple Oil (JIS2-1), 120 C
Heat-transfer coefficient, W/m2 K
105
Molten salt, 230 C 104
5000
M6
104 2000
5
5 5 1000
15 500
Silver 103
rod body
200
15
100
0 200 400 600 800 1000
102 Surface temperature (T ), C
0 200 400 600 800 1000
Surface temperature, C Heat-transfer coefficients calculated with the
10 Fig. 66
lumped method and the cooling-curve data of
Fig. 64 Modified silver probe. M6, metric coarse screw Fig. 65 Heat-transfer coefficients calculated with the the JIS silver probe or with the inverse method and the
thread. Dimensions given in mm. Source: Ref lumped method and the cooling-curve data of cooling-curve data of the ISO Inconel alloy probe. Source:
61 the JIS silver probe quenched in representative quenchants Ref 65
ing characteristics during polymer quenching

where agitation of the polymer quenchant hardly
affects the wetting velocity during quenching.
Therefore, the degree of nonuniformity of the
surface cooling during polymer quenching is not
affected by the agitation. However, the starting
time of wetting ts in still polymer quenching var-
ies widely because the poor reproducibility of
the formation and collapse of the vapor blanket
without agitation. However, agitation of the
polymer quenchant often prevents the formation
of the vapor blanket and achieves the reproduc-
ible rapid cooling immediately after immersion.
Figures 78 and 79 (Ref 68) show the effect of
agitation on the wetting process and the cooling
characteristics during oil quenching. Agitation
of the quenching oil hardly affects the starting
time of wetting ts, but increases the wetting ve-
locity and shortens the finishing time of wetting
tf. As a result, the degree of nonuniformity of the
surface cooling during oil quenching is some-
Fig. 67 Change of wetting length with time on the surface of stainless steel disk specimen during water, polymer, and what decreased by agitation. However, the effect
oil quenching. Quenchants: city water, PAG polymer aqueous solutions, and quenching oils. Source: Ref 68
of agitation on the cooling characteristics is in-
significant, because the vapor blanket in oil
quenching is stable in the high-temperature re-
gion where the temperature is greater than the
transition temperature with or without agitation.
800 30 C still water 800 800 30 C still 10% PAG 800
TA TB TA TB
Temperature (T ), C
Temperature (T ), C
TB (surface: B) TB TC TB (surface: B) TB TC
600 600 600 600
TB TD TB TD
TC (surface: C) TC (surface: C)
400 A 400 400 TD (edge: D) A 400
TD (edge: D)
B 15 B 15
C 7 C 7
200 D 7 200 200 D 7 200
1 1
0 0 0 0
0 10 20 30 0 10 20 30
(a) (b)
60 C still 25% PAG 80 C still oil (JIS 1-2)

800 800 800 T A TB 800

TA (center) TA TB TA (center)
T B TC
TB TC
Temperature (T ), C
Temperature (T ), C
TB (surface: B) TB (surface: B) T B TD
600 TB TD 600 600 600
A
TD (edge: D) TD (edge: D) B 15
400 A 400 400 C 7 400
B 15 D 7
1
C 7
200 D 7 200 200 200
1
0 0 0 0
0 10 20 30 40 50 60 0 10 20 30
(c) (d)
Fig. 68 Cooling curves and variation of temperature difference during (a) water, (b) and (c) polymer, and (d) oil quenching of stainless steel disk
Furthermore, the transition temperature in oil Figures 80 and 81 (Ref 70, 71) illustrate the Unstable cooling phenomena due to surface
quenching hardly depends on the flow velocity effect of surface oxidation of silver, nickel, stain- oxidation were observed for water quenching of
and the wetting at the sharp edges starts after less steel, and pure iron cylinders with hemi- steel (Fig. 83). Unstable changes of the cooling
vapor blanket cooling. spherical ends (without edge effect) on cooling rate during cooling were obtained due to flaking
curves during quenching in still water. These re- of the oxide layer (Ref 70, 71).
Effect of Surface Conditions sults show: Coating Effects. The presence of a low ther-
mal conductivity layer such as oxides exhibits a
In actual heat treating, the surface conditions Oxidation of a probe surface exhibits little ef-
remarkable influence on the cooling character-
of the parts vary due to oxidation, contamina- fect on the cooling characteristics during va- istics of hot metals, as described previously.
tion, coating with other material, surface rough- por blanket cooling. Coatings of clay, glass, salt, and heat-resistant
ening, and so forth. Therefore, the effect of sur- Surface oxidation increases the lower-limit
paint exhibit a similar effect. Figure 84 shows
face conditions on the cooling characteristics in temperature of the vapor blanket stage. This that a clay coating less than about 100 lm thick
quenching is very important. tendency is more remarkable in the case of results in a cooling acceleration effect in water
Surface Oxidation. As discussed in the sec- lower water temperature. quenching of S45C steel cylinders. Such a phe-
tion Effect of Materials and Quench Process The presence of a porous oxide layer on the nomenon was observed at the full range of water
Design on Distortion in this article, oxide scale surface results in a remarkable rise of the va- temperatures (Ref 73). This effect is caused ei-
affects cooling during oil quenching of steel por blanket, the transition temperature from ther by suppression of the vapor blanket forma-
parts, as shown in Fig. 30 (Ref 14). In general, lower to higher cooling rate (the minimum tion or by acceleration of the collapse by the ex-
light scale (thin oxide layers) increases the cool- temperature required for film boiling) be- istence of the clay coating layer (Ref 71, 73).
ing rate in oil quenching, but heavy scale (thick cause of the low thermal conductivity and Kikuchi et al. (Ref 74) explained this phenom-
oxide layers) retards the cooling rate. This phe- large roughness of the oxide layer. enon by considering the surface-temperature de-
nomenon often occurs in water or polymer crease during intermittent liquid-solid contact.
quenching. A similar result was reported for spray cooling
of a hot steel plate (Fig. 82) (Ref 72). It has been Figure 85 illustrates a similar result for a clay
confirmed that this cooling acceleration effect coating on a silver probe (Ref 71, 73). In this
with thin oxide layer is caused either by sup- case, the thicker the clay coating layer, the lower
pression of the vapor blanket formation or by the cooling acceleration effect, because of the
10 acceleration of the collapse (destabilization of insulation effect of the clay layer.
vapor blanket) by the existence of the oxide Surface Texture and Roughness. The effect
layer. of surface texture and roughness on the cooling
1.5 characteristics in quenching is very important.
1.6 sheathed Narazaki et al. confirmed the effect of the surface
thermocouple texture on the cooling curves of metallic speci-
men during quenching in still water (Ref 75).
The results showed:
Specimen Surface texture and roughness exhibit little
30 effect on the cooling characteristics at the va-
B por blanket stage.
Surface roughness causes the rise of the
7 C A
14 lower-limit temperature of the vapor blanket
D stage.
3 3 A similar result (Ref 72) has been reported for
spray cooling of a hot copper plate (Fig. 86). It
Fig. 69 Steel disk specimen for measuring cooling is presumed that these effects are caused by the
curves. Dimensions in mm. Specimen: steel destabilization of the vapor blanket, which re-
disk (30 mm diam by 10 mm thick). Thermocouple: me-
tallic sheathed CA thermocouple (1.6 mm outer diameter).
sults from microscopic liquid-solid contacts on
Measuring position: geometrical center (A) and 1.5 mm be- the rough surface.
neath surface (B, C, and D). Source: Ref 68 Various effects of surface texture on cooling
characteristics have been reported (Ref 71, 75,
76). Figure 87 shows the effect of surface finish
on the cooling curves of a S45C steel specimen
Data scanning system:
during polymer quenching (Ref 71, 76). In this
Temperature T case, the surface texture finished by lapping sta-
Conductance G
bilizes film boiling. Sandblasted surfaces often
cause a similar effect. These phenomena may be
due to the stabilization of vapor film in liquid-
solid contacts by recovering of vapor film, which
Fluid is promoted by many homogeneous bubble nu-
cleation cavities on the lapped sandblasted sur-
Unwetted Sample faces.
Wetted surface
Fig. 71 (a) Cooling curve of center of sample and vari-
ation of wetted surface area as a function of Effects of Geometry
Backplate time during cooling of cylindrical chromium-nickel steel
electrode sample (15 mm diam by 45 mm long). (b) Photographs Edge Effect. The shape of steel parts is a very
show the wetting behavior at times A, B, and C. TS and tS,
important factor for water and aqueous polymer
Fig. 70 Measuring principle for determination of per- respectively, are temperature and time of starting wetting;
quenchants, but it is not as important for oils (see
centage of sample surface wetted during cool- Tf and tf, respectively, are temperature and time of finishing
ing of immersion-cooled samples. Source: Ref 69 wetting. Source: Ref 69 Fig. 8890) (Ref 71). The initial rupture of the
vapor blanket usually starts at sharp edges of curve tests to avoid the influence of surface ox- conductivity of specimen. If the thermal conduc-
steel parts, and wetting behavior is strongly in- idation and phase transformation. The effect of tivity of the specimen material is lower, desta-
fluenced by the geometry of the edges (edge ef- specimen material on cooling characteristics in bilization and premature collapse of the vapor
fect) (Ref 35, 40, 77). Figures 88(a) and 89(a) quenching has been reported (Ref 71, 76). Figure film occurs at a higher temperature because of
show that the edge shape of the ends of cylin- 91 illustrates surface heat-transfer coefficients the increase of the surface temperature drop by
drical specimens is very important in still water obtained during oil quenching of cylindrical sil- the intermittent liquid-metal contact during the
and polymer quenching. This arises from the in- ver, nickel, and stainless steel specimens. The vapor blanket stage.
stability and the premature collapse of the vapor results show that the specimen material does not Steel chemical composition determines the
blanket at the edges of both ends. However, affect the heat-transfer coefficients in the vapor thermodynamic parameters of the material,
cooling curves during oil quenching are not sen- blanket stage and during the convection-cooling transformation behavior of austenite, and surface
sitive to the end or edge shapes of cylindrical oxidation. Therefore, it affects cooling behavior
stage. However, the minimum temperature of the
specimens as shown in Fig. 90. This arises from during quenching. Latent heat of transformation
vapor blanket stage is affected by the specimen from austenite into ferrite/pearlite bainite, or
the stability of the vapor blanket around the material. Similar results are confirmed in the
specimen during oil quenching. However, the ef- martensite also influences the cooling rate. The
case of water quenching of cylindrical silver, transformation temperature and the amount of la-
fect of edge shape in water and polymer quench- nickel, and stainless steel specimens with hem- tent heat depend on the chemical composition of
ing can be eliminated by agitation as shown in ispherical ends (without edge effect) (Ref 71, the steel and the cooling rate. Thermodynamic
Fig. 88(b) and 89(b), because agitation destabi- 76). This phenomenon arises from instability of properties of the material also have an effect on
lizes the vapor blanket and eliminates the vapor the vapor blanket on the surface of lower thermal cooling behavior.
blanket cooling stage independent of the edge
shape.
Effect of Size. Cooling becomes proportion-
ately slower when the thickness of a workpiece 900
is increased (mass effect). Therefore, rapid cool-
ing of the core of a workpiece with large cross 10 30 mm silver probe
800 Still
80 C quench oil (JIS 12)
sections is impossible with any quenching me- 0.1 m/s
dia. In addition, cooling rates of the core are lim- 700
0.2 m/s
ited by the thermal diffusion in the workpiece. 0.3 m/s
Temperature (T ), C
Size of a workpiece also affects the stability 600

0.4 m/s
of vapor film on the surface of the workpiece and
the wetting behavior. The velocity of wetting is 500
reduced, and the time interval of wetting in-
creases with increased section size. Vapor flow 400
rate, vapor thickness, and quenchant temperature
300
around the workpiece increases with the increas-
ing workpiece size. As a result, surface heat
200
transfer of a workpiece is influenced by the
workpiece size. 100
Material Effects 0
0 1 2 3 4 5 6 7 8 9 10
Time (t ), s
Heat-resistant materials such as silver, gold,
platinum, stainless steel, nickel, Inconel alloy, Effect of agitation on cooling curves in oil quenching. Probe: cylindrical silver probe (10 mm diam by 30 mm
Fig. 73
and so forth are used as specimens for cooling- long). Quenchant: 80 C quench oil (JIS 1-2 type)
105
30 C 10% brine
230 C
Heat-transfer coefficient, W/m2 K
800
30 C water molten salt
Temperature (T ), C
80 C oil JIS 1-2 104

600
120 C oil JIS 2-1
120 C oil
JIS 2-1
400
230 C molten salt
103
30 C water
200 30 C, 10% polymer
quenchant 30 C, 10% 80 C oil JIS 1-2
polymer
30 C 10% brine
0 102
0 1 2 3 4 5 0 200 400 600 800
Time (t ), s Surface temperature, C
(a) (b)
Fig. 72 Cooling curves of a silver probe and heat-transfer coefficients in quenching in representative quenchants. (a) Cooling curves of a 10 mm diam by 30 mm long silver probe.
(b) Heat-transfer coefficients estimated with lumped-heat-capacity method
Effect of Cooling Characteristics on workpiece. For steel parts with thick and thin Workpiece Size Effects
Residual Stress and Distortion from cross sections, the selection of a quenchant is
more difficult. Many such shapes increase the The cooling rate of a workpiece being
Quenching nonuniformity of cooling and therefore increase quenched shows an inverse relationship with re-
the potential for stress, cracking, and distortion. spect to the increasing thickness of the work-
Steel quenching requires a wide variation in Wetting during quenching in a volatile quen- piece by mass effect. In addition, the cooling
cooling rates to achieve the required hardness chant, such as water, oil, or aqueous polymer rates of the core are limited by the thermal dif-
and strength, which is dependent on the harden- solutions, results in nonuniform (uneven) cool- fusion in the workpiece. Therefore, stress and
ability of the steel and section size of the working of the workpieces producing high surface distortion during quenching are affected by the
piece. At the same time, residual stresses, dis- thermal gradients and often increasing distortion dimensions, shape, and material of the work-
tortion, and crack formation must be minimized. and stress. Many aqueous polymer quenchants piece being quenched.
However, these are often contradictory objec- will provide more uniform wetting properties, Figure 94 (Ref 78) shows the axial stress de-
tives. For example, although increasing cooling which will result in substantial reductions in velopment during water quenching of AISI 1045
rates increases hardness, it often increases the cracking and distortion (Ref 68). steel cylinders. The 10 mm (0.4 in.) diam cyl-
potential for distortion, stress, and cracking. Figures 92 and 93 show the distortion and re- inder starts to transform to martensite at the sur-
Similarly, distortion and stress during quenching sidual stress of 30 mm diam, and 10 mm thick face, and the transformation front moves grad-
are affected by many factors, such as the quen- carbon steel disk specimens quenched in various ually inward, resulting in a typical tensile stress
chant, the bath temperature, and agitation. The quenchants without agitation. Different stress at the surface. The large-diameter cylinders first
dimensions, shape, and material of the work- distributions and distortions were obtained for transform to ferrite/pearlite at intermediate radii
piece also influence the distortion, stress, and each quenchant. This is a result of the difference and then to martensite at the surface. This causes
cracking. of the cooling power of each quenchant, which two stress minima, seen in the dashed curves in
dominates the cooling path on the CCT curve Fig. 94(a) to (c). The final residual stress is com-
Effect of Quenchant Selection and therefore the internal distribution of marten- pressive at the surface and tensile in the core.
site and ferrite/pearlite. The wetting process on The relationship of stress to specimen diameter
The selection of quenchant is the most basic the surface of the specimen during water, poly- and quenching medium is summarized in Fig. 95
factor affecting the cooling characteristics of mer, and oil quenching also affects the stress and (Ref 78, 79). The difference between oil and wa-
workpieces. Therefore, it is the basic factor to be distortion. After vapor blanket cooling, a col- ter quenching decreases with increasing diame-
considered for stress and distortion control dur- lapse of the vapor blanket (i.e., wetting) occurs ter.
ing quenching. The selection of a particular progressively during water quenching. This re-
quenchant depends on the quench severity de- sults in a nonuniform cooling of a steel specimen Effect of Agitation
sired. For example, water, brine, or lower con- and increases stress and distortion. However, if
centrations of aqueous polymer solutions are the vapor blanket collapses simultaneously or As discussed in the section Effect of Mate-
used for plain carbon steels. Accelerated oils are explosively, as in polymer quenching, the si- rials and Quench Process Design on Distortion
used for lower-alloy steels. Conventional oils or multaneous collapse provides uniform quench- in this article, quench nonuniformity can arise
higher concentrations of polymers are used for ing, which is effective for reducing stress and from nonuniform flow fields around the part sur-
higher-alloy steels. Molten salts or liquid metals distortion. The results shown in Fig. 92 and 93 face during the quench or nonuniform wetting of
are often used for martempering (marquenching) illustrate the effectiveness of uniform quenching the surface. In addition, poor agitation design is
and austempering. using a polymer quenchant. a major source of quench nonuniformity. The
The dimensions and shape of the workpiece Molten-salt and liquid-metal quenching also purpose of the agitation is not only to increase
being quenched should also be considered in se- provide uniform quenching, decrease cooling cooling power of quenchant, but also to provide
lecting a quenchant. Generally speaking, the rate, and nonuniformity of the temperature of a uniform cooling in order to suppress the exces-
thicker the workpiece, the more severe the quen- steel part because of the high quenchant tem- sive distortion and stress of quenched steel parts.
chant. However, severe quenching often in- perature. These characteristics are effective for Nonuniformity of the surface cooling during
creases stress and distortion of the quenched the reduction of stress, distortion, and cracking. water quenching is decreased significantly by the
30 5
Still t s : Starting time of wetting
0.3 m/s t f : Finishing time of wetting
0.7 m/s 4
time of wetting, s
20
3
2
10
tf
Lf
1
ts
0 0
0 1 2 3 0 0.3 0.7
Time (t ), s Flow velocity (v ), m/s
(a) (b)
Fig. 74 Effect of (a) agitation and (b) flow velocity on wetting process on the surface of stainless steel disk specimen (30 mm diam by 10 mm thick) during water quenching.
Quenchant: 30 C city water. , diameter. Source: Ref 68
agitation (as shown in Fig. 75). Therefore, stress of the vapor blanket collapse on the surface. Figures 100 and 101 show the effect of agi-
and distortion are largely affected by agitation. However, agitation of polymer quenchant does tation of quenchants on the residual stresses on
However, polymer quenchant agitation hardly not decrease the quench distortion (Fig. 97) be- the side surface of 20 mm diam, 60 mm long
affects the degree of nonuniformity of the sur- cause the instantaneous and explosive collapse carbon steel bars quenched in water and a poly-
face cooling (as shown in Fig. 77) because of the of the vapor blanket on the specimen surface oc- mer quenchant. Figure 100 shows that nonuni-
explosive collapse of vapor blanket. curs with and without the agitation. form surface cooling in still water quenching re-
Figures 96 and 97 show the effect of agitation Figures 98 and 99 show the effect of agitation sults in uneven residual stress distribution on the
of quenchants on the profile of the flat surface of methods of quenchants on the quench distortion surface of the steel bar. Agitation of water results
the steel disk after quenching. Figure 96 shows of 20 mm in diam, 60 mm long carbon steel bars in even stress distributions except near the ends.
that nonuniform surface cooling in still water quenched in water and a polymer quenchant. In addition, the submerged and open spray cool-
quenching results in concaving of the steel disk Figure 98(a) shows that nonuniform surface ing result in high compression stresses. Figure
specimen and the agitation of water significantly cooling in still water quenching results in uneven 101 shows the effect of agitation on stress dis-
decreases the quench distortion in water quench- diameter of the steel bar. The increases of di- tribution after polymer quenching. Agitation of
ing. This occurs because agitation reduces the ameters near the ends of bars that were observed polymer quenchant results in even stress distri-
nonuniformity of the surface cooling of the steel are attributable to heat extraction from the edges bution and high compression stresses except
disk since agitation accelerates the propagation of the bar by edge effect. The upward flow of near the ends. However, still polymer quenching
water decreases end effect, because the agitation can also make even and high compression stress
reduces the nonuniformity of the surface cooling
of the steel bar. The lateral submerged and open
spray decrease the diameter and increase the
800 TA (center) length of steel bars, because the lateral flow 800 TA (center) TA TB
800 800
TA TB causes the fast cooling of the side surface and TB TC
Temperature (T ), C
Temperature (T ), C
TB (surface: B) TB TC the thermal shrinkage of diameter, which also TB (surface: B) TB TD

600 TB TD 600 results in the elongation in length of the steel bar 600 TC (surface: C) 600
TC (surface: C) (Fig. 98b). On the other hand, agitation of poly- TD (edge: D)
mer quenchant hardly affects the quench distor- A
400 TD (edge: D) A 400
400 B 15 400
B 15 tion (Fig. 99) because the instantaneous and ex-
C C 7
7 plosive collapse of the vapor blanket on the D 7
200 D 7 200 200 1 200
1 specimen surface definitely occurs with and
without the agitation.
0 0 0 0
0 10 20 0 10 20
Time (t ), s 30 Time (t ), s
(a) (a)
Still
Still
800 800 0.3 m/s 800 800

TA T B 20 0.7 m/s T A TB
TB T C T B TC
Temperature (T ), C
Temperature (T ), C
600 TB T D 600 600 T B TD 600
TB (surface: B) TB (surface: B)
10
400 TC (surface: C) 400 400 TC (surface: C) 400
TD (edge: D) Lf TD (edge: D)
200 200 200 200
0
0 1 2 3
0 0 Time (t ), s 0 0
0 10 20 (a) 0 10 20
(b) (b)
3
t s : Starting time of wetting
800 800 800 T A TB 800

TA T B t f : Finishing time of wetting
T B TC
Temperature (T ), C
Temperature (T ), C
time of wetting, s
TB T C TA (center) T B TD
600 2 600
TA (center) TB T D 600
TB (surface: B)
600
TB (surface: B)
TC (surface: C)
400 400 400 400
TC (surface: C)
1 TD (edge: D)
TD (edge: D)
200 200 tf 200 200
ts
0 0 0 0 0
0 10 20 0 0.3 0.7 0 10 20
Time (t ), s Flow velocity (v ), m/s Time (t ), s
(c) (b) (c)
Fig. 75 Effect of agitation on cooling curves and tem- Fig. 76 Effect of (a) agitation and (b) flow velocity on Fig. 77 Effect of agitation on cooling curves and tem-
perature differences of stainless steel disk spec- wetting process on the surface of stainless steel perature differences of stainless steel disk spec-
imen during water quenching. Quenchant: 30 C city wa- disk specimen (30 mm diam by 10 mm thick) during poly- imen during polymer quenching. Quenchant: 30 C 10%
ter. Flow velocity: (a) still, (b) 0.3 m/s, (c) 0.7 m/s. Source: mer quenching. Quenchant: 30 C 10% PAG polymer PAG polymer aqueous solution. Flow velocity: (a) still, (b)
Ref 68 aqueous solution 0.3 m/s, (c) 0.7 m/s
because the uniform cooling occurs with and
without the agitation. 800 TA (center) TA T B 800
TA (center) T A TB
800 800
Table 12 shows the effect of agitation on the TB T C T B TC
Temperature (T ), C
Temperature (T ), C
frequency of quench cracking in water and poly- TB T D T B TD
600 TB (surface: B) 600 600 TB (surface: B) 600
mer quenching of steel disks, the geometry and
dimensions of which are shown in Fig. 102. The
TD (edge: D) TD (edge: D)
specimen in this case (30 mm in diameter by 10 400 400 400 400
mm thick) did not contain any notches; however,
it contained an eccentrically located 10 mm diam A
200 B 15 200 200 200
hole. This specimen, used in the work of Owaku C 7
D 7
(Ref 1), was adopted by the Quench Cracking 1
Working Group of the Japan Heat Treatment So- 0 0 0 0
0 10 20 0 10 20
ciety. Steel materials used were Japanese stan- Time (t ), s Time (t ), s
dard S45C, SK4, and SCM435. These results (a) (b)
show that agitation of water largely suppresses
the occurrence of quench cracking. On the other Fig. 79 Effect of agitation on cooling curves and temperature differences of stainless steel disk specimen during oil
hand, quench cracking susceptibility to agitation quenching. Quenchant: 80 C quenching oil (JIS 1-2 oil). Flow velocity: (a) still, (b) 0.3 m/s
of polymer quenchant is not clear because there
is no crack on the polymer-quenched specimen
with or without agitation.
Effect of Surface Condition

Effect of Surface Texture and Roughness. 800
As already described in the section Effect of
Nickel Stainless steel
Process Variables on Cooling Behavior and Heat
cylinder cylinder
Transfer in this article, the surface texture and 600
Temperature (T ), C
roughness affect the cooling characteristics of

the steel workpiece in quenching. Therefore,
these factors affect the stress and distortion of 400
Silver
cylinder 3
2
30 200
2 2 1
Still 1 1
0.1 m/s 3 3
0.2 m/s 0
20 0.3 m/s 0 10 20 30 40 50 60 70
Time (t ), s
Fig. 80 Effect of surface oxidization on cooling curves of cylindrical silver, nickel, and stainless steel specimens in
water quenching. Quenchant: 30 C still water. Specimen shape: cylinder with hemispherical ends (10 mm
10 diam by 30 mm long). Heating conditions: 1, 5 min up to 800 C in argon; 2, 5 min up to 800 C in air; 3, 8 h at 800 C
in air. Source: Ref 70, 71
Lf
0
0 1 2 3 4 5
Time (t ), s
(a)
5 800
50 C
4 Water temperature = 95 C
tf 600
Temperature (T ), C
time of wetting, s
5 min
3 in argon
t s : Starting time of wetting 400

2 t f : Finishing time of wetting 5 min
10 min in argon
in air 10 min
1
ts 200 in air
0
0 0.1 0.2 0.3
Flow velocity (v ), m/s 0
(b) 0 10 20 30 40 50 60 70 80 90 100
Time (t ), s
Fig. 78 Effect of (a) agitation and (b) flow velocity on
wetting process on the surface of stainless steel Fig. 81 Effect of surface oxidization on cooling curves of cylindrical pure iron specimens in water quenching. Quen-
disk specimen (30 mm diam by 10 mm thick) during oil chant: 50 and 95 C still water. Specimen shape: cylinder with hemispherical ends (10 mm diam by 30 mm
quenching. Quenchant: 80 C quenching oil (JIS 1-2 oil) long). Source: Ref 70, 71
Heat-transfer coefficient, W/m2 K 103

20 the workpiece quenched. In addition, the surface
texture and roughness are very important factors
5 m for quench cracking because the microscopic ge-
10 m ometry and roughness of the surface affect the
15
50 m
tendency to crack. Table 13 shows an example
of such a case (Ref 80). The results are:
Surface roughness increases the tendency for
10 Water flux = 0.6 m3/m2 min quench cracking of steel if surface roughness
(maximum height of irregularities Ry, or 10
points height of irregularities Rz) is larger
5
than approximately 1 lm.
Surface texture made by lapping tends to
cause a higher occurrence of quench cracking
0
100 200 300 400 500 600 700 800 than by grinding or emery polishing if each
Surface temperature, C roughness is almost similar.
Fig. 82 Effect of surface scale on heat-transfer coefficient during spray cooling of a hot steel plate. Source: Ref 72 This phenomenon is caused mainly by the stress
concentration at the surface of the steel work-
pieces. Geometric shapes on the surface such as
polishing marks, lapping marks, grinding marks,
1000 cutting tool marks, micronotches, and so forth
act as a stress riser and a trigger for inducing
Flaking of scale quench cracking.
800 Effect of Oxide or Coating Layer. The pres-
Fall of scale flake ence of a thin layer such as oxide scale and clay
Temperature (T ), C
coating, for example, causes a cooling acceler-

600 ation effect by suppression of vapor blanket for-
mation or by acceleration of the collapse by the
Fall of scale flake existence of a thin coating layer (as mentioned
in the section Effect of Process Variables on
400
Flaking of scale Cooling Behavior and Heat Transfer). In addi-
Heavy scale tion, uniform cooling is caused by the existence
of a thin layer. Therefore, quench cracking is
200 suppressed by a thin scale or coating layer. Ta-
No oxide scale bles 14 and 15 show that the existence of oxide
scale or clay coating largely suppresses the oc-
0 currence of quench cracking. However, a heavy
0 1 2 3 4 5 6 7 8 9 10
oxide scale of the steel workpiece often causes
Time (t ), s unstable cooling and decarbonization.
Fig. 83 Unstable cooling phenomena due to surface oxidization during water quenching of steel specimen. Quen-
chant: 30 C still water. Specimen: JIS S45C cylinder (10 mm diam by 30 mm long) Minimizing Distortion
Distortion can be controlled by appropriate se-
lection of component design, steel grade, quen-
chant, agitation, and quenching method.
1000 800
Without coating
800
600
Without coating
Temperature (T ), C
Temperature, C
600 Clay coating thickness

Clay coating 400 100 m
5 m
15 mthick
thick
400 10 m 150 m
15 m
40 m 200 200 m
25 m 25 m
80 m
200
50 m
0
0 1 2 3 4
0 Time (t ), s
0 1 2 3 4 5 6 7 8 9 10
Time, s Effect of clay coating on cooling curves of sil-
Fig. 85
ver specimen in water quenching. Quenchant:
Fig. 84 Effect of clay coating on cooling curves of steel specimen in water quenching. Quenchant: 30 C still water. 30 C still water. Specimen: silver cylinder (10 mm diam
Specimen: JIS S45C steel cylinder (10 mm diam by 30 mm long) by 30 mm long)
20 Component Design
Heat-transfer coefficient, W/m2 K 103

Water flux = 0.6 m3/m2min Surface roughness One of the causes of unacceptable distortion
Rz, Paper and cracking of steel parts is component design.
15 m No.
Poor component design promotes distortion and
13.2 cracking by accentuating nonuniform and non-
60
9.5 symmetrical heat transfer during quenching.
7.5 Component designs that minimize distortion and
10 120
5.5 cracking include the following.
1.8 Design Symmetry. It is important to provide
1000
1.0 greater symmetry. One of techniques for design
5 symmetry is to add dummy holes, key grooves,
or other shapes to steel parts.
Balance of Cross-Sectional Area. The dif-
0 ference between a large cross-sectional area and
100 200 300 400 500 a thin one can be decreased by:
Surface temperature, C
Adding dummy holes to large cross-sectional
Effect of surface roughness on heat-transfer coefficient during spray cooling of a hot copper plate. Source: areas
Fig. 86
Ref 72 Changing from blind holes to through-type
holes
Changing from thick solid shapes to thin hol-
low shapes
Dividing a complicated shape into sectional
components
800 Emery No. 800
Avoiding Sharp Corners and Edges. Distor-
Emery No. 320
tion and cracking are encountered when quench-
Emery No. 240
Temperature (T ), C
ing a part with sharp corners and edges, which

600 Lapping C No. 800 increase cooling nonuniformity and act as stress
Lapping C No. 320 risers. Therefore, it is effective to round corners
and edges or to employ a tapered shape.
400
Steel Grade Selection

200
Although quench distortion and cracking are
most often due to nonuniform cooling, material
selection can be an important factor. Some at-
0
0 1 2 3 4 5 6 7 8 9 10 tention should be paid to material selection:
Time (t ), s The compositional tolerances should be
checked to ensure that the alloy is within
Fig. 87 Effect of surface finish on the cooling curves of a S45C steel specimen during polymer quenching. Quenchant:
30 C 15% polymer (PAG ) quenchant. Specimen: JIS S45C steel cylinder (10 mm diam by 30 mm long) specification.
It is often better to choose a lower carbon
content, because the higher carbon content of-
ten causes the higher susceptibility for dis-
tortion and cracking (as mentioned in the sec-
1000 1000 tion Effect of Materials and Quench Process
Design on Distortion).
If possible, it is better to choose a combina-
800 800
tion of a high-alloy steel and a very slow
Temperature (T ), C
Temperature (T ), C
cooling rate. As a matter of course, the selec-

600 600 0.2 m/s tion of high-alloy steels markedly raises the
material cost.
1.0 m/s
R3
400 400 Cracking propensity increases as the Ms tem-
R0
R0 perature and the carbon equivalent increase.
JIS R3
JIS Quench cracks were prevalent at carbon equiv-
C1 C1 R5
200 R5 200 alent values above 0.525, as shown in Fig. 103.
C1 R5 R0
R3 JIS
0 0 Selection of Quenchant and Agitation

0 5 10 15 20 0 2 4 6 8 10 12 14 16 18 20
Time (t ), s Time (t ), s Quenchants must be selected to provide cool-
(a) (b) ing rates capable of producing acceptable micro-
structure in the section thickness of interest.
Fig. 88 Effect of specimen shape on the cooling curves of cylindrical silver specimen cylinder (10 mm diam by 30
mm long) during quenching in 30 C water. Specimen shape: JIS, JIS silver probe type; R0, with flat ends and
However, it is not desirable to use quenchants
sharp edges; R3, with rounded edges of 3 mm radius; R5, with hemispherical ends of 5 mm radius; C1, with chamfered with excessively high heat removal rates. Typi-
edges of 1 mm by 45 cally, the greater the quench severity, the greater
the propensity to cause increased distortion or quenching, press quenching, plug quenching, upon removal from the marquenching bath while
cracking. Although a reduction of quench sever- and so forth. the part is still hot. Marquenching can be accom-
ity leads to reduced distortion, it may also be Interrupted quenching refers to the rapid plished in a variety of baths including hot oil,
accompanied by undesirable microstructures. cooling of the steel parts from the austenitizing molten salt, molten metal, or a fluidized particle
Therefore, it is difficult to select an optimal temperature to a temperature where it is held for bed. Cooling from the marquenching bath to
quenchant and agitation. Cooling power of quen- a specified time, followed by slow cooling. room temperature is usually conducted in still
chant should be as low as possible while main- There are several different types of interrupted air. Deeper-hardening steels are susceptible to
taining a sufficiently high cooling rate to ensure quenching: austempering, marquenching (mar- cracking while martensite forms if the cooling
the required microstructure, hardness, and tempering), time quenching, and so forth. The rate is too rapid. Marquenched parts are tem-
strength in critical sections of the steel parts. temperature at which the quenching is inter- pered in the same manner as conventionally
Specific recommendations for quench media se- rupted, the length of time the steel is held at tem- quenched parts. The time lapse before tempering
lection for use with various steel alloys and gen- perature, and the cooling rate can vary, depend- is not as critical because the stress is greatly re-
eral comments regarding quenchant selection ing on the type of steel and workpiece thickness. duced.
were already shown in the section Effect of Ma- Marquenching (martempering) is a term that The advantage of marquenching lies in the re-
terials and Quench Process Design on Distor- describes an interrupted quenching from the aus- duced thermal gradient between surface and core
tion. tenitizing temperature of steels. The purpose is as the part is quenched to the isothermal tem-
Nonuniformity of cooling is perhaps the great- to delay the cooling just above the martensitic perature and then is air cooled to room tempera-
est contributor to quench distortion and cracking. transformation temperature until temperature ture. Residual stresses developed during mar-
Nonuniform cooling can arise from nonuniform equalization is achieved throughout the steel quenching are lower than those developed
flow fields around the part surface during part. This will minimize the distortion, cracking, during conventional quenching because the
quenching or nonuniform wetting of the surface. and residual stress. The term martempering is
Nonuniform quenching creates large thermal somewhat misleading, and the process is better
gradients between the core and the surface of a described as marquenching. Figures 104(a) and 800
steel part, or among the surfaces of the parts. (b) (Ref 81) show the significant difference be-
These contributing factors, agitation, and surface tween conventional quenching and marquench-
Temperature (T ), C
wetting should be considered to select a quen- ing. The marquenching of steel consists of: 600
chant and an agitation method. R3
1. Quenching from the austenitizing tempera- JIS
Good designs of agitation, racking, and sup- R5
port fixturing are major factors of uniform ture into a hot quenching medium (hot oil, R0
400
quenching. The purpose of the agitation system molten salt, molten metal, or a fluidized par-
ticle bed) at a temperature usually above the C1
is not only to take hot fluid away from the sur-
face of steel parts, but it is also to provide uni- martensite range (Ms point)
200
form heat removal over the entire cooling sur- 2. Submerging in the quenching medium until
face of all of the parts throughout the load being the temperature throughout the steel work-
quenched. piece is substantially uniform 0
3. Cooling (usually in air) at a moderate rate to 0 2 4 6 8 10 12
prevent large differences in temperature be- Time (t ), s
Quenching Methods tween the outside and the core of the work-
piece Fig. 90 Effect of specimen shape on the cooling curves
Part design, material selection, quenchant se- of cylindrical silver specimen cylinder (10 mm
lection, and so forth. are the most important fac- The formation of martensite occurs fairly uni- diam by 30 mm long) during quenching in 80 C still oil.
Specimen shape: JIS, JIS silver probe type; R0, with flat ends
tors to suppress the quench distortion and crack- formly throughout the workpiece during the and sharp edges; R3, with rounded edges of 3 mm radius;
ing of steel parts. In addition, several methods cooling to room temperature, thereby avoiding R5, with hemispherical ends of 5 mm radius; C1, with
for minimizing distortion and eliminating crack- excessive amounts of residual stress. Straight- chamfered edges of 1 mm by 45
ing are employed, for example, interrupted ening or forming is also easily accomplished
104
Still 0.2 m/s 1.0 m/s 5000

800 800
Stainless steel
cylinder
2000 Nickel cylinder
Temperature (T ), C
Temperature (T ), C
600 600 Silver cylinder

1000
C1 R0
400 400 C1 500

R5
R5
C1
JIS JIS
R5 200
200 200 R3
R3 JIS 100
R0 R0 R3
0 0 50
0 2 4 6 8 10 12 14 16 18 20 0 2 4 6 8 10 12 14 16 18 20 0 200 400 600 800
Time (t ), s Time (t ), s Tl = TW Tl, (K)
(a) (b)
Fig. 91 Effect of specimen material on the heat-transfer
Fig. 89 Effect of specimen shape on the cooling curves of cylindrical silver specimen cylinder (10 mm diam by 30 coefficients during oil quenching. Quenchant:
mm long) during quenching in 30 C 15% polymer (PAG) quenchant. Specimen shape: JIS, JIS silver probe 80 C still quenching oil (JIS 1-1 type). Specimen: cylindri-
type; R0, with flat ends and sharp edges; R3, with rounded edges of 3 mm radius; R5, with hemispherical ends of 5 mm cal silver, nickel, and stainless steel specimen with hemi-
radius; C1, with chamfered edges of 1 mm by 45 spherical ends (10 mm diam by 30 mm long)
greatest thermal variations occur while the steel toughness, and wear resistance. However, aus- curve and then to transfer the part to a second
is in the relatively plastic austenitic condition tempering is applicable to a limited steel and medium (for example, oil, air, an inert gas), so
and because the final transformation and thermal parts size. Important consideration for the selec- that it cools more slowly through the martensite-
changes occur throughout the part at approxi- tion of steel parts for austempering are: formation range. Time quenching is most often
mately the same time. Marquenching also re- used to minimize distortion, cracking, and di-
The location for the nose of the TTT curve
duces susceptibility to cracking. mensional changes.
and the speed of the quenching
Modified marquenching differs from standard Restraint quenching refers to the quenching
The time required for complete transforma-
marquenching only in that the temperature of the under restraint of distortion of steel, for example,
tion of austenite to bainite at the austempering
quenching bath is below the Ms point (Fig. 104c) quenching by using restraint fixtures, press
temperature
(Ref 81). The lower temperature increases the quenching, cold-die quenching, plug quenching,
The location of the Ms point
severity of quenching. This is important for and so forth. There are many round, flat, or cy-
Maximum thickness of section that can be
steels of lower hardenability that require faster lindrical parts that distort to an unacceptable de-
austempered to a fully bainitic structure
cooling in order to harden to sufficient depth. gree by conventional immersion quenching. Un-
Therefore, modified marquenching is applicable Carbon steels of lower carbon content will be der such conditions, it is necessary to resort to
to a greater range of steel compositions than is restricted to a lesser thickness. For 1080 steel, special techniques. However, the equipment for
standard marquenching. the maximum section thickness is about 5 mm those special techniques are expensive and pro-
Austempering consists of rapidly cooling the (0.2 in.). Low-alloy steels are usually restricted duction rates are slow. Consequently, the result-
steel part from the austenitizing temperature to to about 10 mm (38 in.) or thinner sections, while ing cost of heat treatment is relatively high.
a temperature above that of martensite forma- more hardenable steels can be austempered in Therefore, use of these techniques should be
tion, holding at a constant temperature to allow sections up to 25 mm (1 in.) thick. Nevertheless, considered only when minimal distortion is man-
isothermal transformation, followed by air cool- sections of carbon steel thicker than 5 mm (0.2 datory.
ing. The steel parts must be cooled fast enough in.) are regularly austempered in production Restraint fixturing is costly and is used pri-
so that no transformation of austenite occurs dur- when some pearlite is permissible in the micro- marily for highly specialized applications. Rep-
ing cooling and then held at bath temperature structure (Ref 82). resentative examples are the quenching of rocket
long enough to ensure complete transformation Time quenching is an interrupted quenching and missile casings or other large components
of austenite to bainite. Molten-salt baths are usu- method and is used when the cooling rate of the with thin wall sections.
ally the most practical for austempering appli- part being quenched needs to be abruptly Press Quenching and Plug Quenching. Prob-
cations. Parts can usually be produced with less changed during the cooling cycle. The usual ably the most widely used special technique is
dimensional change by austempering than by practice is to lower the temperature of the part press quenching. To minimize distortion caused
conventional quenching and tempering. In ad- by quenching in a medium with high heat re- by the quenching cycle, press and plug quench-
dition, austempering can decrease the likelihood moval characteristics (for example, water) until ing dies must be made to provide the proper
of cracking and can improve ductility, notch the part has cooled below the nose of the TTT quenchant flow and hold critical dimensions of
the part being quenched. In quenching, the die
or plug contacts the heated part, and the pressure
of the press restrains the part mechanically. This
occurs before quenching begins, while the part
is hot and plastic. The machine and dies then
Change of thickness (t/2), mm
0.05 force the quenching medium into contact with

the part in a controlled manner.
0.025 Cold-Die Quenching. Thin disks, long thin
rods, and other delicate parts that distort exces-
0 sively by conventional immersion quenching can
often be quenched between cold dies with no
0.025 distortion. Cold-die quenching is limited to parts
with a large surface area and small mass, such
0.05
15 10 5 0 5 10 15 as washers, rods of small diameter, thin blades,
(Left side) Radius horizontal (l s ), mm (Right side) and so forth. Large, thin thrust washers have to
be flat after quench hardening, but considerable
Water (30 C, still)
10% PAG polymer solution (30 C), still)
distortions are developed as a result of blanking
Oil (80 C, still) and machining stresses. To ensure the required
(a)
flatness, the washers are squeezed between a pair
of water-cooled dies immediately after they
leave the furnace.
ds ls
Other quenching techniques that can be
5 used to minimize cracking and distortion are dis-

of thickness ds, mm
2.5 cussed here. Selective quenching is used when it

o is desirable for certain areas of a part to be rela-
t = 10 mm
ls 0 tively unaffected by the quenching medium. This

o can be accomplished by insulating an area to be
2.5
more slowly cooled so the quenchant contacts
5
only those areas of the part that are to be rapidly
0.1 0.05 0 0.05 0.1
cooled. The clay-coating method is employed for
Change of radius (r), mm
2r = 30 mm dia. selective quenching, for example, water quench-
(b) ing of Japanese swords. The distortion and mi-
Effect of quenchants on quench distortion of JIS S45C carbon steel disk quenched in still quenchants. Specimen
crostructure of Japanese swords is controlled by
Fig. 92 the thickness distribution of the clay layer. A
dimensions were 30 mm diam by 10 mm thick. (a) Distribution of axial distortion. (b) Distribution of radial
distortion thick clay layer (0.1 mm) suppresses the cool-
ing rate by its insulating effect, and thin clay

layer increases the cooling rate during water
quenching by its cooling accelerating effect (Fig.
84 and 85). Selective quenching is often effec-
tive to suppress excessive distortion or cracking.
Spray quenching involves directing high-pres-
sure streams of liquid onto the surfaces of steel
parts. Spray quenching is often useful for mini-
mizing distortion and cracking, because it can
realize a uniform quenching by selecting optimal
spray conditions and can be used where higher
cooling rates are desired. The cooling rate can
be faster because the quenchant droplets formed
by the high-intensity spray impact the part sur-
face and remove heat very effectively.
Fog quenching utilizes a fine fog or mist of
liquid droplets in a gas carrier as the cooling
agent. Although similar to spray quenching, fog
quenching produces lower cooling rates because
of the relatively low liquid content of the stream.
Intensive quenching (Ref 83) involves forced-
convection heat exchange both during high-tem-
perature cooling and also during the transfor-
mation of austenite into martensite. Intensive
quenching promotes temperature uniformity
during cooling through the cross section of the
part. Cooling intensity should be sufficient to
promote maximum surface compressive stresses.
This occurs when the Biot number is 18. The
second criterion of intensive quenching is that
the intensive cooling be stopped at the moment
that maximum surface compressive stresses are
formed.
Tempering
Steel parts are often tempered by reheating af-

ter quench hardening to obtain specific values of
mechanical properties. Tempering of steel in-
Cylinder diameter, in.

Fig. 93 Effect of quenchants on residual stresses on side surface of JIS S45C carbon steel disk quenched in still
quenchants. Specimen dimensions were 30 mm diam by 10 mm thick. (a) Circumferential stress on end 0.4 1.2 2.0 4.0 115
800
surface. (b) Radial stress on end surface Water quench, core
600 85
Oil quench, core
400 60
Axial residual stress, MPa
Axial residual stress, ksi

200 30
0 0
Oil quench, surface
200 30
400 60
Water quench, surface
600 85
800 115
1000 145
10 30 50 100
Cylinder diameter, mm
Fig. 94 Axial stress distribution during water quenching for various AISI 1045 steel cylinders diameter D, at selected Fig. 95 Dependence of axial residual stresses on cyl-
times (in seconds) after the start of quenching from 850 C (1560 F) in 20 C (70 C) water. The final micro- inder diameter. Same steel as in Fig. 94. The
structure of the 10 mm (0.4 in.) diam cylinder is completely martensite, while the others have a ferritic-pearlitic core. core is martensite for 10 mm (0.4 in.) diameter, but is
Source: 78, 79 ferrite-pearlite for larger diameters. Source: Ref 78, 79
creases ductility and toughness of quench-hard-

100 m 100 m 100 m ened steel and also relieves quench stresses and
ensures dimensional stability.
As mentioned in the section Phase Transfor-
mation during Heat Treating, the tempering
process is divided into four stages:
1. Tempering of martensite structure
(a) (b) (c)
2. Transformation of retained austenite to mar-
Effect of agitation of water on quench distortion of JIS S45C carbon steel disk. Specimen dimensions were 30 tensite
Fig. 96 3. Tempering of the decomposition products of
mm diam by 10 mm thick. Quenchant was 30 C city water. Flow velocity: (a) still water, (b) 0.3 m/s, and
(c) 0.7 m/s martensite
4. The decomposition of retained austenite to
martensite.
100 m 100 m 100 m These microstructural variations during temper-
ing result in volume changes during the temper-
ing of hardened steel (Ref 84). Figure 105 shows
an example of dimensional changes of tool steel
plates by tempering with different soak times.
Tempering up to 200 C (390 F) is accompanied
by a slight contraction in all directions of the
(a) (b) (c) plate. At a higher tempering temperature, there
Effect of agitation of polymer quenchant on quench distortion of JIS S45C carbon steel disk. Specimen di-
is an increase in the dimensions, with a maxi-
Fig. 97 mum increase at 300 C (570 F), after which
mensions were 30 mm diam by 10 mm thick. Quenchant was 30 C 10% polymer (PAG) quenchant. Flow
velocity: (a) still polymer solution, (b) 0.3 m/s, and (c) 0.7 m/s dimensions again decrease. The increased vol-
0.1
Water, 30 C Open spray
0.4
Rate of diameter change, %
Still (lateral)
Change of diameter, mm
Upward (0.3 m/s) Submerged

0.05 Upward (0.7 m/s) spary (lateral)
Submerged spray 0.2
Upward
Open spray
(0.7 m/s)
Upward
0 0 (0.3 m/s)
Still
0.2
0.05
0 20 40 60 0 0.05 0.10 0.15 0.20 0.25 0.30 0.35
Distance from lower end, mm Change of length, mm
(a) (b)
Fig. 98 Effect of agitation methods on distortion in water quenching of JIS S45C steel rod (20 mm diam by 60 mm long). Quenchant was 30 city water. Agitation methods were
still, 0.3 m/s upward flow, 0.7 m/s upward flow, and lateral submerge in immersion quenching, and lateral open spray quenching in air. (a) Change of diameter. (b) Change
of length
0.1
10% polymer quenchant, 30 C Submerged
0.4
Rate of diameter change, %
Still spray (lateral)

Change of diameter, mm
Upward (0.3 m/s)

0.05 Upward (0.7 m/s) Upward
Open spray (lateral) 0.2 (0.7 m/s)
Upward
0 0 (0.3 m/s)
Still
0.2
0.05
0 20 40 60 0 0.05 0.10 0.15 0.20 0.25 0.30
Distance from lower end, mm Change of length, mm
(a) (b)
Fig. 99 Effect of agitation methods on distortion in polymer quenching of JIS S45C steel rod (20 mm diam by 60 mm long). Quenchant was 30 C 10% polymer (PAG) quenchant.
Agitation methods were still, 0.3 m/s upward flow, and 0.7 m/s upward flow in immersion quenching. (a) Change of diameter. (b) Change of length
ume at 300 C (570 F) is attributed to the trans- compositions. These convex distortions are was examined for analyses and experiments of
formation of retained austenite to bainite. At 400 caused by nonuniform thermal contraction and tempering performed after water quenching. Cal-
C (750 F), the dimensions revert to values resultant thermal stress during cooling. Figures culated residual stress distributions after water
closer to the original values, prior to quenching 105(b) and (e) are the results of quenching from quenching are shown in Fig. 106; open and solid
and tempering. 850 C with phase transformation. The distortion circles correspond to measured stresses on the
In addition to dimensional change by micro- in Fig. 105(e) (hardenable steel) shows a convex surface of the cylinder by x-ray diffraction. Re-
structural variation, tempering may also lead to configuration, but the distortion in Fig. 105(b) sidual stress distributions after tempering at 400
dimensional variation due to relaxation of resid- (medium-carbon steel of poor hardenability) C are shown in Fig. 107(a) and (b) for typical
ual stresses and plastic distortion caused by the shows a configuration that combines convex and elapsed times of 2 and 50 h with measured val-
temperature dependence of yield strength (Ref concave distortion. In addition, water quenching ues on the surface. These results show that the
85). Figure 105 shows the distortion of round (WQ) has a greater effect on distortion than oil stresses in all directions decrease with elapsed
steel bars (200 mm in diameter and 500 mm in quenching (OQ). Figures 105(c) and (f) show the time in tempering.
length) by quenching and by stress relieving in configurations after tempering. These results
tempering. A medium-carbon steel bar (Fig. show that tempering after quenching results in
105a to c) and a hardenable steel bar (Fig. 105d not only volumetric changes but also in convex Prediction of Distortion and
to f) are used in this experiment. Figures 105a distortions. Such distortions seem to be related
and d are the results of quenching from 650 C to relieving residual stresses by tempering.
Residual Stress after Quenching
without phase transformation. The distortion in Figures 106 and 107 (Ref 86) show an ex-
each case is almost the same, regardless of the ample of stress relief by tempering. A solid cyl- The computer prediction of thermomechanical
different quenchants and the different chemical inder 40 mm in diameter and 100 mm in length behavior in quenching is very useful for the de-
termination of a quenching condition, because it
is possible to predict the microstructure, hard-
ness, distortion, and stress of steel parts after
60
quenching. In order to predict thermomechanical
4 6 10 10 behavior, residual stresses, and distortion in
quenching of steel parts, a simulation method
A based on metallothermomechanical theory (Ref
87, 88) and finite-element analysis is often ap-
z 20 plied. The metallothermomechanical theory is

coupled with temperature, phase transformation,
and stress/strain fields. In quenching, the fields
B of metallic structures and stress/strain as well as
600 temperature affect each other. The triangular di-
agram shown in Fig. 108 shows such coupling
400
effect (Ref 88). In carburizing-quenching pro-
200 cess, the effect of carbon content on the three
0
fields is also represented by the dashed lines in
the figure. A series of theoretical models with
200 consideration of the effect of carbon diffusion
400 and distribution is introduced.
600 Still water Spray (submerged) lateral
0.3 m/s upward Spray (open) lateral Governing Equations
800
0.7 m/s upward
1000
0 10 20 30 40 50 60 An example of introducing the governing
Distance from lower end, mm equations in the framework of thermomechani-
(a) cal behavior for describing temperature and
stress/strain fields incorporating metallic struc-
600 tures in the quenching process is summarized in
400 this section (Ref 8891).
Mixture Rule. When a material point under-
200
going heat treatment is assumed to be composed

0 of a multiphase structure, an assumption is made
200
that a material parameter is described by the
mixture law:
400
600 N N
800
Still water
0.3 m/s upward Spray (submerged) lateral
v vI nI and I1
I1
nI 1 (Eq 4)
0.7 m/s upward Spray (open) lateral
1000
0 10 20 30 40 50 60
where nI denotes the volume fraction for the Ith
Distance from lower end, mm phase.
(b) Heat-Conduction and Diffusion Equations.
The temperature field is governed by a special
Fig. 100 Effect of agitation methods on residual stress after water quenching of JIS S45C steel rod (20 mm diam by
60 mm long). Quenchant was 30 C city water. Agitation methods were still, 0.3 m/s upward flow, 0.7
heat-conduction equation coupling stress work
m/s upward flow and lateral submerge in immersion quenching, and lateral open spray quenching in air. (a) Axial stress and latent heat due to phase transformation dur-
on surface. (b) Tangential stress on surface ing quenching:
T
4 6 10 10
60
qCT
xi
k
xi rij e ijp
A

q l n 0
I I I (Eq 5)
where k and lI denote the coefficient of heat con-

z 20 duction and the latent heat produced by the pro-
gressive Ith constituent.
The boundary conditions of heat transfer on
B
the outer surface are assumed to be:
600
Still polymer, 10% Spray (open) 10%
400 T
0.3 m/s upward, 10% 0.7 m/s upward, 10% k ni h(T Tw) (Eq 6)
200
xi
0
where h is a function dependent on temperature,
200 h and Tw denote the heat-transfer coefficient and
400 the temperature of coolant on heat-transfer
boundary with unit normal ni, respectively.
600
Carbon content during carburizing is solved
800 by the diffusion equation:
1000
D C

0 10 20 30 40 50 60
C (Eq 7)
Distance from lower end, mm xi xi
(a)
600
where C is content in the position xi direction, D
is the diffusion constant determined by the
400 Still polymer, 10% Spray (open) 10% boundary condition being specified by the reac-
0.3 m/s upward, 10% 0.7 m/s upward, 10%
200 tion across the surface layer:
0
C
200 D ni hc(Ce Cs) (Eq 8)
xi
400
600 where hc and Ce are the surface reaction rate co-
800
efficient and the known content of the external
environment, respectively.
1000 Constitutive Equation. Total strain rate e ij is
0 10 20 30 40 50 60
assumed to be divided into elastic, plastic, and
thermal strain rates and those by structural di-
(b) latation due to phase transformation and trans-
formation such that:
Fig. 101 Effect of agitation methods on residual in polymer quenching of JIS S45C steel rod (20 mm diam by 60 mm
long). Quenchant was 30 C 10% polymer (PAG) quenchant. Agitation methods were still, 0.3 m/s upward
flow, and 0.7 m/s upward flow in immersion quenching. (a) Axial stress on surface. (b) Tangential stress on surface e ij e eij e pij e Tij e m
ij e
tp
ij (Eq 9)
Here, the elastic strain:
1 m m
eeij rij (rkk)dij (Eq 10)
E E
Table 12 Effect of agitation on quench cracking in water and polymer quenching of steel
disks shown in Fig. 100
Steel materials are Japanese standard S45C, SK4, and SCM435. 2 10

S45C SK4 SCM435 7
Quenchants and its agitation 0.45%C-0.67%Mn 0.98%C0.77%Mn 0.35%C-0.76%Mn1.06%Cr-0.20%Mo
City water (30 C) 10
Still (nonagitated) 100 100 (flat surface) 100
70 (hole surface) 30
100 (hole surface)
5 m/s open spray 0 10 (flat surface) 0
90 (hole surface)
10% polymer quenchant (30 C, PAG) Disk specimen for quench-cracking test.
Still (nonagitated) 0% 0 0 Fig. 102
Specimen dimensions were 30 mm diam by
0.3 m/s upward 0% 10 mm thick; specimen contains an eccentrically located
0.7 m/s upward 0% 0 0 10 mm diam hole.
I (C2 C) EII11
with Youngs modulus E and Poissons ratio m. m n m In the simulation of carburizing-quenching pro-
E
In the simulation of carburizing-quenching I1 C2 C1
cess, is expressed as the function of carbon
process, (1 m)/E and m/E are expressed as the content and volume fraction of the structure:

mI2
functions of carbon content and volume fraction (C C1) (Eq 12)
of the structure: EI 2 N
I {(C2 C)I 1
n

I1 C2 C1

The thermal strain is the function of initial tem-
N perature of material T0 and thermal expansion (C C1)I 2} (Eq 14)
1 m

nI
(C2 C) coefficient :
E l1 C2 C1
1 mI 1 1 mI2 The plastic strain rate is reduced to the form by
EI 1
(C C1)
EI 2 (Eq 11)
eTij (T T0)dij (Eq 13) employing temperature-dependent materials pa-
rameters:
Table 13 Effect of surface texture and roughness on quench cracking in water quenching F
e pij k (Eq 15)
of steel disks shown in Fig. 100 rij
Steel materials are Japanese standard S45C and SK4. Quenchant: water (30 C) agitated by upward nozzle jet (1 m/s)
F rkl F T
S45C SK4
k G
rkl T
0.45%C-0.67%Mn 0.98%C-0.77% Mn N
F F
Surface finishing
Frequency of
occurrence of Surface finishing
Frequency of
occurrence of

I1 nI
nI
C
C (Eq 16)
and roughness quench cracking, % and roughness quench cracking, %
Grinding (WA No. 46J) 30 Grinding (WA No. 46J) 20 (flat surface)
F F F

Ry 1.0 lm, Rz 0.75 lm Ry 0.90 lm, Rz 0.75 lm
1
epmn j rmn rmn
80 (hole surface) (Eq 17)
Emery polishing (No. 800) 0 Emery polishing (No. 800) 0 (flat surface) G
Ry 0.15 lm, Rz 0.13 lm Ry 0.15 lm, Rz 0.13 lm 100 (hole surface)
Emery polishing (No. 320) 0
Ry 1.1 lm, Rz 1.0 lm with a temperature-dependent yield function:
Emery polishing (No. 240) 60 Emery polishing (No. 240) 0 (flat surface)
Ry 2.2 lm, Rz 2.0 lm Ry 2.0 lm, Rz 1.9 lm 100 (hole surface)
Lapping (WA No. 3000) 20 F F(T,C,rij ,ep,nI,j) (Eq 18)
Ry 1.1 lm, Rz 0.88 lm
Lapping (C No. 800) 20
Ry 2.4 lm, Rz 2.0 lm where j is the hardening parameter.
Lapping (C No. 500) 80 Lapping (C No. 500) 100 (flat surface) Strain rates due to structural dilatation and
Ry 3.0 lm, Rz 2.9 lm Ry 2.8 lm, Rz 2.6 lm 0 (hole surface) transformation plasticity depend on the Ith con-
stituent:
Ry, maximum height of irregularities; Rz, ten points height of irregularities
Table 14 Effect of surface oxidation on quench cracking in water quenching of steel disks
shown in Fig. 100
Steel materials are Japanese standard S45C and SK4. Quenchant: water (30 C) agitated by upward nozzle jet (1 m/s)
S45C SK4
0.45%C-0.67%Mn 0.98%C-0.77%Mn
Frequency of Frequency of
Surface condition occurrence of occurrence of
(heating condition) quench cracking, % Surface condition quench cracking, %
No-scale (heated in argon) 30 No-scale 20 (flat surface)
(heated in argon) 80 (hole surface)
Light scale (heated in air, 3 min) 0 Light scale 80 (flat surface)
(heated in air, 3 min) 20 (hole surface)
Heavy scale (heated in air, 20 min) 0 Heavy scale 0
(heated in air, 20 min)
Table 15 Effect of clay coating on quench cracking in water quenching of steel disks shown
in Fig. 100
Steel materials are Japanese standard S45C, SK4, and SCM435.

S45C SK4 SCM435
Surface condition (coating condition) 0.45%C-0.67%Mn 0.98%C-0.77%Mn 0.35%C-0.76%Mn1.06%Cr-0.20%Mo
Fig. 103 Effect of MS temperature and carbon equiv-
No coating (bare) 100 100 100 alent on the quench cracking of selected
Clay coating (0.3 mm thick) 10 0 0 steels
Fig. 104 Comparison of cooling curves as workpieces pass into and through martensite transformation range for a conventional quenching and tempering process and for interrupted
quenching processes. (a) Conventional quenching and tempering. (b) Marquenching. (c) Modified marquenching
Fig. 105 Deformation of medium-carbon and hardenable steel bars by quenching from below and above transformation temperature and by stress relieving. lC, change of length.
(a) and (d) Quenched from 650 C. (b) and (e) Quenched from 850 C. (c) and (f) Tempered at 680 C (a) to (c) JIS S38C steel (0.38%C). (d) to (f) JIS SNCM 439 steel
(0.39C-1.80Ni-0.80Cr-0.20Mo).
150 150
150
T = 400 C T = 400 C
t =2h t =
100 100
100
50 50
Stress (), kg/mm2
Stress (), kg/mm2
50
Stress (), kg/mm2
0 0
0
50 50
50
z z
z 100 100
100 r r
r
150 150
150 0 5 10 15 20 0 5 10 15 20
0 5 10 15 20 Radius (r ), mm Radius (r ), mm
Radius (r ), mm (a) (b)
Fig. 106 Stress distribution in cylinder after quenching Fig. 107 Stress distribution in cylinder during tempering
N
caused by a low level of applied stress during where e c and {s} are equivalent creep strain and
ij
e m bI n I dij and
I1
the phase transformation. In addition to the cou- deviatoric stress vector. [D] denotes an elastic-
N pling effects between stress and phase transfor- plastic matrix based on Mises-type yield func-
3
ij
e tp KI h(nI )n I sij (Eq 19) mation, this phenomenon is also expected to in- tion. Here, the functions depending on tempera-
2 I1 fluence the stress and/or strain distribution ture and phase transformation and b can be
during quenching. Following Desalos et al. (Ref written as:
where b and KI stand for the dilatation due to 94), the transformation plastic strain rate e tp
ij is N
structural change and parameter due to transfor-
mation plasticity depending on the Ith constitu-
determined by: {}

T
([De]1{r})
I1
N1
2 K h(n )n s and
3
ent.
ij
e tp I I
Kinetics of the Quenching Process. In the
case of quenching, two kinds of phase transfor-
I I I ij
n {1} T n dT{1}
I I I (Eq 26)
h(nI) 2(1 nI) (Eq 22)
mation are anticipated: one is governed by the and
diffusionless or martensite mechanism. From Here, KI is the transformation plasticity coeffi-
([De]1{r}) b {1}
thermodynamic consideration, the formula for cient for martensitic or pearlitic transformation,
this type of reaction from austenite is often as- which may be identified by the experimental re- {b} I (Eq 27)
nI
sumed to be governed by the modified Magees sults dependent on dilatation-temperature dia-
rule (Ref 92) as: grams. I and bI are the coefficients of thermal expan-
sion and dilatation due to Ith phase transforma-
nM 1 exp{w1T w2(C C0) Coupling Algorithm in Simulation by tion, respectively. [De] denotes the elastic matrix
w31rij w32 J 21/2 w4 (Eq 20)
Finite-Element Analysis of materials.
In order to treat unsteady coupled equations
Based on the metallothermomechanical theory depending on time, a step-by-step time-integra-
where nM is the volume fraction of martensite (Ref 88, 89), the formulated finite-element equation method and Newton-Raphson method
that is the function of carbon content, tempera- tion system considering the coupling between in- are introduced in numerical calculation, while an
ture, and stress. Here J2 is the second invariant crement of nodal displacement {Du} and tem- incremental method is used for deformation and
of deviatoric stress. w1, w2, w3, w4 are all coef- perature {T} as well as volume fraction of stress analysis. Because heat-transfer coefficient
ficients obtained from experiments. structure nI can be expressed as: depends on variation of the temperature on the
The other type of phase transformation is con- boundary of heat transfer, one also uses the non-
trolled by diffusion mechanism, and the volume [P]{T } [H]{T} {Q(nI ), rij } (Eq 23)
uniform time step to calculate temperature,
fraction of developing phase such as pearlite and phase transformation, and deformation fields
may be expressed by modifying the Johnson- (Ref 89).
Mehl relation (Ref 93) as: [K(ui)]{Dui} {DF(T,nI)} (Eq 24)
Here, matrices [P], [H], and [K] represent the Examples of Simulation Results
np 1 exp t
0 matrices of heat capacity, heat conduction, and
stiffness, respectively, and the vectors {Q} and
Simulation of Quenching Processes of a
ft(T) fs(rij ) fc(C)(t s)3ds (Eq 21) Carbon Steel Disk and Cylinder (Ref 95). A
{DF} are heat flux and increments of thermal finite-element method code HEARTS was used
load. These equations are strong nonlinear equa- for simulating the quenching processes of steel
In this equation, ft(T), fs(rij), and fc(C) are the tions and are derived by the use of the expression
function of temperature T, stress rij, and carbon disk and cylinder (Ref 95). Models of a 0.45%
of stress increment vector as:
content C, respectively. Since the TTT diagram
N

under the applied mean stress rm in logarithmic 3d e c
scale deviates from the one without stress, which {dr} [D] {de}
2r
{s}
I1
is represented by the function f(T), the kinetic 30
N
equation of diffusion type is often applied to the
variations of pearlite or ferrite structure in
{}dT

I1

{b}dn I z
N1
quenching processes. Identification of the func- 3 1
tion f(T) can be made possible by the use of some I 2
KI h(nI )dnI {s}
S0
experimental data of the structure change. N 5
r 2 r 2
Transformation plasticity is known as the
phenomenon of accelerated plastic deformation
T
dT
I1 nI
dnI {s} (Eq 25)
o
r
10
Thermal stress
Temperature Stress/strain z
Heat generation due to work
Carbon content
Latent Stress-induced
heat transformation
o r
Metallic structure
Elements: 136
Temperature-dependent Transformation stress and Nodes: 162
phase transformation transformation plasticity
Fig. 109 Finite-difference mesh for steel disk speci-
Fig. 108 Coupling effects of temperature, stress/strain, and metallic structure in heat treatment men 30 mm diam by 10 mm thick)
C steel disk were employed to simulate the 5 104

quenching process. The diameter and thickness
of the disk are 30 and 10 mm, respectively. Then, 2 104 hside
the finite-element model shown in Fig. 109 per-

104
tained to an axisymmetrical problem.
Figure 110 shows the heat-transfer coeffi- 5000
cients used for the simulation. One of these co-
2000
efficients was estimated using the lumped-heat-
capacity method program LUMPPROB (Ref 1000
hend hend
63) and the cooling-curve data of the JIS silver 500
probe. Another coefficient was estimated using
the inverse method program InvProbe-2D (Ref 200
64, 65) and the cooling-curve data of the ISO 100 JIS probe + LUMPPROB
Inconel 600 alloy probe. These coefficients were ISO probe + InvProbe-2D
modified by a trial-and-error method repeating 50
Modified: Even hside
the calculation of cooling curve and the modifi-
20 (hside = hend)
cation of the surface-boundary condition.
10
Figure 111 shows the calculated volume frac- 0 200 400 600 800 Even
tion of martensite after water quenching of S45C
Temperature (T ), C
steel disk. The calculated volume fraction of
martensite depends largely on the accuracy of Heat-transfer coefficients used for the simulation. These coefficients were estimated by using the lumped-
the heat-transfer coefficients. Figure 112 illus- Fig. 110
heat-capacity method program LUMPPROB and the cooling-curve data of the JIS silver probe, or by using
trates the distribution of the calculated and the the inverse method program InvProbe-2D and the cooling-curve data of the ISO Inconel 600 alloy probe, and modified
measured distortion of steel disk These results by a trial-and-error method by repeating the calculation of cooling curve and the modification of the surface boundary
condition.
show that the modified heat-transfer coefficient
gave the most accurate simulation of the distor-
tion after water quenching. Figure 113 shows the
distribution of residual stress on the flat end sur-
face of S45C steel disk after water quenching.
The residual stresses measured by x-ray diffrac-
tion are compared with calculated results in Fig.
113. The calculated stresses of simulation have
good agreement to measured results as shown in
this figure. However, the modified heat-transfer
coefficient gave the better result of the simula-
tion than the other.
Finite-difference mesh for steel cylinder spec-
imen (1/4 model, 20 mm in diameter by 60 mm)
is shown in Fig. 114. Figure 115 illustrates the
distribution of residual stress on the side surface
of the steel cylinder after polymer quenching.
The calculated residual stresses have good agree-
ment to measured results. Figures 116(a) and (b)
are simulated shape changes of S45C steel cyl-
inder during water and polymer quenching, re-
spectively. These results clarify that nonuniform
cooling in water quenching causes larger distor-
tion near the end than in polymer quenching.
Prediction of Warpage of Steel Shafts with
Keyway (Ref 96). The finite-element method
system DEFORM-HT (Ref 97) was used for
simulating quenching of a JIS S45C (0.45% C)
steel shaft with keyway. A cylinder, 10 mm in
diameter and 100 mm long, was with a keyway,
2.5 mm deep and 4 mm wide. A tetrahedral mesh
containing approximately 33,000 elements was
applied to one-half of the specimen; symmetry
conditions were applied to the center surface.
The results were evaluated against the experi-
mental data. The simulated quench distortion
history was compared against its real counter-
part. Excellent resemblance was found between
them, as Fig. 118 is compared with Fig. 117. In
both reality and simulation, the shaft bent toward
the keyway side in the beginning 1.7 s and bent
to the other direction after 1.7 s. This phenom- Fig. 111 Calculated volume fraction of martensite after water quenching of S45C steel disk used for surface boundary
enon was believed to be caused by the combi- conditions in simulation of 1/4 F M model of disk specimen shown in Fig. 109
nation of thermal stress, deformation, and trans- cross section of the ring at final step. Experi- 23 mm diam cylindrical model of SAE 1055
formation-induced volume changes. mental results of distortion are plotted as solid steel under scanning induction hardening as
Prediction of Distortion during Carbu- marks in the figure. Changes in the distortion shown in Fig. 124. Figure 125 shows measured
rized-Quenching of Chromium-Molybde- with time with and without transformation plas- hardness and simulated volume fraction of mar-
num Steel Ring (Ref 98). Yamanaka et al. (Ref ticity are shown in Fig. 123. The most remark- tensite for scanning velocity v 10 mm/s. The
98) carried out a coupled metallothermomechan- able difference between the two lies in the mode simulated effective case depth (defined as the re-
ical analysis using heat treatment simulation of distortion. Transformation plasticity gives gion with 50% of martensite fraction) almost
code HEARTS for a ring-shaped model (see convex shape on all surfaces, but concave with- corresponds to the measured effective case depth
Fig. 119 and 120) of chromium-molybdenum out the effect. Experimental data agree well with (defined as the region over 500 HV).
steel under the carburized-quenching process simulated distortion with the effect of transfor- Figure 126 shows the simulated residual stress
shown in Fig. 121. Diffusion equation for carbon mation plasticity in both carburized and normal distribution along the surface of the cylinder
content was solved and coupled with metallo- quenching. with the measured values by x-ray diffraction.
thermomechanical analysis. The results were Computer Simulation of Residual Stresses/ Both data of simulation and experiment for scan-
compared with the experimental data to verify Distortion in Scanning Induction Hardening ning velocity v 10 mm/s give higher values
and evaluate the influence of transformation (Ref 99). Ikuta et al. (Ref 99) carried out a cou- than for v 5 mm/s.
plasticity on simulation results. pled metallothermomechanical analysis using
Figure 122 shows the simulated distortion of heat treatment simulation code HEARTS for a
Radius (horizontal)(ls), mm
Summary
(Left side) (Right side)
Change of thickness (t ), mm
15 10 5 0 5 10 15
0.075 This article provides a detailed explanation of
0.05 the contributing factors affecting residual stress
0.025 and dimensional control during quenching.
0
These factors include phase transformations dur-
ing heat treating, metallurgical sources of stress
0.025
20
0.05 Measured z
Horizontal
0.075 z
Vertical
0.1
15 10 5 0 5 10 15
(Upper) Radius (vertical)(ls), mm (Lower)
(a) Calculated heat-transfer coefficients

JIS probe + LUMPPROB
ISO probe + InvProbe-2D 30
Modified (even on all surfaces)
ds
o r
60
of thickness (
t), mm
5
t ls
10 mm 2.5
o
0
2.5
r o
5 r
30 mm diam 0.1 0 0.1 Elements: 300
Nodes: 341
(b) Change of radius (
r ), mm
Fig. 114 Finite difference mesh for steel cylinder spec-
Fig. 112 Calculated and measured distortion after water quenching of S45C steel disk. (a) Distribution of axial dis- imen (20 mm diam by 60mm long)
tortion. (b) Distribution of radial distortion
400 400
200 200
0 0
200 200
Measured
400 Calculated 400
Heat-transfer coefficients
600 JIS probe + LUMPPROB 600
ISO probe + InvProbe-2D
800 Modified (even on all surfaces) 800
1000 1000
15 10 5 0 5 10 15 15 10 5 0 5 10 15
Radius, mm Radius, mm
(a) (b)
Fig. 113 Calculated and measured residual stress distribution after water quenching of S45C steel disk. (a) Radial stress distribution on end surface. (b) Tangential stress distribution
on end surface
400
Measured
200 Calculated
Heat-transfer coefficients
0 JIS probe + LUMPPROB
ISO probe + InvProbe-2D
Modified (even on all surfaces)
200
400
600
800
1000
0 10 20 30 40 50 60
(a)
400
200
0
200
400
600
800
1000
0 10 20 30 40 50 60
(b)
Fig. 115 Calculated and measured residual stress dis-

tribution after polymer quenching of S45C Boiling behavior and distortion during quenching in still city water at 30 C. Keyway is on left side of
steel cylinder. (a) Axial stress distribution on side surface. Fig. 117
specimen. Source: Ref 97
(b) Tangential stress distribution on side surface
z z
After quenching
Before quenching
t=2s 0.3 s 0.5 s 0.8 s 1.0 s 1.2 s
t=4s
t=6s
t=8s
Before heating
r r
o o
(a) (b)
1.7 s 2.0 s 2.4 s 3.3 s 4.0 s
Fig. 116 Simulated shape change history of a S45C steel cylinder (1/4 shape of cylinder, 20 mm diam by 60mm
long) during water quenching (a) and polymer quenching (b). Quenchants were 30 C city water and 30 C Fig. 118 Simulated quench distortion history during
10% polymer (PAG) quenchant without agitation. Distortion is enlarged by 100 times. water quenching. Source: Ref 97
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300 300
200 z calculated 200 z calculated
100 calculated 100 calculated
z measured z measured
0 measured 0 measured
100 100
200 200
300 300
400 400
500 500
600 600
700 700
800 800
900 900
1000 1000
0 50 100 150 200 250 300 350 400 0 50 100 150 200 250 300 350 400
Distance (z ), mm Distance (z ), mm
(a) (b)
Fig. 126 Residual stresses along the surface of SAE1055 steel cylindrical specimen. Scanning velocity v (a) 10 mm/s and (b) 5 mm/s
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Metallo-Thermo-Mechanics
Application to Quenching
T. Inoue, Kyoto University, Japan
COMPUTER SIMULATION is indispensable phase changes, such as solid-solid transforma- Contrary to these effects, which are taken into
for research, development, and design in various tion in quenching, tempering, and other heat account in ordinary stress analyses, arrows
fields of industry. In particular, popularization of treatments of steels, and also solid-liquid trans- pointing the opposite direction indicate the cou-
general-purpose programs based on the finite- formation in welding, casting, continuous cast- pling modes. Part of the mechanical work done
element method enables engineers to execute ing, and so on. In such cases, three kinds of pa- by existing stress in the material converts into
highly reliable analysis and design. However, rameters are dominant: phases of metallic heat generation, thus disturbing the temperature.
many open problems still remain to which the structures, temperature field, and elasticor in The acceleration of phase transformation by
general-purpose programs cannot be applied. many cases, inelasticstress and strain. A vari- stress or strain, called stress- (or strain-)induced
Heat treatment process associated with phase ation in any of the three parameters will have an transformation (Ref 2228), has been discussed
transformation is one of the examples, and the effect on the others, and the interaction is prop- and is sometimes applied to improve the me-
development of a program specialized for heat erly termed a metallo-thermo-mechanical cou- chanical properties of metallic materials. Arrow
treatment simulation is required from an engi- pling (Ref 17). corresponds to the latent heat generation due to
neering point of view. Figure 1 depicts a schematic diagram for these phase transformation, which affects the tempera-
Owing to the fact that metallic structures, tem- parameters and the effect of their interaction (Ref ture distribution.
perature, and stress/strain are strongly coupled 16). When the temperature distribution in a ma- When distribution of chemical composition
in the process incorporating phase transforma- terial (and in some cases the heating and cooling occurs inside the material, say, in the case of
tion, metallo-thermo-mechanics for taking the rate) is uniform, thermal stress: carburized quenching, the effect of diffused car-
coupling effect into account was proposed and Is caused in the solid and the temperature-
bon content also changes the property of such
applied to some problems by the authors (Ref 1 fields, as indicated by the dotted lines in the fig-
dependent phase transformation
7). Leads to alterations in metallic structure (i.e., ure.
In this article, the summary of the metallo- austenite-pearlite and austenite-martensite Since mechanical and thermophysical prop-
thermo-mechanics is briefly introduced; govern- transformation in the solid phase and the erties appearing in the analysis of such fields de-
ing equations identifying the fields of metallic melting or solidification in solid-liquid tran- pend on the material itself, the necessity of a
structure, temperature, and stress/distortion are sition); local dilation due to phase changes in database for the materials is strongly recognized,
stated; and the correlation between the problems the solid brings about transformation stress and some trials are ongoing.
of phase transformation and the theory is briefly Interrupts the stress or strain field of the body. The aim of this section is to formulate the fun-
discussed. In the following sections, the devel- damental relationships governing these three in-
oping strategy, methodology, and structure of In addition, transformation plasticity effect is teracting parameters relevant to some problems
the developed system HEARTS (HEAt tRea- sometimes considered to be important (Ref 17 of heat treatment of steels, taking into account
Tment Simulation system) based on the theory 21). the effects of coupling, and to formulate some
for simulating the engineering process incorpo-
rating phase transformations are stated (Ref 8
10).
Some examples of simulated results are pre-
sented: infinitely long cylinder quenched by wa-
ter (Ref 8), induction hardened and carburized
quenched rings (Ref 11, 12), induction hardened
gear wheel (Ref 13), and Japanese sword during
quenching (Ref 1416). The validity of the the-
ory and the system are evaluated by comparing
the simulated results with the experimental data.
Metallo-Thermo-Mechanics
Materials often behave in a complicated man-

ner during engineering processes incorporating Fig. 1 Metallo-thermo-mechanical coupling
Metallo-Thermo-Mechanics-Application to Quenching / 297
fundamental equations for the finite-element Figures 3 (Ref 26) and 4 (Ref 25) show examples by use of the function w(rij) representing the ef-
method. of pearlitic reaction accelerated by applied stress. fect of stress in the form:
So, the volume fraction of pearlite may be ex-
pressed as: w(rij) Arm BJ 21/2
Kinetics of Phase Transformation
nP 1 exp(Ve) J2
1
sij sij (Eq 8)
A material undergoing structural change due 2
t
to phase transformation is assumed to consist of
a mixture of N constituents (Ref 29), such as
Ve 0
f (T, r ) (t s)3ds
ij (Eq 4) The first term denotes the effect of mean stress
pearlite, austenite, bainite, martensite, and liquid rm (rkk /3), and the second is that by devia-
phase, as schematically shown in Fig. 2. Liquid by modifying the Johnson-Mehl relation (Eq 3). toric stress sij. The parameters A and B can be
phase is to be considered in welding, casting, or For the function f (T, rij), one uses: identified if one has the data of martensite trans-
so on, but this is not necessary in the usual case formation affected by stress as shown in Fig. 5
(Ref 26).
of heat treatment. Denoting the volume fraction f (T, rij) exp( prm) f (T) (Eq 5)
of the Ith constituent as nI, the mechanical and
physical properties v of the material are assumed since the time-temperature-transformation Heat Conduction Equation and
to be expressed by the mixture law as a linear (TTT) diagram under the applied mean stress rm, Diffusion Equation of Carbon
combination of the properties vI of the constit- with some extent p, on a logarithmic scale de-
uents: viates from one without stress and since Eq. 5 The local energy balance or the first law of
expresses the normal TTT diagram by applying continuum thermodynamics is usually given in
N the function f (T). terms of internal energy U [G Tg
v vI nI (Eq 1) The same type of kinetic equation (Eq 4) 1/qrij eeij] as (Ref 32):
I1 might be adopted for the reaction of austenite
from pearlite during heating process, when nec- rij e eij qi 0
qU (Eq 9)
where essary. xi
Diffusionless Transformation. The other
type of phase transformation is the diffusionless with Gibbs free energy G, entropy g per unit
N
mass with density q, stress rij, and elastic strain
I1
nI 1 (Eq 2) one, or martensite reaction. In this reaction, vol-
ume fraction of martensite nM is just the function eeij. Applying the expressions for the specific heat
of temperature, but not of the history as seen in c (T g/T) and enthalpy H (G Tg),
In the practice of heat treatment, mostly four diffusion-type reaction, and the equation pro-
kinds of volume fraction are chosen: pearlite nP, posed by Magee (Ref 31).
austenite nA, bainite nB, and martensite nM in the 1.00
nM 1 exp[u(T Ms)] (Eq 6)
Fracture of pearlite, P
case of quenching.
Diffusion-Type Transformation. Many rate 0.75 , MPa
equations for diffusion-type transformation have is widely used with the material parameter u, ,0
been proposed to depict pearlitic reaction from which means that martensite generates as the 0.50
, 72
austenite, including the form by Johnson and temperature changes from martensite start tem- , 144
perature Ms. , 226
Mehl (Ref 30): 0.25 , 316
Introducing thermodynamic considerations on , 412
the effect of stress based on the experimental evi-
nP 1 exp(Ve) (Eq 3) dence, the equation is modified to: 0.00
10 102 103 104
Time (t ), s
where Ve t0
f (T) (t s) ds, are employed
3
nM 1 exp[u(T Ms) w(rij)] (Eq 7)
as a basis. Here, Ve is the extended volume at Fig. 4 Growth of pearlite depending on stress
time, t (0 s t).
The existing stress, or sometimes strain, is
250
known to accelerate the reaction, as experimen- 1.0
Start time
tally observed by many authors (Ref 2228).
Finish time
200
0.8
Fracture of martensite, M
Tension
150
Time (t), s
2 0.6
3 100
0.4
1 Compression
50

0.2
N
0
0 20 40 60 80 100 0
Stress (), MPa 0 500 1000 1500
Stress (), MPa
Fig. 2 Concept of mixture. n1 to nN (Nend) denote the Fig. 3 Start and finish time of pearlite reaction depend-
volume fractions of constituents. ing on stress Fig. 5 Martensite fraction depending on stress
Eq 9 is reduced to the general form of heat con- derive the constitutive equation. Readers are re- based on the theory of isotropic function, leads
duction equation: quested to refer to monographs on thermody- to:
namics (Ref 32) for detailed discussion, but here
eeij H
qcT T
T
r ij rij e iji q
eiij
the authors simply utilize some results for the
application.
GeI (rkl, T) q[I0 I1rkk
I2(rkk)2 I3rklrkl I4(T
N The Gibbs free energy G in the thermody-
H
e iij q
j
j q
I1
lI nI namic state is assumed to be the function of
stress rij, temperature T, and other internal vari-
T0)rkk fI(T T0) (Eq 23)
2T ables related to inelastic deformation such as in- where uI0, uI1, uI2, uI3 and uI4 are the polynomial
k (Eq 10) elastic strain eiij, hardening parameter j, and function of stress invariants and temperature and
xi x i
back stress ij as well as the volume fraction nI fI (T T0) is the function of temperature rise.
Here, Fouriers heat conduction law: of each constituent or phase: Then, Eq 22 reads:
N
T G G(rij , T, eiji , ij, j, nI) (Eq 16)
qi k
xi
(Eq 11) eije nIeIije
I1
(Eq 24)
When the same hypothesis of mixture law for
with heat conductivity k is adopted, and the la- each phase is again applied to G, then: with
tent heat lI when producing the Ith constituent:
G(rij, T, eiji , ij, j, nI) eeIij 2I3rij 2I2rkkdij
H
lI (Eq 12) N
I4(T T0)dij I1dij (Eq 25)
nI nI GI (rij, T, eiji , ij, j)
I1
(Eq 17)
is adopted. Since the first two terms of Eq 25 mean the

The third term on the left hand side of Eq 10 It is already confirmed in the framework of in- Hookes law, the third is thermal strain, and the
denotes the heat generated by inelastic dissipa- finitesimal strain theory that the Gibbs free en- fourth corresponds to isotropic strain of the Ith
tion, which is significant when compared with ergy is divided into recoverable and inelastic constituent provided that the parameters are con-
the elastic work represented by the second term, parts: stant, one can put:
and the fourth term arises from the latent heat by
1 mI
phase change. Equation 10 is easily reduced to GI(rij, T, eiji , ij, j) 2I3
the original equation of heat conduction, pro- EI
GIe(rij, T) GiI(T, eiji , ij, j) (Eq 18)
vided these terms are neglected.
As for the case of carburized quenching, one mI
Now the restriction of the second law of ther- 2I2
needs the distribution of carbon content diffused EI
modynamics, called Clausius-Duhem inequality
from the surface of the body. This process is gen-
is adopted, indicating that the internal dissipa- I4 I
erally performed before quenching, so the cou-
tion is nonnegative, or that the inequality (Ref
pling with stress and structural change is not to
32): I1 bI (Eq 26)
be considered. Then, the normal type of diffu-
sion equation for carbon content C takes:
q(G
gT)
r ij eije rij e iji
when, EI, mI and I are Youngs modulus, Pois-
C C 2
1 T sons ratio, and thermal expansion coefficient of
D (Eq 13) qi 0 (Eq 19) the constituent, respectively, and 3bI is volu-
t xixi T xi
metric dilation due to phase change in this case.
with diffusivity D as the form, for example: holds in every process. Applying Eq 16 to Eq 19 Then, one has:
one obtains:
D exp[a(C b)] (Eq 14) 1 mI mI
e
eIij rij rkkdij
G G EI EI
Stress-Strain Constitutive Relation
eeij q
rij
r ij q g
T I(T T0)dij bIdij (Eq 27)
Stress/strain state in the process incorporating 1 T with the Kronechers delta dij. Finally, elastic
T qi 0 (Eq 20)
phase transformation is very complicated be- T xi stress-strain relation of the mixture takes:
cause inhomogeneous temperature and the gra-
dient vary with time, thus inducing thermal When one focuses simply on the first term, the 1 m m
stress and phase transformation stress. Such relation: eeij rij rkkdij
E E
stress often exceeds the yield stress, and elastic- (T T0)dij bdij (Eq 28)
plastic stress analysis considering the tempera- Ge
ture-dependent material parameters is needed. eeij (Eq 21)
rij with global material parameters:
Strain and the rate (or the increment) are gen-
erally assumed to be divided into recoverable is to be satisfied, otherwise the inequality is not 1
elastic part e eij and irrecoverable inelastic one E
satisfied for the change of stress rij. N
nI
e iji . Substituting Eq 18 into Eq 21, one obtains:
I1 EI
e ij e eij e iij (Eq 15) N
GeI (rij, T)
nI
N
eije q nImI
Elastic Strain. In the case of a complicated I1 rij
(Eq 22)

I1 EI
coupling of mechanical field with temperature m
N
n
and phase change, continuum thermodynamics
provides a tool for fundamental consideration to
Expansion of Geij(rij, T) around the natural state
rij 0 and T T0 (T0 is reference temperature),
I
I1 EI
N
where r1 and r3 denote the maximum and min- (say, in compression) is lower than initial yield
nI I
I1
imum principal stresses. stress in the opposite direction (in tension). The
The hardening parameter j is identified de- concept is extended to the general case in mul-
N pending on loading history, and the evolution is tidimensional stress space, and the generalized
b nIbI (Eq 29) expressed either by plastic work as: Bauschinger effect is stated as the change in
I1 yield stress in the different direction from that in
j rije ijp (Eq 34) prestrained direction.
Yield Function and Plastic Strain Rate. Sub- Kinematic-Hardening Hypothesis. The model
sequent yielding as well as initial yielding of ma- or by equivalent plastic strain as: assumes that the yield surface with unchanging
terial with plastic strain epij, hardening parameter shape moves in stress space due to plastic de-
j at temperature T under multiaxial stresses is formation as illustrated in Fig. 8(a), and stress-
controlled by a criterion using the yield function j e p
strain diagram is given under the condition YY
expressed in stress space as: AC in Fig. 8(b). Qualitative representation of
3 e e
2
e p p p
ij ij (Eq 35) Bauschinger effect is available by this model
F F(rij, epij, j, T, nI) 0 (Eq 30) since OY BC.
Provided the center of the yield surface in
with existing plastic strain epij, hardening param- where epij is plastic (or inelastic) strain. The pa- stress space, called back stress, is denoted by ij,
eter j, to be discussed later, temperature T, and rameter defined by Eq 34 is sometimes called the the mathematical description of the kinematic-
volume fraction of phases nI. work-hardening parameter, while the one by Eq hardening hypothesis is now derived by substi-
The yield function F necessitates a simple 35 is the strain-hardening parameter. tuting rij ij instead of rij as the initial yield
mathematical structure and is adequately capable How the subsequent yield surface develops function in Eq 36 as:
to fit the experimentally observed yield condi- during the course of successive plastic loading
tion. One of the most widely used yield functions is called the hardening rule. Experiments deter- F F(rij ij, T, nI) (Eq 37)
in engineering practice is the von Mises type, mining the surface show that the yield surface
taking the form: expands its diameter accompanying the shift of How can one identify the back stress ij in Eq
center position in stress space (see Fig. 6, Ref 37? Two typical models can be used.
1 1 33). For simplicity, however, two characteristic The Prager model (Ref 34) asserts that the
F sijsij r 2(j, T, nI) (Eq 31) types of hardening rule are used. subsequent yield surface moves parallel to plas-
2 3
Isotropic-Hardening Hypothesis. The yield tic strain rate e pij and is expressed in the form:
surface is assumed to expand isotropically in
where sij is the deviatoric stress such that: size, keeping the center by this hypothesis, ij Cepij (Eq 38)
which gives the yield function in the form:
1 with a parameter C. Since the plastic strain oc-
sij rij dijrkk (Eq 32) curs perpendicular to the normal of the yield sur-
3 F F(rij, j, T, nI) f (rij)
face as is discussed later, the direction of ij by
and r(j,
T, nI) stands for the flow stress of the r(j,
T, nI) (Eq 36) this model is parallel to the normal surface (see
material with hardened state j at temperature T, Fig. 9).
also depending on temperature T. This means that plastic strain epij does not affect The Ziegler model (Ref 35) to determine the
The other type of yield function widely used the shape of the yield surface. The solid line in back stress rate is expressed as:
for ductile metals is the Tresca type: Fig. 7(a) illustrates the subsequent yield surface
represented in p plane, while the circle indicated ij l(r
ij ij) (Eq 39)
F (r1 r3) r(j,
T, nI) (Eq 33) by a broken line is the initial surface. If the initial
yield point is denoted by Y on the stress-strain which follows that the center moves in the di-
curve in Fig. 7(b), unloaded stress AB from point rection connecting the stress point and the back
A is the same as the compressive yield stress BC stress as seen in Fig. 9.
200 and is larger than initial yield stress. The concept Now, the normality of the plastic strain rate
of this hypothesis is too simple to express the vector induced at the regular point of the yield
150 generalized Bauschinger effect, but nevertheless surface leads to the flow rule for plastic strain
it is widely used for many kinds of analyses rate:
100 when the direction of loading trajectory changes
slightly. Original meaning of Bauschinger effect F
e pij K (Eq 40)
Torsional stress (), MPa
is such that yield stress with prior plastic strain rij

50
0
3 3
A
A Y
50 Y
T C 0 0
100 B E B E
20 0 Y 0
150 Y C
400 1 2 C 1 2
150
450
200 (a) (b) (a) (b)

0 50 100 150 200 250 300
Tensile stress (), MPa Fig. 7 Representation of yield hypothesis of isotropic- Fig. 8 Representation of yield hypothesis of kinematic-
hardening type. (a) Yield surface. (b) Stress-strain hardening type. (a) Yield surface. (b) Stress-strain
Fig. 6 Experimentally determined yield surfaces curve curve
since the normal direction of the function F in one obtains the expression for the total strain Here, the matrix [Dep] is given as (Ref 36):
stress space is represented by F/rij. The pa- rate:
rameter K is a function that depends on stress, [Dep] [De] [Dp] (51)
1 F F

stress rate, and strain and its history. Since the m
equation implies that the plastic strain rates de- r ij 2G dikdjl dijdkl
1 2m S0 rij rkl
rived from a potential F, the theory is known as with
the plastic potential theory. 1 F F T
(ekl dklT)
The next problem is how to identify the pa- S0 rij T 1 m

(Eq 47) sym
rameter K in Eq 40. During plastic loading, the 1 2m
stress components always satisfy the yield con- m 1 m
dition F 0 at any moment, which implies F where 1 2m 1 2m
0. Then, one has the relation called the Pra- m m 1 m
[De] 2G
gers consistency relation: 1 F F 1 2m 1 2m 1 2m
S0 (Eq 48)

2GG rmn rmn 0 0 0 1
2
F F F 0 0 0 0 12
F r ij p e ijp j
rij eij j For further application of the constitutive equa- 0 0 0 0 0 12
F
N
F
tion in the finite-element method, it is useful to (Eq 52)

T
T
I1 nI
nI 0 (Eq 41) present the relation in the matrix form (Ref 36):
and (see Eq 53).
[Dep] ({e} {}T)
{r}
As an example of yield functions, consider
Substituting the expression in Eq 40 into Eq 41
1 F F
as well as the definition of hardening parameters
in Eq 34 and 35, the parameter K is easily de-

S0 r T
T (Eq 49)
termined as: 0
where the components in matrices of stress and
strain in engineering notation and coefficient of
F r mn F T
KG
rmn T linear expansion are, respectively:
0.5
N
F
{r}T {rx ry rz sxy syz szx}
Axial dilation (Ez), %

nI (Eq 42)
I1 nI
{e}T {ex ey ez cxy cyz cyx} (Eq 50)
and finally: {}T { 0 0 0} 1.0
Axial stress, z (MPa)
50
F r kl F
e pij G
rkl T ij
p
0
30
1.5 50
N
F F
T
I1 nI
nI
rij (Eq 43)
ij
ij
Here, G is termed as the hardening function and (Prager) 2.5
(Ziegler) 0 200 400 600 800
takes the form:
Temperature (T ), C
P
(a)
F F F

1 ij
p rmn (Eq 44) 0.5
G emn j rmn ij ij
0
for the work-hardening parameter in Eq 34, and: ij
0 169 MPa
137
1 F F
92
rmn emn
Axial strain (z), %
G 55
2 F F 1/2
F 0.5 0
3 r mn rmn j
(Eq 45) Fig. 9 Direction of back stress evolution
for the strain-hardening parameter in Eq 35. 1

Rate Form of the Stress-Strain Relation. 41
The elastic strain rate e eij is easily derived from 82
Equivalent stress,

Eq 28: 1.5 137

d 164
H =

1 m
e eij r ij dijr kk dp
2G 1 m 2
0 200 400 600 800
dijT dijb (Eq 46)
Temperature (T ), C
0
where G, m, and stand for shear modulus, Pois- (b)
0 Equivalent plastic strain, p
sons ratio, and linear expansion coefficient, re- Experimental data of the effect of applied stress
spectively, in the global forms in the sense of Fig. 11
Fig. 10 Stress-plastic strain curve and definition of on induced strain. (a) Pearlitic transformation.
Eq. 29. Substituting Eq 44 and 47 into Eq 46, hardening coefficient (b) Martensitic transformation
1/2
3 r de
1 2 2 dr
smnsmn p

G 3

F 2
r
4 r 2r
(Eq 55)

p
x sym 3 e

F F F 2

rx ry r
y

Introducing Eq 55 into Eq 43 with T 0 leads
to the so-called Prandtl-Reuss flow rule:
F F F F F 2
[D ]
2G p

rx rz ry rz r
z

(Eq 53)
S0
1 F F 1 F F 1 F F 1 F 2 3 e p

2 rx sxy 2 ry sxy 2 rz sxy
4 sxy

e pij
2 r
sij (Eq 56)

1 F F 1 F F 1 F F 1 F F 1 F 2

2 rx syz 2 ry syz 2 rz syz 4 sxy syz
4 syz

The hardening coefficient H is defined as the
tangent modulus of the (equivalent) stress-

1 F F 1 F F 1 F F 1 F F 1 F F 1 F 2

2 rx szx 2 ry szx 2 rz szx 4 sxy szx 4 syz szx
4 szx

(equivalent) plastic strain diagram in Fig. 10.
When employing H , Eq 56 becomes:
3 r
e pij sij (Eq 57)
the von Mises condition with isotropic harden- Here, temperature dependence on flow stress r
2 rH
ing: is ignored for simplicity.
1 1 Bearing in mind that F/rij sij, the hard- The matrix [Dp] in Eq 53 is simplified in this
F sijsij r(
ep, nI)2 (Eq 54) case (Ref 37) to the form:
2 3 ening function in Eq 45 is easily expressed as:

s2x sym
sxsy s2y
2G sxsz sysz s2z
[Dp] 2
S0 sxsxy sysxy szsxy sxy
0.2 sxsyz sysyz szsyz sxysyz s2yz
z sxszx syszx szszx sxyszx syzszx s2zx
Transformation plastic strain (tp), %
0.1
(Eq 58)
2
with
0 5
1 r

2
6
S0 r 1
0.1 3 3G e p
1
H

3 2
r 1 (Eq 59)
0.2 3 3G
7
Experimental 8
Creep Strain. When the quenching time is
0.3 4
50 25 0 25 50
y
Stress (), MPa
(a) (a)
Pre/post-
z 2 processor
0.5
Transformation plastic strain (tp), %
10 18
0.4 9 Intermediate Intermediate
6 file file
3
19 14
0.3 13
1
7 21
17 Interface
11 5
0.2 12
15
4 16 Post-treatment Node/element
0.1 file file
20
Experimental 8
List image Control/analytical
0 y
0 25 50 75 100 data file condition file
Solver
Stress (), MPa
x
(b) Final Material
(b) results file database
Fig. 12 Transformation plastic strain versus applied
stress diagram. (a) Pearlitic transformation. (b) Fig. 13 Finite elements available in the system. (a)
Martensitic transformation Two-dimensional. (b) Three-dimensional Fig. 14 Structure of HEARTS
long in the case of machine component with is normally expressed as a linear function of ap- Method of Numerical Simulation
large dimension, effect of time on inelasticity is plied stress, and the rate is expressed by:
not negligible, especially at elevated tempera- A series of equations governing the heat treat-
N
ture. This effect in metals and alloys is due to 3
creep in most cases. Such time-dependent (or ij
e tp
2
KIh(nI)sij ment process described previously are to be nu-
I1 merically solved, since the fundamental equa-
rate dependent) inelasticity, sometimes termed tions, Eq 4, 7, 10, and 15 are highly nonlinear.
viscoplasticity, has been developed to formulate h(nI) 2(1 nI) (Eq 66) There are some techniques for numerical calcu-
sophisticated constitutive equations, under plas- lation, but the finite-element method (FEM)
ticity-creep interaction condition. for N kinds of transformation in the form of would be most promising for engineering prac-
The most simple and practically used consti- GreenwoodJohnson (Ref 38). This component tice.
tutive model is the so-called superposed type of of strain is also superimposed to inelastic strain Based on the theory available to the heat treat-
plasticity and creep, while the unified model rate, if necessary. ment simulation, the authors developed some
does not separate the inelastic strain into two programs for simple case of two-dimensional
parts. In the superposed model, the inelastic and axisymmetric problems in their laboratory
strain rate e iij in Eq 15 is composed of plastic and 0.8 to simulate the quenching process of a solid and
creep strain rates: Experimental thick-walled cylinders, and gear wheels (Ref 39
Calculated 44).
e iij e pij e cij (Eq 60)
Carbon content (C), %
0.6 In 1992, modification of the program was car-
ried out to develop the computer-aided engi-
Here, the plastic strain rate is given in Eq 43, e pij
neering (CAE) system HEARTS (HEAt tRea-
and the creep strain rate e cij is given in the similar 0.4 Tment Simulation code) by the cooperation with
form:
CRC Research Institute Company, Japan, to de-
liver a commercial code, and it has been used by
G
e cij Kc (Eq 61) 0.2 many users.
rij After the development of the HEARTS, some
codes were independently released: DEFORM-
by use of creep function, equivalent to the yield 0
function: 0 1.0 2.0 3.0 4.0
Distance from center (r ), mm
G G(rij, ecij, jc, T, nI) (Eq 62) Fig. 15 Distribution of diffused carbon
c 900
with creep-hardening parameter j .
Consistency relation held during creep load-
Residual stresses (r, , z), MPa

800 600
ing:
G rij G e ijc G T
300
G 600
Temperature (T ), C
rij eijc rT
N 0
G With

I1 nI
0 (Eq 63)
400
transformation
plasticity 300
z
leads to the final form for creep constitutive
equation: 200 600
Without r
transformation
G G 900
e cij G
c
r kl
r kl
T
T 0
0
plasticity
1.0 2.0 3.0 4.0 5.0 6.0
0 1 2 3
Distance from center (r ), mm
4
N
G G
n I rij
Time (t ), s Fig. 18 Residual stresses distribution
(Eq 64)
I1 nI Fig. 16 Temperature variation on the surface
von Mises or Tresca type is also employed when 900

the creep function is similar to the yield function.
Volume fraction of constituents, A, M, P
1.0 Experimental
Transformation Plastic Strain. Large inelas-
Axial residual stresses (z), MPa
With transformation plasticity

600
tic deformation is induced under relatively low Without transformation plasticity
Pearlite
stress applied during phase transformation (Ref 0.8
300
1721). As is observed in some alloys, such an
inelastic strain is sometimes very large, thus 0.6
0
called transformation superplastic strain. The
strain induced during quenching is, however,
0.4 300
mostly small since the operating time is rela-
tively short; this phenomenon is simply called Martensite
transformation plasticity. 0.2 600
Figure 11(a) (Ref 21) and (b) (Ref 19) show Austenite
examples of experimental data of the effect of 0 900
0 1 2 3 4 0 1 2 3 4
applied stress on the induced strain during pearl- Distance from center (r ), mm Distance from center (r ), mm
ite and martensite transformations, respectively.
The transformation plastic strain is plotted Distribution of volume fraction of martensite, Effect of transformation plasticity on axial re-
against applied stress in Fig. 12 (Ref 21), which
Fig. 17 Fig. 19
pearlite, and retained austenite sidual stresses
HT by SFTC Company, United States; SYS- The finite elements available for the strain problems are also available. This proce-
WELD by FRAMATOME Company, France; HEARTS system are two- and three-dimensional dure is proposed for developing a program for
GRANTAS by Komatsu Company, Japan (see type as illustrated in Fig. 13. The two-dimen- practical use that can analyze very large systems
Ref 45). By introducing the optional code avail- sional element in Fig. 13(a) is converted to a and add some different types of elements and
able to calculate phase change calculation into triangular element by overlapping three nodes, kinds of functions without difficulty.
ABAQUS, some trials are also made. for example, No. 1, 2, and 5, and other three- In the case of the coupled analysis of time-
The strategy and the structure of the HEARTS dimensional type elements are easily generated dependent metallic structure, temperature, and
are briefly introduced in this section. by joining the three nodes located on the corner stress/strain, the step-by-step method with very
in Fig. 13(b). The continuum elements are used short time step is employed to avoid the increase
in the analyses of heat conduction, stress/strain, of necessary memory due to the nonsymmetric
1200 and diffusion. The two-dimensional element in matrix and also to reduce execution time.
Temperature (T ), C
S45C out-top
1000 Fig. 13(a) is also applied to axisymmetrical The heat-conduction analysis is carried out by
S45C out-mid
800 S45C in-mid problems. For stress/strain analysis, plane considering the latent heat generation calculated
600 SUS304 out-top
SUS304 out-mid stress/strain problems and generalized plane by microstructural evolution analysis followed
400 SUS304 in-mid
200
0
1 2 5 10 20 50 100 250
(a) Time (t ), s
Volume fraction of austenite
and martensite (A, M), %
100
80 Martensite
60
40
Austenite
20
0
1 2 5 10 20 50 100 250
Time (t ), s
(b)
0.4
Radial displacement
0.3
(Ur), mm
0.2
0.1
0.0
0.1
1 2 5 10 20 50 100 250
Time (t ), s
(c)
0.25
Axial displacement
0.20
(Uz), mm
0.15 Fig. 22 Mode of distortion of cross section (central axis on the left)
0.10
0.05
0.00
0.05
1 2 5 10 20 50 100 250
Time (t ), s
(d)
Fig. 20 Variation of temperature, structures, and dis-

tortions, at typical locations of a ring for carbon
steel and SUS304
0.6
Tangential plastic strain (), %
0.4
S45C
0.2
SNC815
0
SCM440
0.2
SUS304
0.4
36 38 40 42 44 46 48 50
Radius (r ), mm
Fig. 21 Tangential plastic strain distribution for four
steels Fig. 23 Distributions of tangential and axial residual stresses on the top surface
by the stress/strain analysis depending on the

structural distribution based on the temperature
distribution determined. When the stress/strain
analysis ends, calculation in the next step is car-
ried out. In the case when the coupling effect is
negligible, independent analysis of three fields is
also possible. The time integration in the heat
conduction and diffusion analyses employ the h-
method, which is reduced to the trapezoid and
Euler backward methods in the special cases.
Nonlinear equations in each analysis are made
by the Newtons iteration method.
CAE Environment. As shown in Fig. 14, the
system HEARTS was developed under the pre-
requisite condition to be used in the CAE envi-
ronment combined with a proper pre/post-pro-
cessor. The system is designed for exchanging
data between solver and pre/post-processor,
such as PATRAN and I-DEAS.
Data necessary for the simulation are created
by a pre/post-processor. These data are output
in the format of intermediate file and then con-
Fig. 24 Distributions of tangential and axial residual stresses on the outer face verted into control/analysis condition data file
and nodal point/element data file by an inter-
face program. In addition, input data regarding
the characteristics of the elements are made by
users in the form of characteristics data file.
The results of calculation by the solver are out-
put in such forms as post-processing file, list
image file, and restart file. The contents of
the post-processing file are converted to the form
of the intermediate file through the interface. The
resulting data contained in the intermediate file
can be displayed in various forms by using the
pre/post-processor according to the instructions
of the users.
Illustrative Examples of Simulation
Some examples of simulated results on tem-

perature, structural change, and stress/strain as
well as carbon content during the heat treatment
process of engineering components in two- (or,
axisymmetric) and three-dimensional shape and
a Japanese sword are illustrated by use of the
Fig. 25 Time-dependent distribution of diffused carbon content system HEARTS combined with an available
pre/post-processor, and the validity of the sys-
tem is evaluated by comparing with experimen-
tal data.
Heat transfer coefficient (ht), W/(m2 C)
5000
4 0.4 0.4
Radial displacement (ur), mm
Radial displacement (ur), mm
4000 With TP Without TP

3 2 1 0.3 Outer 0.3
3000 Inner
1 2 0.2 0.2
2000
0.1 0.1
4 3
1000
0 0
0
0 200 400 600 800 1000 0.1 0.1
Temperature (T ), C 1 10 102 103 104 1 10 102 103 104
(a) Time (t ), s (b) Time (t ), s
Fig. 26 Temperature-dependent heat transfer coeffi-
cient on each face (Ref 46) Fig. 27 Variation of radial distortion. TP, transformation plasticity. (a) Carburized quenching. (b) Normal quenching
Carburized Quenching of Cylinder

The first example is the carburized water
quenching of a long cylinder of a case-hardening
steel containing molybdenum (Ref 8). The cyl-
inder of 8 mm diameter is treated. Since the cyl-
inder is assumed to be long enough and no tem- t=8s
perature gradient is imposed in axial direction,
M, %
the calculations are made for a series of elements
arrayed in the radial direction, and the general- 100
ized plane-strain condition for the stress/strain
t = 15 s 90
analysis is such that the resultant surface force
acting in axial direction disappears, and that ax-
ial displacement of all nodes at any radial point 80
is the same, or the axial cross section is kept in-
plane. 70
Before quenching, the cylinder is kept in
methane gas at 925 C for carburization for 9000 t = 30 s
60
s and diffused for 9000 s in vacuum. Calculation
of diffusion mode of carbon based on the diffu- 50
sion equation (Eq 13) is made prior to quench-
ing, and the result is shown by solid line in Fig. 40
15. Circles in the figure denote the experimen-
tally measured data by x-ray diffraction, which 30
gives good agreement with the simulation. t = 600 s
The cylinder is heated to 800 C and quenched 20
in water at 20 C. Calculated temperature vari-
ation on the surface is presented in Fig. 16. Here,
10
the solid line is the data when considering the
effect of transformation plasticity formulated by
0
Eq 66, while the broken line is without the effect.
At the beginning of cooling from 800 C, no dif- t = 2400 s
ference is seen between both lines, but from the With TP Without TP
pearlite start temperature at 400 C, where the
Fig. 28 Successive change of cross section with martensite fraction (central axis on left). TP, transformation plasticity
latent heat generation raises the temperature, the
effect of transformation plasticity appears. Fig-
ure 17 represents distribution of volume fraction
of metallic structures after quenching such as
martensite, pearlite, and retained austenite.
Calculated residual stress distribution in axial,
tangential, and radial components are plotted by
curves in Fig. 18 with the comparison of mea-
sured axial residual stress indicated by circles
near the surface. The effect of transformation
plasticity on the residual stress is also depicted
(a) (b)
in Fig. 19.
With transformation plasticity
Induction Hardening and Carburized Without transformation plasticity
Quenching of Ring Iinitial
Experimental
A ring-shaped body is widely used as a typical
example of fundamental quenching tests, since Fig. 29 Comparison of distorted cross section with experiment. (a) Carburized quenching. (b) Normal quenching
it is also considered as a model of a gear wheel

with boss hole. From this viewpoint, two kinds
of simulations are carried out: one is induction
hardening (Ref 11), and the other is carburized
quenching (Ref 12), discussed in next section.
A ring with the dimension of 100 and 75 mm
in outer and inner diameter, respectively, and 24
mm in height has the upper half modeled as the
axisymmetric problem. Induction heating is
made on the outer surface with expected hard-
ening depth of 2 mm during 4.0 s heating period,
followed by cooling (Ref 14). Materials em-
ployed are carbon steel (JIS-S45C), Cr-Mo steel
(SCM440), and Ni-Cr steel (SNC815) with har-
denability and stainless steel (SUS304) without
hardenability for comparison. Fig. 30 Comparison of residual stresses with experiment. (a) Carburized quenching. (b) Normal quenching
The heat generation during induction heating denum steel (SCM420) with 25 and 75 mm inner
is assumed to occur in the area of 2.0 mm depth and outer diameter, respectively, with 10 mm in
from the outer surface. The heat-generation rate height is employed for the simulation (Ref 12).
is determined by trial and error so that the max- Carburizing and diffusion were performed in
imum temperature at the surface reaches the the atmosphere of controlled butane gas keeping
measured value. All surfaces are regarded as adi- carbon potential Cp at 1.2% for 4 h and 0.85%
abatic boundary during heating process, while in for 1 h at 930 C, respectively, followed by in-
cooling process the outer surface is defined as termediate period for 1 h and steady temperature
the convection boundary with uniform and con- stage of 850 C for 30 min with Cp 0.85%.
stant convection coefficient 20,000 W/(m2 K). Consequently, quenching was carried out with a
To know the effect of hardenability, or phase hot oil quenchant of 130 C and specimen was
transformation, on some parameters, calculation kept in oil bath for 10 min. Flat surface of the
of temperature, structures and distortion at typ- specimen was held horizontally in both carbu-
ical locations of the ring are compared for typical rizing and quenching.
two steels of plain carbon steel and SUS304 in Figure 25 represents the calculated time-de-
Fig. 20, and the difference in plastic strain dis- pendent distribution of diffused carbon content
tributions for four steels is depicted in Fig. 21. with the experimental data by means of electron
Such effect is characterized for distortion for probe microanalysis (EPMA) from flat surface
four steels as seen in Fig. 22 with triangles in- to 2.5 mm in depth. Carbon seems to diffuse be-
dicating measured data; volumetric dilation due neath the surface with carburizing time, and the
to martensitic transformation is seen to give the gradient becomes lower with diffusion time. Ex-
expansion of radius (see Fig. 22a, b, and c), perimental data measured by EPMA after the
while contraction in diameter occurs for SUS304 process of 23,400 s show good agreement with
Fig. 31 Additional magnetic field to metallo-thermo- (Fig. 22d). Figure 23 depicts the distributions of calculated results.
mechanical coupling tangential and radial residual stresses on the top Different values of heat transfer coefficient
surface where a wavy pattern of stress is ob- (Fig. 26) are applied to each surface according
served in SUS304 steel. Tangential and axial to the experimental data by Bodin and Segerberg
stresses on the outer surface are shown in Fig. (Ref 46). After 10 min elapsed, air cooling was
24. executed until complete cooling with steady heat
transfer coefficient of 200 W/(m2 C).
The simulated variation of radial distortion
Carburized Quenching of Ring with respect to time at the middle point on outer
and inner faces of quenched ring in both condi-
To investigate the more detailed behavior of tions with and without consideration of transfor-
the influence of transformation plasticity on car- mation plasticity is depicted in Fig. 27(a) for car-
burized quenching, a ring of chromium-molyb- burized and normal quenching, respectively.
Fig. 32 Finite-element discretization of a gear and in-

duction coil
1200
Simulated Measured
Tip
1000 PCD
Tip Bottom
Temperature (T ), C
PCD
800 Fig. 34 Generated heat pattern. t (a) 0.0 s. (b) 1.8 s. (c) 2.7 s. (d) 2.88 s
600 tt=13,500 s
400
200 9,000 s
0
0 1 2 3 4 5 6
Time (t ), s
Fig. 33 Simulated and measured temperature variation Fig. 35 Temperature pattern. t (a) 1.8 s. (b) 2.88 s
In the case of carburized quenching, radial dis- proximately 8 s are similarly distorted to the bot-
placement both at outer and inner faces is mod- tom due to the difference of heat transfer coef-
erate when considering the effect in comparison ficient among the surfaces. Since martensite
with that without transformation plasticity. In the transformation starts around at 15 s from the cor-
case of normal quenching, on the other hand, the ner for normal quenching (see Fig. 28b), the con-
effect on radial displacement is smaller, as cave shape of cross section takes place, while a
shown in Fig. 27(b). similar shape is seen in the final stage for car-
Variations of the simulated cross-sectional burized quenching without transformation plas-
distortion with and without the effect are shown ticity effect. The effect appears at 30 s in the case
Fig. 36 Pattern of martensite fraction in Fig. 28 with the volume fraction of martensite. of carburized quenching to give a convex shape
Outer sides of ring in different conditions at ap- being kept until end of cooling at 2400 s.
Figure 29 illustrates the simulated distortion
1.0
of cross section at final step under both condi-
tions. Solid lines in the figure represent the es-
Volume fraction of martensite, m
0.8 timated pattern of distortion from initial shape

Tip shown in thin dotted line when considering the
PCD
PCD effect. Experimental results of distortion are
0.6
plotted in solid marks in the figure to compare
with simulated patterns. The most remarkable
0.4 difference between surfaces with transformation
plasticity and those without in carburized
quenching lies in the mode of distortion as de-
0.2 picted in Fig. 28 and 29. The transformation
9,000 s
Root plasticity gives a convex shape to all surfaces,
Tip but surfaces without transformation plasticity are
0
0 1 2 3 4 5 concave. Experimental data agree well with sim-
Distance from surface (d ), mm ulated distortion with the effect in both carbu-
Fig. 37 Distribution of martensite fraction rized and normal quenching.
Residual stress distribution for carburized and
normal quenched ring are represented in Fig. 30.
It is concluded that the transformation plastic
strain contributes remarkable effects on distor-
tion of ring-shaped models especially in the case
of carburized quenching.
Dual-Frequency Induction Hardening

of a Gear Wheel
Dual-frequency induction hardening is con-

ducted for suitable appropriate preheating period
by medium frequency (310 kHz) and a rapid
Fig. 40 Pattern of pasted clay subsequent heating by high frequency (100250
Fig. 38 Distortion of a tooth. (a) Dual frequency. (b)

Single frequency
Fig. 39 Heat transfer coefficient depending on clay

thickness Fig. 41 Finite-element meshes. (a) Global view. (b) Near the tip
kHz) followed by spray quenching. This process Combining two kinds of coupling analyses, however, in the first approximation of practical
makes it possible to achieve contour hardening, metallo-thermo-mechanical and electromag- calculation, that permeability is constant in the
and the advantage of the process is to provide netic, to evaluate heat generation during heating workpiece during heating since the magnetic
high hardness and residual compressive stresses and to introduce the result into the calculation of field is almost steady, but that the magnetic per-
on the surface compared to small distortion with metallo-thermo-mechanical fields is performed meability and conductivity are functions of tem-
enough toughness in the core part. The pattern by the HEARTS and MAGNA, for electromag- perature.
of frequency used in the present experiments is netic field analysis (see Fig. 31). The magnetic The workpiece treated throughout the study is
3 kHz for 1.8 s in preheating and 150 kHz for permeability generally depends on the magnetic a spur gear of 0.45% C steel (JIS-S45C). The
0.18 s during subsequent heating (Ref 13). field as well as on temperature. One assumes, dimensions are 126 mm outside diameter, 120
Fig. 42 Effect of clay thickness on martensite distribu-

tion
Fig. 43 Successive mode of distortion with tempera-

ture variation Fig. 44 Successive mode of fraction of martensite (a) and pearlite (b)
mm in the pitch circle diameter (PCD) (or mod- Simulated results of temperature distribution sword master controls the initial heating tem-
ule 3), 66 mm in boss hole diameter, and 20 mm at the end of the preheating and the subsequent perature and that of water as well as the heat
in tooth width with 40 teeth. A one-turn coil with heating in the dual-frequency process are shown transfer coefficient by pasting a kind of clay on
an inner diameter of 130 mm and a cross-sec- in Fig. 35(a) and (b), respectively. Volume frac- the surface. The blade pattern with martensite
tional area of 22 by 35 mm2 is equipped outside tion of martensite after quenching is also pre- structure, called hamon, and distortion or bent
of the gear wheel. Figure 32(a) shows finite-ele- sented in Fig. 36, and Fig. 37 shows the distri- shape, termed sori, are evaluated from artistic
ment division of a gear and coil. The workpiece bution of martensite fraction, the pattern of viewpoint.
is enlarged in Fig. 32(b). which is similar to measured values of Vickers Most Japanese swords with some exceptions
The simulated and experimental temperature hardness. are made of steel called tamahagane, or tradi-
variations at three typical locations such as the Figures 38(a) and (b) represent the compari- tional Japanese steel, specially prepared by the
tooth tip, PCD, and the bottom in dual-frequency son of simulated distortion for induction hard- tatara system using iron sand, not normal iron
induction hardening are depicted in Fig. 33. The ening using dual frequency and conventional, ore. The hammering process is repeated to obtain
simulated distribution of heat generation at the single frequency. Actual distortion of 5 lm is a block, where about 15 folds, called orikaeshi,
beginning of heating t 0.0 s and the end of expressed by 2.0 mm in the geometry scale. are repeated to get laminated materials bonded
heating at t 1.8 s during preheating are shown When comparing the two cases, the distortion of by the mechanism of mechanical alloying.
in Fig. 34(a) and (b), respectively. Figures (c) conventional induction hardening in the tooth Before quenching, mixed clay with powders
and (d) represent the distributions at the begin- width direction is about two times as much as of charcoal and whetstone, yakibatsuchi, is
ning of heating t 2.7 s and the end of heating that of dual-frequency induction hardening. The pasted on the surface of the sword to control the
t 2.88 s in the subsequent heating process. typical characteristic of dual-frequency induc- heat transfer coefficient depending on the thick-
The simulated temperature variation at the tion hardening that less distortion and deforma- ness (see Fig. 39). The thickness on the back is
tooth bottom is delayed, as seen in Fig. 33, but tion occur due to hardening only in the contour about 1 mm and 0.1 mm on the blade, as shown
the maximum temperature is higher compared to zone is confirmed by these results. in Fig. 40. Then, the sword is heated up to about
the measured one in preheating. In the subse- 800 C in the furnace and quenched in water of
quent heating stage, the temperature variations 40 C. During this process, the tip is severely
agree well with measured data except at the tooth Quenching of Japanese Sword cooled to be the blade made of martensite struc-
bottom saturating to around 800 C. One of the ture, while the other part is transformed into
reasons for this disagreement may come from Quenching of a Japanese sword is one of the pearlite and troostite. Very complicated defor-
rough mesh division in depth direction. typical examples of quenching processes. The mation, or sori, is observed during the process
due to the time delay of cooling and phase trans-
formation, and the stress changes to induce the
residual stresses.
Three-dimensional finite-element mesh divi-
sion of the sword is represented in Fig. 41, which
shows the sword cut in half in the width direction
for symmetry. This model is supposed to consist
of two regions to which different material data
are applied and also two parts of the surface with
heat transfer coefficients of different values.
To investigate the effect of the clay thickness
on the martensite formation corresponding to the
width of blade, quenching simulations are made
with different patterns of pasting the clay. Figure
42 shows the volume fractions of martensite af-
ter quenching under different conditions. When
the sword is quenched without any clay, marten-
site hardly appears except for on the blade (Fig.
42a). However, almost the entire region becomes
martensite when thin clay is pasted on the entire
surface as shown in Fig. 42b. If the clay is pasted
thin on the blade side, and thick on other part,
an ideal pattern of martensite is obtained, where
martensitic hardened blade and ductile, pearlitic
main body are realized (Fig. 42c). The border of
the martensite structure in white color is termed
hamon.
Figure 43 shows the temperature distribution
of the sword with time variation from the begin-
ning of the quenching, and the mode of enlarged
deformation is also depicted in the figure. The
thin part of the blade shrinks by thermal con-
traction due to severe cooling, which leads to
downward bending, termed as gyaku-sori, or re-
verse bending. However, when martensitic trans-
formation starts to occur in that part, normal
bending, or sori, to the upper direction is ob-
served due to the volumetric dilation by marten-
Fig. 45 Successive mode of longitudinal stress site formation. Gyaku-sori again appears, be-
national Symposium on Calculation of In- Proc. Third Int. Conf. Quenching and Con-
ternal Stresses in Heat Treatment of Metal- trol of Distortion (Prague), ASM Interna-
lic Materials, Linkoping Univ. Press, 1984, tional, 1999, p 243250
p 298310 14. T. Inoue, T. Uehara, H. Ikuta, and I. Miyata,
3. T. Inoue, Metallo-Thermo-Mechanical Cou- The Japanese SwordHeat Treatment Pro-
plingApplication to the Analysis of cess Simulation Incorporating Phase Trans-
Quenching, Welding and Continuous Cast- formation, Proc. Int. Conf. Materials and
ing Processes, Berg Huttenmann. Monatsh., Mechanics 97 (Tokyo), Japanese Society of
Vol 132 (No. 3), 1987, p 6371 Mechanical Engineering, 1997, p 137142
4. T. Inoue, Inelastic Constitutive Relation- 15. T. Inoue, The Japanese SwordThe Ma-
ships and Applications to Some Thermo- terial, Manufacturing and Computer Simu-
mechanical Processes Involving Phase lation of Quenching Process, Mater. Sci.
Transformation, Thermal Stresses V, R.B. Res. Int., Vol 13 (No. 4), 1997, p 193203
Hetnarski, Ed., North Holland, 1988 16. T. Inoue, The Japanese Sword in Compari-
5. T. Inoue, Metallo-Thermo-Mechanics son of Others, Proc. Eighth Int. Conf. Me-
Application to Phase Transformation Incor- chanical Behaviour of Materials (Victoria,
porated Processes, Trans. JWRI, Special Is- Canada), 1999, p 458463
sue on Theoretical Prediction in Joining and 17. F.G. Rammerstorfer, D.F. Fischer, W. Mit-
Welding, Vol 25 (No. 2), 1996, p 6987 ter, K.J. Bathe, and M.O. Snyder, On
6. T. Inoue, Residual Stress and Distortion Thermo-Elastic-Plastic Analysis of Heat
Metallo-Thermo-Mechanics Simulation of Treatment Processes Including Creep and
Engineering Processes Incorporating Phase Phase Changes, Comp. Struct., Vol 13,
Transformation, Mathematical Modeling of 1981, p 771779
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575 tropic Phase Transformation of Steels and
7. T. Inoue and B. Raniecki, Determination of Predicted Plastic Behaviour, Mater. Sci.
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Phys. Solids, Vol 26 (No. 3), 1978, p 187 E. Macherauch, Consequence of Transfor-
212 mation Plasticity on the Development of
8. T. Inoue, K. Arimoto, and D.Y. Ju, Metallo- Residual Stresses and Distortion during
Thermo-Mechanical Simulation of Quench- Martensitic Hardening of ASE 4140 Steel
ing ProcessTheory and Implementation Cylinder, Steel Research, Vol 65 (No. 1),
Fig. 46 Distribution of residual stress along typical 1994, p 4146
three portions. (a) Hasaki, edge (b) Shinogi, of Computer Code HEARTS, Proc. First
ridge (c) Mune, back surface Int. Conf. Quenching and Control of Dis- 20. P.H. Shipway and H.K.D.H. Bhadesia, The
tortion (Chicago, IL), ASM International, Effect of Small Stress on the Kinetics of the
2225 Sept 1992, p 205212 Bainite Transformation, Mater. Sci. Eng.,
cause of the pearlitic transformation in the back 9. T. Inoue, K. Arimoto, and D.Y. Ju, Theory Vol A201, 1995, p 143149
part. and Implementation of Heat Treatment 21. T. Inoue, Z.G. Wang, and K. Miyao, Ther-
In the successive stages, the back side shrinks mal and Phase Transformation Stresses in a
Simulation Program HEARTS, Proc.
gradually because of thermal contraction, and fi- Carburized Quenched Gear Wheel, Proc.
Eighth Int. Congress on Heat Treatment of
nally normal bending can be obtained owing to 32nd Japan Cong. Materials Research, So-
Materials (Kyoto), 1720 Nov 1992, Japan
the difference of the coefficient of dilation by ciety Materials Science, Japan, 1989, p 21
Heat Treating Society, p 569572
martensite and pearlite transformation, as shown 26
10. T. Inoue and K. Arimoto, Development and 22. E. Gautier, A. Simon, and G. Beck, Defor-
in Fig. 44. The change in the longitudinal stress Implementation of CAE System
distribution on the surface and the inside of the mation of Eutectoid Steel during Pearlitic
HEARTS for Heat Treatment Simulation Transformation under Tensile Stress, Proc.
sword is represented in Fig. 45. The calculated Based on Metallo-Thermo-Mechanics, J.
residual stresses in the longitudinal direction on Fifth Int. Conf. Strength of Metals and Al-
Mater. Eng. Perform., Vol 6 (No. 1), 1997, loys (ICSMAS), P. Haasen, V. Gerold, and
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with experimental data denoted by solid circles tion of the Effect of Stress/Phase Transfor-
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tic Stresses in the Course of Quenching and burized Quenching Process of Cr-Mo Steel Transformation of Austenite under Exter-
Tempering of Some Steels, Ing.-Archiv., Ring, Proc. 18th Conf. Heat Treating, 12 nally Applied Tensile Stress, Trans. ASM,
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nomena between Stress, Temperature and 13. T. Inoue, H. Inoue, F. Ikuta, and T. Horino, of Volume Change on Martensitic Trans-
Metallic Structures in the Process with Simulation of Dual Frequency Induction formation Induced by Tensile or Compres-
Phase Transformation, Proc. of the Inter- Hardening Process of a Gear Wheel, sive Stress in Polycrystalline Iron Alloys,
Proc. First JIM Int. Symposium on New As- 35. H. Ziegler, A Modification of Pragers Wheel, Mater. Sci. Technol., Vol 1, 1985, p
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416458 ternational Conference on Computational
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32. G.A. Maugin, The Thermodynamics of Plas- Transformation, Mater. Sci. Technol., Vol 45. G. Besserdich, M. Ehlers, Th. Lubben, A.
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493496 ring in Quenching of Carburized Steel Gear sur-Seine, 2228 Sept 1994
Control of Residual Stress Formation and

Steel Deformation during Rapid
Heating and Cooling
N.I. Kobasko, V.S. Morganyuk, and V.V. Dobrivecher, Ukraine National Academy of Science, Kiev
THE ADVANTAGES OF INTENSIVE crack formation. If the strength factor is greater T bm

(T Ts)m|rR 0
HEATING AND COOLING when quenching than one, quench cracks will not form. If it is r k
alloy and high-alloy steels are discussed in this less than or equal to one, quench cracks will
T(r, sf) u(r)
article. Alloy steels are quenched in mineral oils form.
or high-concentration aqueous polymer solutions, It is emphasized that the reduction of distor-
which can replace the oil. Mineral oils retard the Finally, at the area of convection heat transfer,
tion and prevention of the formation of quench
cooling process in the area of the transformation the boundary conditions are analogous to those
cracks are due to the formation of hard marten-
of austenite into martensite. Proceeding from nu- for film boiling, that is:
site layer on the entire surface, which fixes the
merous experimental data, it has been considered initial sizes of the part and forms high residual
a firmly established fact that intensive cooling in T cn
compressive stress on the surface quenched (T Tc) 0
the field of martensite transformations results in parts. Examples of the application of intensive r k
the formation of quench cracks and, afterward, steel-quenching methods for alloy steel parts are T(r, snb) w(r)
extensive deformation of parts after their given in practice.
quenching. The condition of transfer from nucleate boiling
In the late 1990s, many papers appeared based to one-phase convection is given by qnb qconv.
on experimental and calculating data that prove Mathematical Model for the These equations determine boundary condi-
that starting with definite intensity of cooling, Calculation of Thermal and Stress- tions of the third kind and describe conditions of
the heat-transfer intensification results in avoid-
ing the formation of quench cracks and reduction
Strain State the change of heat-transfer regimes. However, in
practice, one often uses boundary conditions of
of the deformation of quenched parts. This al- the first kind, which can be obtained from ex-
lows a change in the technology of alloy steel The coupled equation of nonstationary ther-
mal conductivity, as known, is given as: periments. In this case, the main differential
quenching in principle, because instead of ex- equation of heat conductivity must be added
pensive and fire-dangerous oils one can use wa- with the aforementioned conditions, that is:
ter (Ref 1, 2). T
cq div(k grad T) rij e ijp qI lI n I 0
This article discusses the mathematical model s
T(ri, s)|riRi u(Ri, s)
and gives the analysis of results of computer
simulation and physical grounds for the results with corresponding boundary conditions for film where i is, in this case, the coordinate index, and
obtained. This article considers in detail two boiling:
steel-quenching methods: intensive and uniform u(Ri, s) is a value of temperature at different
cooling of alloy steel parts during the entire cool- points of the surface, which is being cooled.
T f Plasticity theory equations are presented in
ing interval and the influence of the growth of (T Ts)|rR 0
r k detail in Ref 4 and 5 and have the following
intensity of cooling on distortion and crack for-
mation of quenched parts is studied. form:
and initial conditions:
Two-step quenching is investigated. It has
been shown that one can reach minimum distor- e ij e pij e eij e Tij e ijm e tp
ij
tion at the first stage, which can be preserved T(r, 0) T0
during intensive cooling at the second interval with relevant initial and boundary conditions,
of the transformation of austenite into marten- The transition from film boiling to nucleate where T is temperature, rij is stress, e ij is total
site. boiling is made when the following is fulfilled: strain rate, e eij is elastic strain rate, e pij is plastic
On the basis of the Pisarenko-Lebedev crite- strain rate, e Tij is thermal strain rate, e m ij is strain
rion, it has been shown that one can prevent the qcr2 f(Treg Ts) rate for structural dilation due to phase transfor-
formation of quench cracks during intensive mations, e tp
ij is strain rate for structural dilation
quenching at both the first and second stages of where qcr2 0.2 qcr1. due to transformation plasticity, k is thermal
cooling (Ref 3). The criterion of Pisarenko-Le- At the stage of the nucleate boiling, the conductivity, and c is specific heat. These equa-
bedev establishes the conditions of the quench- boundary conditions appear as: tions are described in detail in the article
100 Metallo-Thermo-Mechanics: Application to until the part is cooled. These regularities are
Quenching in this Handbook. described in detail in Ref 8. Joint consideration
Crack formation probability, %
80 of these issues (the selection of calculation meth-

ods, scheme of the phase-transformation dia-
60
Computation of Stress-Strain State gram, boundary conditions, and physical and
mechanical properties of the material) is of great
40 On the basis of numerous experimental stud- practical and scientific interest.
ies, it has been established that with the cooling The principal block diagram of the computing
rate increase within the martensite transforma- complex developed at the Institute for Strength
20
tion range, the probability of quench-crack for- Problems with the participation of Engineering
mation grows to a maximum value and then low- Thermophysics Institute, both part of the Na-
0
0 200 400 600 800 ers to zero (Ref 1) (Fig. 1). tional Academy of Sciences of Ukraine, is
Cooling rate, K/s Substantiation of regularity is of great practi- shown in Fig. 2. The calculation results are: tem-
cal and scientific importance. To that end, the perature field, material phase composition, mi-
Fig. 1 Effect of cooling rate in the martensite range on calculation was performed for the thermal and gration of points in the volume which is calcu-
the crack formation in cylinder-shaped samples lated, components of stress and strain tensors,
of 6 mm diameter, of steel 40X (DIN 41 Cr4), which is
stress-strain states of steel parts on the basis of
finite-element methods (FEM) (Ref 6). For intensities of stress and strain, and the field of
equivalent to AISI 5135
mathematical simulation of part quenching, a the safety factor, that is, a relation of stresses at
mathematical model was used that included a which the material is destroyed. These values are
nonlinear equation of nonstationary heat con- presented in the form of tables and isometric
duction, equations of the theory of thermal, elas- lines that allow observation of the kinetics of
Input phase changes in the process of heating and cool-
tic, and plastic flow with kinematic strengthen-
ing under the appropriate boundary conditions of ing (Ref 810). Using the potentialities of the
the first and third kinds (Ref 5). computing complex, the current and residual
Discretion of computation region The calculation process is divided into time stresses were determined, depending on the cool-
into finite elements steps. At each time step, a heat-conductivity ing capacity of quenchants. Calculations were
problem is solved. The resulting temperature also fulfilled for quenching parts of complex
field determines mechanical characteristics and configuration.
temperature load for the thermal plasticity prob- With the purpose of testing these computation
Output listing of initial data
lem. The initial conditions for thermal conduc- methods, a problem has been solved allowing
tivity and thermal plasticity problems are taken comparison of the computational data with ex-
from results of solving the corresponding prob- perimental ones. A specimen for this purpose
Time cycle start lems at previous steps. Besides, at each time step was cylinder-shaped, made out of steel 45
the calculation results are compared with the (0.44% C), diameter of 65 mm, length of 130
thermokinetic diagram of the supercooled aus- mm. Quenching was made by induction, and
tenite transformations, and new thermal, physi- cooling was under intensive water shower. The
Iterative solution of nonlinear problem thermal plasticity problem at heating was solved
of heat conduction cal, and mechanical characteristics for the next
step are chosen depending on the structural com- based on the assumption that the temperature
ponents (Ref 7). In every separate region of the distribution is the same at time heat ends and
Construction and output of isometric fields diagram a specific transformation law is estab- cooling starts and is known (in Fig. 6, this is a
and the material structural composition lished, if necessary. The calculations are made curve at time 0 s). For this purpose, the prop-
erties from handbooks for this grade of steel
have been used. Figure 3 shows results of solv-
Iterative solving the problem of ing the heating problem.
thermoelastoplasticity 800 The cooling conditions have been set in the
form of boundary conditions of the first kind
(Fig. 4, curve 1). The initial conditions are de-
Construction and output of fields of 600 termined by results of solving the heating prob-
z
relocations, strains, and stresses lem. The temperature and time dependencies of
density q and linear expansion coefficient have
400 been calculated with the use of Yuriev formulas
Evaluation of possibility of destruction
i (Ref 11) and thermokinetic diagram (Fig. 4). The
and calculation of safety factor
other dependencies have been built on the basis
, MPa
200 of experimental data for dependencies of mate-

r rial properties on the temperatures with correc-
Construction and output of the
field of safety factor tions on the basis of continuous cooling trans-
0
formation (CCT) diagrams. Figure 5 shows
e isochronous curves of dependencies of mechan-
200 ical properties on temperature at time, s 1 s.
Time cycle end
Results of solutions of problems of thermal
conductivity and thermal plasticity for cooling
400 process give the full picture of functions of tem-
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
perature field, structure, and stress-strain state
Output Radius of the specimen, R, m for part quenching. Figure 6 shows the change
Stresses at the end of the specimen heating. rr,
in temperature field for cooling of the specimen.
Fig. 3 The comparison of cooling data and CCT dia-
Fig. 2 Chart describing the algorithm of the software radial stress; rh, circumferential stress; rz, axial
package stress gram established that the depth of the layer con-
taining more than 50% martensite was 5 mm; the axial stresses to become negative and remain ments have been made in the search for inten-
total depth of the hard layer was 7.5 mm. Figure compressive until cooling was complete. Figure sively cooling quenchants, such as aqueous so-
4 shows curves (1) of the change in temperature 8 shows calculated residual stresses compared lutions of salts with special admixtures
on the surface of a specimen, (2) at a depth of 5 with experimental data. One can consider that preventing surface corrosion of quenched parts.
mm, and (3) at a depth of 7.5 mm. the results of calculations agree well with ex- Optimal concentrations of aqueous polymer so-
Figure 7 shows circumferential stresses at perimental data. lutions have been found, which exhibit the in-
characteristic points versus time. At the begin- The most important results used for develop- verse solubility. Such solutions provide inten-
ning of cooling, the stresses on the surface were ing the intensive methods of quenching are dis- sive and uniform cooling of parts to be
tensile because of the thermal reduction of the cussed next. It has been stated that with the quenched.
material. From 0.15 s on the surface martensite quench-intensity increase, the residual stresses Circular residual stresses on the surface of cy-
transformation started, and an abrupt extension grow at first, then lower, with further increase in lindrical bodies versus generalized Biot number
of the steel resulted, causing circumferential and Biot number and change over to compression are presented in Fig. 9. Intensive quenching
stresses. Intensive quenching can be reached methods suppose that after quenching on the sur-
through the application of jet cooling, directed
1100 streams of water, and aqueous solutions provid-
2 25% ing high critical heat flux densities. In the afore- 400
0%
1000
mentioned conditions, the boiling film is reduced
to the minimum or eliminated. The basic pro- 200
3 cesses are nucleate boiling and one-phase con-
100%
900 75% vection heat transfer. In this case, it is important 0
50%
to know conditions of the transfer from nucleate
e, MPa
800 boiling to one-phase convection heat transfer. 200
On the basis of this approach, a lot of experi-
400
T, K
700
0%
600
600 1300
10%
0.2 s 0s 800
500 30% 400
50% 1100
70% 1s 200
400
1 90% 900 2s 0
z, MPa
300
101
T, K
1 10 102 103 104 3s

, s 200
700
Fig. 4 Continuous cooling transformation diagram of 400
cooling austenite transformation for steel 45 4s
500 600
400
1200
r, MPa
300 200
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
1000 0.5
Radius of the specimen, R, m 0
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
0.4 Fig. 6 Temperature field at the time of cooling of the R, m
800
specimen
u
Fig. 8 Residual stresses in the specimen. Solid lines re-
600 0.3 late to calculations; dotted lines relate to exper-
u, y, MPa
iment.
T, 106/K
y 400
400 0.2 3
200 400
4
200 2
300
0
Residual stress ( ), MPa
200
, MPa
0 0 200 100
1
0
200 2 400
100
400 600 200

300 500 700 900 1100
300
T, K 800
102 101 1 10 102 103 400
Isochronous curves exhibiting dependencies of , s 0 2.5 5 7.5 10 12.5
Fig. 5
mechanical properties on temperature. Dashed Biot number
lines relate to handbook data; solid lines relate to data used Fig. 7 Circumferential stresses for cooling of the spec-
in experiments. ru, ultimate strength; ry, yield strength; T, imen. 1, on the surface; 2, at 5 mm depth; 3, at Fig. 9 Circular residual stresses versus generalized Biot
coefficient of linear expansion 7.5 mm depth; 4, at the axis number
face residual compressive stresses always appear However, economically it is more suitable to use The results of computations after final heating
(when Biv 4.5). Working within the range simple carbon steels and water or an aqueous and cooling to the temperature of the environ-
where Biv 4.5, one can avoid cracking. Note solution as cooling agent. It is necessary to ment are considered in this article.
that between the generalized Biot number and achieve cooling methods that would provide suf- Considering the dependence of physical and
usual Biot number there is a link, which follows: ficient strength and the absence of quench mechanical properties on temperature and time
cracks. For example, this is possible with water and in accordance with plastic flow theory with
S quenching under pressure and in aqueous solu- kinematic strengthening, temperature fields and
Biv K
k V tions of polymers, and so forth. Before starting stress distribution have been calculated.
the manufacture of industrial equipment for re- Solution of the thermal conductivity and ther-
where Biv is generalized Biot number, is heat- alizing such procedures, it is useful to carry out moplasticity problems gives a complete picture
transfer coefficient, k is heat conductivity, K is numerical analysis of different cooling schedules of the change in temperature field. The thermo-
Kondratiev form coefficient, S is surface, and V and to select the most effective of them. This kinetic diagram for the transformation of super-
is volume. analysis is possible on the basis of calculating cooled austenite (Ref 7) allows one to follow the
Some results of calculation of current surface the thermal and stress-strain state during hard- kinetics of phase transformation and to deter-
stresses of parts to be quenched are shown in Fig. ening. mine the depth of hard layer. By evaluating the
10. During quenching, great compressive Now consider developing a procedure of stress-strain state of an article during hardening
stresses appear on the surface, and then they dis- strength calculation for engineering components using some failure criterion, it is possible to as-
appear. Maximum compressive surface stresses during hardening, taking account of phenomena sess the probability of hardening crack forma-
correspond to the optimal depth of hard layer. accompanying steel structural transformations tion.
The technology to fix these stresses has been de- (Ref 7). On the basis of building a mathematical A generalized Pisarenko-Lebedev criterion
veloped. Figure 10 shows current surface model for the hardening process, a suggestion is (Ref 3) was selected as a failure criterion during
stresses and inside the part at slow and intensive made about the dependence of steel thermal, hardening:
cooling. As one can see from Fig. 10, the higher physical, and mechanical properties on tempera-
the cooling intensity, the greater the value of ture and cooling time, since temperature and vri (1 v)r1 rf (Eq 1)
maximum compression stresses on the surface of time govern the structural state of steel during
hard parts. cooling. A complete set of equations for calcu- where v rf /rc, rf is ultimate tensile strength,
lating the thermal stress state during hardening rc is ultimate compressive strength, r1 is great-
includes a nonlinear thermal conductivity equa- est principal stress, and ri is stress intensity. For
Possibility of Predicting Hardening tion and equations for plastic flow theory; these an ideal plastic material v 1, and for an ideal
Cracks are given in Ref 8 to 10 and 12. elastic material v 0.
All computational works have been made as The use of the general criterion (Eq 1) applied
It is well known that intensification of quench- follows: to hardening requires the existence of experi-
ing processes improves the hardening character- mental dependencies of ultimate tensile strength
istics and strength of steel articles, but in this 1. Computation of thermal and stress-strain and ultimate compressive strength on tempera-
way it is possible for quench cracks to form. In state during heating to the austenite formation ture and time rf rf(T,s) and rc rc(T,s) in
order to avoid damage to articles during hard- temperature. accordance with the thermokinetic diagram of
ening, in practice one often uses oil cooling to- 2. Final results of heating to the austenite for- supercooled austenite transformation. Equation
gether with alloy steels. Small stresses arise dur- mation temperature (distortions and changes 1, confirmed by numerous experiments of dif-
ing oil cooling, and alloying promotes sufficient in sizes of parts) were initial data for cooling ferent workers, is one of the most widely used
tempering capacity under these conditions. process. criteria in strength calculations for machine and
structural components since its use requires the
minimum experimental data (only rf and rc).
1200 1200
In order to prove the selected mathematical
model, the hardening process of an inner bearing
T0 T0 ring 7515/02 made of steel ShKh15 (AISI
52100) (Fig. 11) with water cooling was studied.
TS The points on the surface indicated in Fig. 11
800 800 show places where the boundary conditions of
the first kind have been set. Thermocouples were
Ms
Temperature, (T ), K
TS
Stress ( ), MPa
400 400

0 0 102
10
0 0 9
S 8
11
12 7
6
75 13 5
400 31 4
S 14 3
15 2
1
16
800
101 1 10 102 102 101 1 10 87
Fig. 11 Drawing of bearing ring 7515/02. Thermocou-
Fig. 10 Current stresses versus time ple location is indicated by dots.
melted to the surface of the ring, which allowed ternative method has great prospects, since water A record of changes in temperature at differ-
boundary conditions of the first kind to be fixed and aqueous solutions of polymers of optimal ent points on the surface and the moment of fail-
at many points. The temperature values at inter- concentration exhibit inverse solubility, are in- ure was made for hardening an actual model. Ten
mediary points between thermocouples were expensive, do not cause or support fire, and al- specimens were tested, and all of them were
found through the extrapolation of temperature low the required values of Biot numbers to be heated to 1100 K, then cooled in water at 300 K.
values obtained through experiment. The exper- reached, so that high compression stresses al- As a result of this quenching, cracks of the upper
imental and extrapolated values of temperatures ways form on the surface to be quenched. In turn, flange occurred in the radial direction (Fig. 12).
are given in Table 1. the compression stresses on the surface of Average time from the start of cooling to the
However, methods of calculating temperature quenched parts make their service life longer. moment of failure was 4.3. s.
fields and stresses in relation to intensive steel- Therefore, the control and determination of the Experimental data (see Table 1) were used as
quenching methods with regard to their specifics residual stresses on quenched metal surfaces is boundary conditions in calculating the first-kind
need to be developed. As known, the bearing of great practical value. thermal conductivity problem. Since it is known
industry generally uses slowly cooling oils as that for the selected brand of steel through-hard-
quenchants. These oils are very expensive and ening is specified over the entire cross section of
can cause fire, but reduce distortion and prevent the bearing ringthat is, only martensitic trans-
the formation of quench cracks. However, there formation occursthen the dependence of ma-
is an alternative way: intensive cooling, which terial characteristics on time may be ignored and
must gain acceptance in the bearing industry. only the dependence of thermal, physical, and
Numerous experiments confirm this idea. The al- mechanical properties of steel ShKh15 on tem-
perature is used in the calculation. In view of the
absence of an experimental temperature depen-
dence of ultimate compressive strength for steel
ShKh15 during hardening, some simplification
was used. It was assumed that in the austenitic
(a) (d) condition and partly in the region of martensite
transformation (510480 K) the material is ide-
ally plastic (v 1). Below 440 K, when more
than 50% of martensite forms in supercooled
austenite, the material becomes ideally brittle (v
0). In the range of 480 to 440 K it was as-
sumed that the dependence of value v on tem-
perature is linear. Consequently:

1 with T 480 K
v (T 440)/40 with 480 K T 440 K
(b) (e) 0 with T 440 K
(Eq 2)
In the course of the calculation at each time

step, in addition to solving the thermal conduc-
tivity and thermoplasticity problems, the cooling
path was compared with the thermokinetic dia-
gram in order to determine the structural com-
position of the material, and a field for the save
factor was plotted:
k(xi,s)

(c) (f) rf
with re 0, re vri (1 v)r1
re
Fig. 13 Structural composition and shape of the bear-
with re 0
ing ring profile during hardening. (a) Initial
(cold and heated) states. (b) After 0.8 s. (c) 1.6 s. (d) 2.2 s. In addition to Fig. 13, it should be noted that
(e) 3.2 s. (f) 4 s. The unshaded area is austenite, single
Bearing ring failure in the case of water in the case of very intensive quenching, a thin
Fig. 12 hatching indicates the area up to 50% martensite, and cross
martensite layer is formed simultaneously on the
quenching. Sizes of ring are given in Fig. 11. hatching indicates the area of failure
Table 1 Results of thermometry during water quenching for a bearing ring 7515/02
Temperature for thermocouple No., K
s, s 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
0.1 1023 1048 1098 1100 1100 1120 1100 1098 1090 1088 1080 1090 1100 1097 1074 1055
0.2 773 856 1008 1010 1000 993 1026 1020 1025 1038 1044 1051 1053 1050 1022 880
0.3 623 714 874 819 773 848 898 897 902 925 937 951 953 949 898 740
0.5 498 573 699 644 598 673 723 727 748 769 794 791 775 723 694 585
1.0 413 446 508 497 488 503 513 515 518 543 619 700 674 385 513 455
2.0 393 399 415 422 418 428 413 415 417 428 447 469 664 445 413 401
5.0 378 380 385 390 395 393 388 383 384 389 393 397 394 387 382 380
10.0 348 350 354 365 375 373 361 350 352 363 369 376 371 355 352 350
entire surface independently of the thickness of of the lower part of bearing ring, whereas the diameter of the lower part increases slightly
the bearing ring, which is the main cause of the central and upper parts are essentially austenite, since the main mass of austenite has been con-
reduction of bearing ring distortion. Thus, very which continues to contract (Fig. 13c). Marten- verted to martensite. In the inner layers of the
slow and very intensive cooling reduced the dis- site formation in the most highly cooled layers upper part of the bearing ring there is rapid for-
tortion of bearing rings. The advantages of in- at first causes a reduction in tensile stresses and mation of martensite, which leads to a site that
tensive cooling are as follows: the increase in the then a transition to compressive stresses. As long predominantly tends to contract thermally. This
hardenability of steel parts and improvement of as cooling continues, martensite transformation leads to a marked increase in circumferential ten-
mechanical properties of the material. proceeds within the cross section, which in- sile stresses. At 4 s in the area denoted in Fig.
Thus, as a result of this calculation a complete creases the diameter of both the lower and cen- 13(f) by cross hatching circumferential tensile
picture was obtained for the change in thermal, tral part of the bearing ring. This is the reason stresses reach values exceeding the ultimate
structural, stress-strain, and strength states of the for the change in taper to an opposite sign (Fig. strength. Typical changes in values of rl, ri, re,
bearing ring during hardening. 13d). There is some concavity of the inner sur- and rf with the elapse of time in the center of
In order to build up the shape of the profile face adjacent to the hottest part of the bearing this region are shown in Fig. 14. In the time in-
from the original cross section (cold condition), ring, which is explained by further contraction terval of 0 to 1.8 s according to Eq 2, the equiv-
values of calculated displacements for points on of austenite predominant in the area. In the most alent stress re coincides with stress intensity of
the contour were plotted for capacity at a mag- highly cooled areas, martensite formation is es- ri, and starting from 3.2 s the value of re coin-
nification of 30 times. Figure 13(a) shows the sentially finished, and therefore with a reduction cides with the principal stress rl, which is the
profile of the bearing ring cut section in the cold in temperature martensite starts to contract, circumferential stress (according to Eq 1, the lat-
condition and heated to the austenitization tem- whereas in the inner layers there is expansion ter stress at 4 s leads to material failure, that is,
perature (1130 K); Fig. 13(b) shows the bearing due to rapid formation of martensite. This leads the cross-hatched area in Fig. 13f).
ring profile after the start of cooling. This instant to a reduction in compressive stresses in the cold Fields for isotherms, axial and circumferential
corresponds to the set of phase transformation in parts of the bearing ring and to the appearance stresses, and also the reserve strength factor
the coldest part of the bearing ring (lower of tensile stresses. (only the most critical zones are shown in Fig.
flange). In the time interval of 0 to 0.8 s, there The bearing ring profile at 3.2 s is shown in 13d) at 4 s are shown in Fig. 15. At this point
is only thermal contraction of supercooled aus- Fig. 13(e) when the martensite transformation the calculation was stopped since the reason, lo-
tenite. Nonuniformity of temperature field con- covers the whole area. With further cooling, the cation, and instant of failure have been revealed.
nected with more rapid cooling of thin parts of By comparing experimental and calculated
the bearing ring leads to very large thermal data it is possible to note that cracks form in the
stresses exceeding even the yield point and to a bearing ring due to tensile circumferential
change in cross-section configuration, in partic- stresses since they spread into planes of meri-
ular to the occurrence of bearing ring tapering at 400 K dianal cross sections. The location and time of
the inner surface. Mainly tension stresses act crack development coincide satisfactorily. It
over the entire surface of the bearing ring. Start- 100
100 should be noted that chipping at the upper sur-
ing from 0.8 s in the most highly cooled parts of 0 face of the flange in the region of a crack (see
the bearing ring, martensite forms which, having Fig. 12) indicates that the crack propagates from
100
a greater specific volume, leads to material ex- 440 within (from the area shown in Fig. 13f), branch-
pansion. This involves an increase in diameter ing at the surface.
0 Thus, the method proposed can be used to pre-
420 dict hardening cracks. This is very important for
200 intensive steel-quenching methods. As known,
400 100 MPa in the case of intensive steel-quenching methods,
400
0
quenched compression stresses appear on the
f
surface of parts. Therefore, during intensive
300 quenching, quench cracks can appear inside the
(a) (b) part, which are invisible but can result in disrup-
tions. The above-mentioned forecast is espe-
200
200 cially important for quenching of bearing rings,
i 1.5 which are hardened thoroughly through inten-
e 100 1 sive cooling. On the other hand, in the work pro-
100 cess quenchants change their quenching prop-
0
200 erties. In this condition it is important to predict
, MPa
100
100
the formation of quench cracks by criterion of
0 Pisarenko-Lebedev discussed previously.
1.5
l
100 Predicting the Deformation of

0 Bearing Rings during Hardening
1.5
200 100 Machining allowances should be made with
consideration of the real deformation of com-
200 MPa 1.5 ponents during heat treatment. In plant practice,
300 the change in the dimensions of components dur-
0 1 2 3 4 (c) (d) ing hardening is evaluated on the basis of ex-
, s perimental-statistical data. Theoretical compu-
Fig. 15 Fields of isolines for temperature (a), axial (b),
Nature of change in principal stress rl, stress and circumferential (c) stresses, and also the
tation of the change in dimensions makes it
Fig. 14 possible to predict machining allowances and to
intensity rI, equivalent stress re, and ultimate reserve strength factor (d) at the instant for the start of failure
tensile strength rf with passage of time of a bearing ring 7515/02 ascertain basic factors having the most signifi-
cant effect on the deformation of components. the basis of the computation of its temperature martensitic transformation had just begun. Ac-
Determination of the character of the effect of and stress-strain states during heating and cool- cording to computations, the final position of the
these factors on current and residual strains is a ing carried out in conformity with the method generatrix corresponded to curve 5 (Fig. 19). The
very critical and complex problem. The method cited in Ref 3 and 6 (Fig. 18, 19). After the bear- transformation of austenite into martensite in the
used for these investigations is inadequately de- ing ring had been immersed in oil for 30 s, its upper portion of the bearing ring effected a
veloped. temperature in the most cooled section had been change in the slope of the generatrix.
Below are some results of the computation of lowered to 510 K; this corresponded to the outset The mean-statistical values of the displace-
the strain state during the hardening of an inter- of the austenite-to-martensite transformation ments of the generatrix of the inner surface in
nal bearing ring made of steel ShKh15 (AISI (curve 3 in Fig. 19). From the start of cooling to the case of broad and narrow bearing ring ends,
52100). The heating temperature of the bearing this moment, the specific volume of the steel de- which were determined experimentally, are
ring for quenching was 1130 K, while cooling
creased, and the generatrix was displaced to the given by the points in Fig. 19. It is apparent that
was carried out in MZM-16 quenching oil with
right owing to the temperature drop. The posi- the computed and experimental displacement
a temperature of 330 K. Reference data on the
thermal and physical properties of steel ShKh15 tion of the generatrix after 39 s of immersion in values are very close: the maximum deviation of
as a function of temperature and boundary con- the oil corresponded to curve 4 (Fig. 19). At this the computed from the experimental data was 3
ditions of the third kind were used to solve the moment, the basic mass of the austenite had al- lm (1%). This suggests the correct selection of
heat-conductivity problem. The dependence of ready been transformed into martensite in the the mathematical model of the process. In addi-
the heat-transfer coefficient in the MZM-16 oil lower section of the bearing ring, as a result of tion to the comparison of numerical and exper-
on the surface temperature of the specimen is which the specific volume of the steel, and, cor- imental data relating to distortions, the compar-
shown in Fig. 16 (Ref 13). respondingly, even the diameter of the lower ison has been also made for values of residual
Heat-transfer coefficients presented in Fig. 16 section of the bearing ring increased. In the up- stresses in cylinder-shaped samples treated by
have been determined through solving inverse per portion of the bearing ring, however, the induction heating and cooled in water. Reference
problems using selection of electric models (Ref
13), which is one of many possible methods of
solving inverse problems (regularization method
2500 100
and others).
E(102), E (101), u, y, MPa
It is known that the stress-strain state of a solid

subjected to hardening is dependent to a signifi- 2000 50
cant degree not only on the temperature gradient
E
in this solid, but also on the variation of the spe- 1500 0
T, 106/K
cific volume of structural components during Ultimate
strength ,u
phase transformations, as well as on the kinetics
1000 Yield strength ,y 50
of the variation in mechanical properties, for ex-
ample, the tendency to exhibit superplasticity E
(Ref 14). The temperature dependence of the me- 500 100
chanical properties of steel ShKh15 with allow-
ance for the effect of superplasticity, which 0 0
arises during cooling at the time of the most vig- 0 400 600 800 1000 1200 0 400 600 800 1000 1200
orous formation of martensite, was used to com- T, K T, K
pute the thermoelastoplastic stress-strain state (a) (b)
(Fig. 17a). The change in the specific volume
Fig. 17 Variation in strength properties, elastic modulus E, hardening modulus E (a), and coefficient of linear expan-
during the transformation of austenite into mar- sion T of steel ShKh15 (AISI 52100) with allowance for increase in specific volume as austenite transforms
tensite was accounted for by the temperature de- into martensite (b), as functions of temperature
pendence of the coefficient of linear expansion
(Fig. 17b). Values of the physical and mechan-
ical properties of steel ShKh15 were taken from
Ref 15. 260
The complete picture of the shape variation of 120 140
420 460
a bearing ring during hardening was obtained on 220
100
180
6000 160
380
5000 140
, W/m2 K
4000 180
80 100
3000
200 340
2000 60
220
1000
240 280
0 60 260 300 20
0 500 1000 1500
T sf,K (a) (b) (c) (d)
Fig. 16 Dependence of heat-transfer coefficient in Fig. 18 Lines of equal displacements (indicated near curves in lm) in section of bearing ring. (a) and (b) Current radial
MZM-16 oil on surface temperature of speci- displacements after 30 and 39 s, respectively, of immersion in oil. (c) and (d) Residual radial and axial
men displacements, respectively
5 presents this comparison, which shows that value of residual stresses and reduce the distortion of the methods adopted for the heating and
there is good agreement between such numerical tion to the minimum. cooling of rings of different steels with different
calculations and experimental data. This is true for both one-step and two-step sectional configurations, diameter, and so forth.
For mathematical modeling of the quenching quenching. In the first case, the martensite shell The above-stated problem is especially im-
process, different intensities of cooling within is formed uniformly on the whole surface at the portant for the bearing industry because in the
the martensite range were set by giving different time of immersion of the part into the quenchant. case of big distortions of bearing rings, workers
values of coefficients of heat transfer , selected In the second case, a more uniform martensite have to perform a lot of turning and polishing.
with regard to water flow rate, sprayer, mixing, shell is formed at the second stage of two-step Upon removal of the thin surface layer from the
vibration, and so forth. There are formulas al- cooling. surface of the quenched bearing rings, residual
lowing determination of heat-transfer coeffi- Figure 20 shows that at slow cooling (a) the stresses in the bearing rings are redistributed,
cients (Ref 14) for all these cases. phase transformation starts in the thin section of which can have negative results; that is, it can
It appears that at very intensive cooling within the part and due to change in specific volume of reduce the service life of finished bearing rings.
the martensite range, the conicity of the rings martensite results in the increase in distortion. In Moreover, the surface layer of bearing rings
being quenched is the least, while at moderate the case of intensive cooling Fig. 20(b), a thin is the hardest. The removal of this surface layer
intensity of cooling it is higher (Table 2). Bear- shell of the martensite phase forms uniformly on also reduces the quality of a bearing, to say noth-
ing rings are cooled in two steps. The first step the whole surface, it fixes the shape of the part, ing of the extremely high costs for the turning
is mineral-oil cooling until the minimum conic- and thus the distortion is lower. treatment of bearing rings. Therefore, the idea
ity is achieved. At the second step, different Thus, the method of numerical modeling of regarding the reduction of distortions of bearing
cooling rates determined by the technology are the hardening process can be used to predict rings by the intensification of quench cooling is
applied. A hard shell is formed over the entire hardening distortions and to designate machin- very appealing.
surface almost simultaneously at the maximum ing allowances for bearing rings, as well as to It should be also added that instead of mineral
cooling rate, and therefore the conicity is at the define the laws governing deformation as a func- oils, at the first stage of cooling one can use
minimum, since this shell hampers further de-
formation of the part through phase changes in-
side the rings. Table 2 Residual stresses and bearing ring conicity depending on the cooling conditions
Maximum compression and tensile residual within the martensite range at the second stage of cooling
stresses observed over the ring cross section are
given in Table 2. While quenching in circulating Stresses, MPa
water and in a shower, the residual stresses are Method of cooling r22 r33 rI Conicity
low since the condition BiV 4.5 is satisfied In air 90130 130165 70 0.044
(Fig. 9). The decrease in conicity at intensive In oil 110130 150180 180 0.045
In circulating water 75200 180230 240 0.051
shower cooling can be explained by simultane- Under intensive shower 70130 100180 170 0.005
ous formation, over the whole surface, of the
martensite layer that fixes the ring initial form.
Under moderate cooling rates, a thin cross sec-
tion of the ring is cooled at first in which mar-
tensite transformations begin that cause dis-
placements and coning formation. By adjusting
the intensity of cooling, one can control the
35
30
1 3 4 5 2
25
Height of ring, Z, mm
20
15
10
0
0 0.1 0.2 0.3 0.4 0.5
Displacement, U, mm
Fig. 19 Displacements of generatrix of inner surface of

bearing ring during hardening (lines denote
computed data, and points experimental data). 1, after turn-
ing on lathe; 2, after heating to quenching temperature; 3 (a) (b)
and 4, after 30 and 39 s, respectively, of immersion in oil;
5, after quenching Fig. 20 Phases distribution at slow and intensive cooling. 1, austenite; 2 and 5, martensite
To test the computer package, the authors

190 5 1 solved a problem for which theoretical results
700 could be compared to experimental data (Ref
Carburized layer 3 17). In addition, FEM was used to solve the non-
linear unsteady-state heat-conduction problem
225 500 and thermoplasticity problem, both of which
Tsurface
2
203.8 88.2 1 have an analytical solution. The comparison
2 3 demonstrated a good agreement of analytical and
300
numeric data (Ref 6).
To analyze the first cooling stage, the authors
100 selected first-kind boundary conditions that were
0 2 4 6 8 determined experimentally (see Fig. 21), and for
342.4 , min the second cooling stage they prescribed third-
(a) (b) kind boundary conditions.
During cooling in MS-20 oil, temperature gra-
Fig. 21 (a) Sizes of the carburized bushing. (b) Surface temperature in the carburized bushing during oil quenching
at 137 C dient over the bushing section was insignificant.
This was due to high thermal conductivity of
steel. The upper and lower bushing flanges cool
of cooling rate through the phase-transformation down slightly faster than the wall, and, in addi-
aqueous polymer solutions exhibiting properties
range improves the distribution and lowers the tion, the coefficient of thermal contraction for
of inverse solubility. At the second cooling
level of residual stresses in the as-quenched carburized steel (a) is higher than for noncarbur-
stage, rings are simultaneously washed and in-
components (Ref 16). ized. These two factors result in appreciable dis-
tensively cooled in accordance with results pre-
sented in Table 2. Thus, two-stage quenching of The carburized bushing (Fig. 21) made of tortions. During the first cooling stage, the bush-
bearing rings with the use of intensive cooling steel 14KhGSN2MA was heated in an electric ing is barrel-shaped. The distribution of axial
at the second stage results in the reduction of furnace to 850 C and cooled initially for 20 s in and circumferential stresses at the end of stage
distortion. It is very important to solve the prob- air and then in hot MS-20 oil at an optimal tem- one is illustrated in Fig. 22.
lem of the optimization of steel part heat treat- perature of 100 to 140 C. On reaching a mean In the second stage, the carburized layer be-
ment processes for two-stage quenching. temperature of 220 C in the carburized part, the gins to undergo martensitic transformations.
first-stage cooling process was interrupted and During further cooling, the carburized layer ex-
the part was transferred to another cooling me- pands because of the greater specific volume of
Study of Thermal Stresses Formed dium for cold treatment. Use of the optimal MS- martensite compared to austenite, and the bush-
in Carburized Steel Products due to 20 oil temperature led to better bushing rounding crown sags in.
High-Rate Quenching ness (Ref 16). The difference of the maximum and the min-
The second stage of multistage quenching imum radii of the bushing inner diameter of cyl-
(when the carburized layer undergoes martensite inder generatrix, Dr, as a function of second-
Quenching of a carburized bushing with two-
transformations) can be carried out at a slow stage heat-transfer coefficient is shown in Table
step cooling was studied as a thermoplasticity
cooling rate (in air) or using higher-rate cooling, 3. Increase in the second-stage cooling rate re-
problem using FEM. Instantaneous and residual
for example, in a circulating fluid. It was noted duces residual strain, which is in agreement with
stresses were analyzed in the component at vari-
in Ref 16 that high-rate cooling through the mar- earlier research (Ref 15).
ous cooling rates. It was shown that an increase
tensitic range raises mechanical properties and The minimum value of Dr versus maximum
reduces the risk of quenching cracks. For this cooling rate at the second stage can be inter-
0 reason, it was of practical and theoretical interest preted as follows. During high-rate cooling, the
to reveal the effect of second-stage high-rate martensitic transformations are completed al-
cooling on the strain and stress patterns in the most simultaneously over the entire carburized
100 hardened part. layer surface. The compliance of the surface ma-
0 MPa The simulation study of the quenching process terial in noncarburized steel also drops sharply
was based on a set of equations describing the due to reduced temperature. Thus the surface
distribution of temperatures, stresses, and layers of the part form a rigid skin that resists
strains, including a nonlinear unsteady-state any further deformation of the bushing which
heat-conduction equation and plastic flow equa- could result from cooling of the core section.
0 MPa
tions, as well as initial and boundary conditions. The difference Dr can be diminished by in-
It is assumed in the CCT diagram of super- creasing heat transfer at the first cooling stage.
cooled austenite that all thermal and mechanical An increase of the first-stage cooling rate will
characteristics of material are functions of tem- raise the temperature gradient and enhance bush-
perature and time. The iterative approach to solving deformation. Since deformation at stage two
ing such heat-conduction and high-temperature is opposite to stage one, the increase in the first-
200 plasticity problems on the basis of the FEM was
100 reported elsewhere (Ref 9, 15).
200 0
100
0 Solution of heat-conduction and thermoplas-
ticity problems gives a good picture of the var- Table 3 Difference of the radii with respect
0
iations of temperature, stress, and strain distri- to heat-transfer coefficient at the second
100 butions in the product during quenching. The stage
variations of the temperature field in combina- Heat transfer coefficient Difference of radius
(a) (b)
tion with a known CCT diagram of supercooled , W/(m2 K) Dr, m
Distribution of axial (a) and circumferential (b)

austenite can be used to follow the kinetics of 30 0.165
Fig. 22 phase transformations and to describe the 1000 0.162
stresses in the carburized bushing at the end of
the first cooling stage. Deformation is enlarged by 25. quenched layer depth (Ref 15). 5000 0.155

3
TC T
Generalization of Computational An,iUln,i Rii
stage deformation can reduce residual strain. As x

can be seen in Fig. 22, the first cooling stage and Experimental Results for TC TO n1 i1
results in low bushing stresses. This suggests

2
Heating and Cooling of Bodies of RV
that high-rate cooling at this stage does not lead exp ln,i
2
FoV (Eq 3)
Various Configurations R2i
to material failure.
Note that the distribution of residual stresses
in the part is the same for second-stage heat- where TC is the temperature of medium, TO is
For bodies of a simple shape (plate, ball, cyl- the initial temperature of the body, and T is the
transfer coefficient of 5000 and 300 W/(m2 K) inder, parallelepiped), solving the heating prob-
as for 1000 W/(m2 K). Figure 23 shows temperature of the body at a point (x, y, z) and
lem for the medium with constant temperature at time s. An,i (An,1, An,2, An,3), which are initial
that the highest compressive stresses occur in the (boundary condition of third kind) one can state:
carburized layer. A comparison of results ob- thermal amplitudes depending on the initial tem-
tained at various second-stage heat-transfer co- perature distribution and shape of the part.
efficients demonstrates that high-rate heat trans- U[ln,i (xi /Ri)] is a function regarding the change
fer at this cooling stage does not increase in temperature on coordinates (x x1, y x2,
residual tensile stresses and even slightly re-
Stage I Stage II z x3); R1, R2, and R3 are the sizes of the part;
duces them. A similar favorable distribution of RV is a generalized size of the part equal to the
residual stresses during high-rate cooling was part volume (V) divided by the surface area (S);
observed in multistage quenching of ShKh15
ln[Tc T(,)]
=0 that is, RV V/S (for infinite plate RV R, for
steel bearing rings (Ref 17). infinite cylinder RV 12R, for ball RV 13R);
Thus it is possible to improve the efficiency ln(Tc T1) =R ln,i are roots of characteristic equations, ordered
of carburized bushing cooling process (com- 180
as:
pared to oil quenching) by raising the cooling ln(Tc T2)
l1,i l2,i l3,i ln,i
rate without risk of a quenching crack. Similar 180
computations can be done for heat treatment of 1 2
rolled steel and tubing. More information about 0 FoV (s/R2V) is the Fourier number, where the
intensive quenching is given in Ref 14, 18, Function ln(TC T) versus time in the cooling
determining size of the part is taken as a gener-
and 19.
Fig. 24 alized size.
process
According to the above inequality, each fol-
lowing term of Eq 3, when FoV grows, will be
0 negligibly small in comparison with the previous
0
0 MPa 350 MPa term, and the sum of all roots will have very little
difference from the value of the first term. There-
50 350
fore, beginning from a definite value of Fourier
100 350 300 number Fo1, the use of the first term of Eq 3,
550 100 can be restricted, that is:
850 900
250 3
50 1050 TC T
An,iUln,i Rii
950 200 x
1150
50 150 TC TO i1
1000 1200
100

2
400 1250 RV
exp ln,i
2
FoV
1050 1300 R2i
1350 when FoV Fo1 (Eq 4)
1400
1100 50
350 1450
Beginning from this value of Fo1, the time func-
1150 tion of (TC T) is described by a simple ex-
ponent.
Applying the logarithm to Eq 4, one obtains:
100 3
TC T
200
1n
TC TO

i1
2
s
R
xi RV
300 1n A1,iU ln,i ln,i 2
(Eq 5)
1150 150 Ri Ri V
350 1450
1100 1400
400 200 Thus, the time function of 1n(TC T) on the
1050 1350 graph is a straight line (see Fig. 24). In the case
50 250
1000 1300 of lengthy cooling, the temperature at all points
950 1250 150 will be the same and equal to TC (stationary
850 1200 state).
550 Therefore, the entire cooling process can be
1150
100 1050 divided into three stages. The first stage of irreg-
900
ular conditions is characterized by the fact that
50 0 100 the biggest role is played by the initial tempera-
ture distribution. Any irregularity in the initial
0 distribution is reflected in the temperature distri-
(a) (b)
bution at next moments of time. The dependence
Distribution of axial (a) and circumferential (b) residual stresses in the carburized bushing at the end of the between (TC T) and s is described by Eq 4.
Fig. 23
second cooling stage at 1000 W/m2 K. Deformation is enlarged by 25. The second stage is called regular conditions.
The dependence between (TC T) and s is de- called heating factor or cooling factor. Equation heating. They can be used for calculation of the
scribed by simple exponent (Fig. 24). The tem- 5 is followed by equality: cooling process. In this case, one should use di-
perature distribution inside the body is described mensionless formula: H (T1 TC)/(TO
3 2
TC) instead of H (TC T1)/(TC TO). The
l1,t
by function U and does not depend on the initial RV a
m (Eq 7)
temperature distribution, because the value of i1 Ri R2V results of theoretical and experimental investi-
A1,i is a factor; that is, it determines the scale and gations for determination of the heating and
not the essence of the phenomenon. The third Therefore, the value of m is determined by ther- cooling time for bodies of various configuration
stage corresponds to the stationary state (FoV mal and physical factors, size, and shape of the have been generalized by author of Ref 10 and
), when the temperature in all points of the body. On the basis of Eq 6 and boundary con- presented in the form of Eq 10 convenient for
body equals the temperature of environment. dition of the third kind, for body of any shape calculations.
Figure 24 shows graphs of 1n(TC T) as a one can state the following equation, which is Theory of the regular heat conditions de-
function of s for the surface and core of the body. true at the stage of regular conditions of cooling scribes the process of cooling for bodies of dif-
As is seen from Fig. 24, at the stage of regular (heating): ferent shapes. The cooling time of such bodies
conditions these graphs are in the form of can be evaluated on the basis of the dimension-
straight lines. If the temperature at the initial dT less dependence:
time is equal in all the points and equal to TO, ccV S(TC Tp) ccV(TC T)m
(Eq 8)
ds
then the curves must originate from one point.
2.095 3.867Bi
Since the surface layers are cooled more kBiV
From this it follows that: FoVKn 1nh
quickly than central ones, the curve 1n(TC T) V
f(s) at the first stage for the central layer has S TC TP a

the convexity facing the ordinate and for the sur- m W 2 Kn (Eq 9)
ccV TC T kRV RV or
face layers facing the abscissa (Fig. 24). The
above-mentioned analysis is correct for bodies
where:
TO TC K
of any shape.
2.095 3.867Bi
kBiV
t 1n
It has been shown (Ref 20) that any heating
V T TC aKn
(cooling) problem for bodies of any shape can Kn BiVW RVW (Eq 10)
be reduced to heating (cooling) problem for a k
body of simple shape (plate, cylinder, ball) using
the criterion of approximate similarity. is a Kondratiev number, W (TC TP)/(TC where t is cooling time, FoV is generalized Fou-
The tangent of the angle of the line inclination T) is a parametrical criterion characterizing rier number, BiV is generalized Biot number, k
(for the stage of regular conditions) will be: the unevenness of the temperature field, since it 1, 2, 3corresponding to bodies of plate,
is equal to the superfluous temperature of the cylindrical, and spherical shape, K is Kondratiev
tg(180 w) tgw
part surface divided by the volume-averaged su- form factor, Kn is Kondratiev number, a is ther-
1n(TC T1) 1n(TC T2)
perfluous temperature. If the temperature distri- mal diffusivity coefficient, TO is initial tempera-
m const bution in the body is even (BiV 0), then W ture of heated part, TC is temperature of the me-
s2 s1
1. The greater the temperature unevenness, the dium, and T is current temperature.
lesser W. When W 0, the unevenness of the According to patented technology, the process
The constant m is the rate of the time function temperature distribution is the greatest (BiV of intensive cooling should be performed in such
of the logarithm of the superfluous temperature,
, and TP TC). Thus, the Kondratiev number a way that the martensite transformations begin
that is: characterizes not only the unevenness of the tem- uniformly at the entire surface simultaneously,
perature field, but also the intensity of interaction forming high compressive stresses which, as was
[1n(TC T)] of the part surface with the environment. noted, achieve the maximum at a definite mo-
m (Eq 6)
s The theory of regular conditions is based ment of time. This moment of time can be de-
mainly on Eq 6; that is, the ratio of the local termined by Eq 10. For bodies with different
It is the same for every point of the body and cooling (heating) rate and superfluous tempera- configurations, temperatures are found at points
also for volume average temperature T and is ture is a constant value: the furthest from the surface that correspond to
the maximum compressive stresses at the sur-

dT 1 face. Using these data and Eq 10, one can easily
m const
1.0 ds TC T calculate time of achieving maximum compres-
sive stresses without making expensive and
3 With regard to Eq 9, the important function of complicated calculations. The proposed ap-
1 the theory of regular conditions is determined: proach is also correct for bodies of complex con-
0.8
Kondratiev number, Kn
figurations.
3 2
l1,i
2 mR2V RV The results of the above-stated generalization
Kn WBiV
a i1 Ri have served as a base for the creation of new
0.6 technology of steel part heat treatment. The es-
Therefore, the Kn criterion is determined by the sence of the new technology is that alloy steel
shape of the part and characteristic numbers, parts are quenched in conditions of intensive
0.4 l1,1, l1,2, l1,3, and therefore also by Biot crite- heat transfer until the moment when the maxi-
rion, since the characteristic numbers are func- mum compressive stresses on the surface of the
tions of Biot criteria. part to be cooled are reached, and then intensive
It has been proved that curves Kn f(BiV) cooling is interrupted and the part is kept at con-
0.2 for geometrically absolutely different bodiesa stant temperature of martensite start until full
0 4 8 12 16
Biot number, BiV
ball, parallelepiped, cylinder, and so onare so transformation of the overcooled austenite in
close to each other that all of them can be re- central layers of the part (Ref 21). The moment
Universal approximate function Kn f(BiV). 1, placed by one averaged curve (see Fig. 25). The when maximum compressive stresses on the sur-
Fig. 25 aforementioned formulas are true for the steel face to be quenched are reached is determined
for plate; 2, for ball; 3, for cylinder
by generalized Eq 10. There is a database for the In the theory of regular heat conditions (Ref For an infinite cylinder:
determination of Kondratiev form coefficient K 23) the characteristic size is determined as value
and Kondratiev number Kn, which are present in L that includes three parameters S, V, and K, that R2 2 2
BiV Bi
Eq 10. The values of Kondratiev number Kn for is: k 5.783 R 5.783
simple bodies can be calculated by formulas pre-
sented in Table 4. The Kondratiev form coeffi- S since
L K
cient characterizes the shape and size of parts to V R2 S 2
be quenched, and Kn characterizes the cooling K and
capacity of the quenchant. There is an average 5.783 V R
where K is the Kondratiev form coefficient and
thermal conductivity a in the formula, which in this case the generalized Biot criterion is: For a ball:
characterizes thermal and physical properties of
the material. Thermal conductivity a of the ma- S R2 4pR2 3
terial is a linear function of temperature. For this BiV L K BiV 2 Bi
k k V k p2 4/3pR2 p
reason, one can use the average value of the ther-
mal conductivity and it will not add big errors This approach allowed establishment of the Since for the ball:
to calculations. universal link between the Kondratiev number
Knowing the temperature in the core of the R2 V 3
Kn, criterion of temperature field nonsmoothness K and
part when the compressive stresses are optimal W, and generalized Biot number BiV: p2 S R
on the surface, one can calculate the time of in-
tensive cooling by the generalized Eq 10. The Thus, there are the following links for bodies that
Kn WBiV
generalized data given previously can be used are plate-shaped, cylinder-shaped, and ball-
for the computerization of industrial processes. shaped correspondingly:
This universal relation remains true for bodies of
Link between Usual and Generalized Biot arbitrary shape and when the range of the gen-
Criteria. In analytical solutions, a usual Biot BiV 0.405Bi BiV 0.346Bi BiV 0.304Bi
eralized Biot number BiV is from 0 to
, the
number generally is used, which is, as known, Kondratiev number Kn changes from 0 to 1, and
dimensionless (Ref 22): the criterion of temperature field nonsmoothness Discussion of Results
W changes from 1 down to 0 (see Table 5). The
physical sense of the criterion of temperature The studies made have shown that the values
Bi R of the current and residual stresses can be con-
k field nonsmoothness W follows from the for-
mula: trolled by many methods. Making intensive and
where is the heat-transfer coefficient, c is the uniform quenching, one can reach high com-
heat conductivity of the material, and R is the T sf Tm
pression stresses on the surface (see Fig. 9). It is
radius of a cylinder, ball, or half thickness of a W (Eq 11) very important that selecting heat-transfer coef-
TV Tm
plate. ficient, one can reach even null residual stresses
It is noted in Ref 22 that the characteristic size on the surface, if necessary. Thus, increasing the
where Tsf is the average temperature on the sur- heat-transfer coefficient beginning from BiV
can be also determined as the volume of the body face of the body, Tm is the temperature of quen-
divided by its surface area, that is: 4.5, one can obtain high residual compression
chant, and TV is the volume-average tempera- stresses on the surface. These residual compres-
ture. sion stresses are compensated by tensile stresses
V On the other side, the criterion of temperature
RV in the core. It should be noted that residual com-
S field nonsmoothness W for bodies of arbitrary pression stresses increase the service life of the
shape can be expressed through the generalized steel parts quenched.
where V is the volume of the body (m3) and S is Biot number (BiV) as follows (Ref 22, 23): It should be noted that intensive cooling has
the surface area (m2). the effect of not only the formation of high com-
1 pression stresses on the surface of parts
W (Eq 12)
(Bi 2V 1.437BiV 1)0.5 quenched, but also the simultaneous reduction of
distortion of quenched parts. The reduction of
Table 4 Functions for the analytical calcu- The analysis of Eq 11 and 12 shows that when distortions and prevention of the formation of the
lation of Kondratiev form factor BiV 0, then W 1 and Tsf TV that is, the quench cracks are due to the formation of hard
Kondratiev form temperature field on the section of a body to be martensite layer on all the surface, which fixes
Body shape factor, K cooled is even. If BiV
, then W 0 and Tsf the initial sizes of parts and forms high com-
Infinite plate, thickness of 2R 4R2 Tm, that is, the temperature of the body to be pressive residual stresses on the surface of
p2 cooled becomes equal to the temperature of en- quenched parts. In addition, intensive heat trans-
vironment at the time of its immersing into the fer in the area of martensite transformations re-
Infinite cylinder R2
quenchant. sults in the improvement of mechanical proper-
5.783
Since the above-stated dimensionless number ties of the material and makes the service life of
Ball R2 is very important in practice, let us find the link the parts longer. The generalization of the above-
p2 between the generalized Biot number [Bi (/ mentioned is given in Ref 24.
Finite plate, dimensions of sizes: 1 k)R] and generalized Biot number [BiV (/ It is especially important to discuss the pro-
L1, L2, L3 k)K(S/V)].
cess of two-stage quenching. This article consid-
1 1 1
p 2 2 2
2
For an infinite plate it is as follows:
L1 L2 L3 ers the two-stage cooling process. During the
Cube L2 first stage, one arranges slow cooling in oils or
S 4R2 1 4 aqueous polymer solutions until the time of min-
3p2 BiV K 2 Bi
k V k p2 R p imum distortions is reached, and then, at the sec-
Finite cylinder, height: Z 1
ond stage, one arranges intensive cooling and
5.783 p2 since K (4R2 /p2), where in this case R is the washing of the parts. Intensive cooling at the sec-
2
R2 Z half thickness of the plate. ond stage fixes the attained minimum distortion
Table 5 Links between generalized Biot number (BiV), criterion of temperature field nonsmoothness (W), and Kondratiev number (Kn)
BiV W Kn BiV W Kn BiV W Kn
0.00 1.00000 0.00000 2.40 0.31298 0.75115 6.70 0.13421 0.89920
0.01 0.99284 0.00993 2.45 0.30827 0.75525 6.80 0.13244 0.90059
0.02 0.98574 0.01971 2.50 0.30369 0.75923 6.90 0.13072 0.90194
0.04 0.97171 0.03887 2.55 0.29925 0.76309 7.00 0.12904 0.90325
0.06 0.95791 0.05747 2.60 0.29493 0.76682 7.20 0.12580 0.90578
0.08 0.94434 0.07555 2.65 0.29074 0.77045 7.40 0.12273 0.90817
0.10 0.93101 0.09310 2.70 0.28665 0.77396 7.60 0.11980 0.91045
0.12 0.91792 0.11015 2.75 0.28268 0.77737 7.80 0.11700 0.91262
0.14 0.90507 0.12671 2.80 0.27882 0.78069 8.00 0.11434 0.91468
0.16 0.89246 0.14279 2.85 0.27505 0.78390 8.50 0.10817 0.91945
0.18 0.88009 0.15842 2.90 0.27139 0.78703 9.00 0.10263 0.92371
0.20 0.86796 0.17359 2.95 0.26782 0.79007 9.50 0.09764 0.92754
0.22 0.85607 0.18833 3.00 0.26434 0.79302 10.0 0.09310 0.93101
0.24 0.84441 0.20266 3.05 0.26095 0.79590 10.5 0.08897 0.93416
0.26 0.83298 0.21657 3.10 0.25764 0.79870 11.0 0.08519 0.93704
0.28 0.82178 0.23010 3.15 0.25442 0.80142 11.5 0.08171 0.93967
0.30 0.81081 0.24324 3.20 0.25127 0.80407 12.0 0.07851 0.94210
0.32 0.80007 0.25602 3.25 0.24820 0.80665 12.5 0.07555 0.94434
0.34 0.78954 0.26844 3.30 0.24520 0.80917 13.0 0.07280 0.94641
0.36 0.77923 0.28052 3.35 0.24228 0.81162 13.5 0.07025 0.94833
0.38 0.76913 0.29227 3.40 0.23942 0.81402 14.0 0.06787 0.95012
0.40 0.75923 0.30369 3.45 0.23662 0.81635 14.5 0.06564 0.95179
0.42 0.74954 0.31481 3.50 0.23389 0.81863 15.0 0.06356 0.95336
0.44 0.74005 0.32562 3.55 0.23122 0.82085 15.5 0.06160 0.95482
0.46 0.73076 0.33615 3.60 0.22862 0.82302 16.0 0.05976 0.95620
0.48 0.72166 0.34640 3.65 0.22606 0.82513 16.5 0.05803 0.95749
0.50 0.71274 0.35637 3.70 0.22357 0.82720 17.0 0.05639 0.95871
0.52 0.70401 0.36608 3.75 0.22113 0.82922 17.5 0.05485 0.95986
0.54 0.69545 0.37555 3.80 0.21874 0.83120 18.0 0.05339 0.96095
0.56 0.68708 0.38476 3.85 0.21640 0.83313 18.5 0.05200 0.96198
0.58 0.67887 0.39374 3.90 0.21411 0.83501 19.0 0.05068 0.96296
0.60 0.67082 0.40249 3.95 0.21186 0.83686 19.5 0.04943 0.96389
0.62 0.66294 0.41103 4.00 0.20967 0.83866 20.0 0.04824 0.96478
0.64 0.65522 0.41934 4.05 0.20751 0.84043 21.0 0.04602 0.96642
0.66 0.64766 0.42745 4.10 0.20540 0.84216 22.0 0.04400 0.96792
0.68 0.16109 0.87796 4.15 0.20334 0.84385 23.0 0.04214 0.96929
0.70 0.15981 0.87898 4.20 0.20131 0.84551 24.0 0.04044 0.97055
0.72 0.15855 0.87998 4.25 0.19932 0.84713 25.0 0.03887 0.97171
0.74 0.15732 0.88096 4.30 0.19738 0.84872 26.0 0.03741 0.97278
0.76 0.15609 0.88193 4.35 0.19547 0.85027 27.0 0.03607 0.97377
0.78 0.15489 0.88289 4.40 0.19359 0.85180 28.0 0.03481 0.97470
0.80 0.15371 0.88383 4.45 0.19175 0.85329 29.0 0.03364 0.97556
0.82 0.15254 0.88475 4.50 0.18995 0.85476 30.0 0.03255 0.97636
0.84 0.15140 0.88566 4.55 0.18817 0.85619 35.0 0.02799 0.97970
0.86 0.15026 0.88656 4.60 0.18644 0.85760 40.0 0.02456 0.98221
0.88 0.14915 0.88744 4.65 0.18473 0.85898 45.0 0.02187 0.98417
0.90 0.14805 0.88831 4.70 0.18305 0.86034 50.0 0.01971 0.98574
0.92 0.14590 0.89001 4.75 0.18140 0.86167 60.0 0.01647 0.98810
0.94 0.14382 0.89165 4.80 0.17979 0.86297 70.0 0.01414 0.98979
0.96 0.14179 0.89325 4.85 0.17820 0.86426 80.0 0.01239 0.99106
0.98 0.54484 0.53395 4.90 0.17664 0.86551 100.0 0.00993 0.99284
1.00 0.53940 0.53940 4.95 0.17510 0.86675
0.00000 1.00000
1.05 0.52622 0.55253 5.00 0.17359 0.86796
1.10 0.51362 0.56498 5.05 0.17211 0.86915
1.15 0.50157 0.57680 5.10 0.17065 0.87032
1.20 0.49003 0.58804 5.15 0.16922 0.87147
1.25 0.47898 0.59873 5.20 0.16781 0.87260
1.30 0.46839 0.60891 5.25 0.16642 0.87371 of parts to be quenched, since the formation of
1.35 0.45823 0.61861 5.30 0.16506 0.87480 martensite shell is observed on the entire surface,
1.40 0.44848 0.62787 5.35 0.16371 0.87587
1.45 0.43911 0.63672 5.40 0.16239 0.87692
which fixes the shape of the part to be quenched.
1.50 0.43011 0.64517 5.45 0.16109 0.87796 In addition to the method considered for the
1.55 0.42146 0.65326 5.50 0.15981 0.87898 first stage, one can also arrange very intensive
1.60 0.41312 0.66100 5.55 0.15855 0.87998 cooling until nucleate boiling finishes or maxi-
1.65 0.40510 0.66842 5.60 0.15732 0.88096
1.70 0.39737 0.67553 5.65 0.15609 0.88193
mum compression stresses are reached on the
1.75 0.38992 0.68236 5.70 0.15489 0.88289 surface to be quenched. The latest technology is
1.80 0.38273 0.68892 5.75 0.15371 0.88383 being patented in the Ukraine and is the subject
1.85 0.37580 0.69523 5.80 0.15254 0.88475 of a separate discussion.
1.90 0.36910 0.70129 5.85 0.15140 0.88566
1.95 0.36263 0.70712 5.90 0.15026 0.88656
It should also be noted that the technology de-
2.00 0.35637 0.71274 5.95 0.14915 0.88744 veloped is furnished with good mathematical
2.05 0.35032 0.71816 6.00 0.14805 0.88831 support and corresponding software, allowing
2.10 0.34447 0.72338 6.10 0.14590 0.89001 simulation of complicated technological pro-
2.15 0.33880 0.72841 6.20 0.14382 0.89165
2.20 0.33331 0.73328 6.30 0.14179 0.89325
cesses and selection of optimal ways of quench
2.25 0.32799 0.73797 6.40 0.13981 0.89480 cooling.
2.30 0.32283 0.74251 6.50 0.13789 0.89631 The software package developed during 1975
2.35 0.31783 0.74690 6.60 0.13603 0.89778 through 1982 won good reputation with regard
to the agreement between results of computa- rough-condition temperature for steel with AlN critical amount of niobium in steel is approxi-
tions and results of experiments. The good depends on temperature of its dissolution. Heat- mately 0.02%.
agreement between results of computations and ing to 1000 C (1830 F) considerably reduces Thus, one of the advantages of microalloying
results of experiments is explained by physically the amount of AlN, and heating to 1150 C (2100 is the possibility of preserving fine-grain austen-
grounded selection of all parameters included in F) results in its full dissolution. Maintaining the ite in cases when steel, for some reason (great
the mathematical models and describing the temperature below that of full dissolution for a weight of parts, danger of distortion, and so on),
quenching process. long time causes the coagulation of isolations undergoes slow heating, and the strict require-
Thus, intensive steel-quenching methods have resulting in the growth of austenite grain. There ments for the preservation of the shape or ge-
great prospects; therefore the approach and cal- exists a critical amount of AlN isolation; when ometry of the part do not allow use of other
culation methods developed can be used for the this amount is exceeded, the effect of stopping methods of influence on the austenite structure.
implementation of intensive steel-quenching is reduced. The other advantage of this method is that it al-
methods in practice. In practice it is important to The presence of AlN particles affects mainly lows regulation of the initial sizes of the austen-
select proper boundary conditions. In practice the rough-condition temperature for austenite ite grain with the use of the selection of the com-
cooling properties of quenchants are determined plex of alloy elements of the compound, which
and in no other way is a factor contributing to
by tests of specimens, and on this basis heat- can serve as barriers for the growth of austenite
getting a fine grain of the austenite at phase grain in steel heating at a wide range of tem-
transfer coefficients are determined. Unfortu- transformation c. The optimal amount of peratures.
nately, one cannot always use these results when aluminum added to steel, in the case of deoxi- The determinative role of austenite grain size
the shapes and sizes of steel parts are changed, dizing not reducing the rough-condition tem- on the formation of steel properties in intensive
that is, at the transition from specimen to real perature below 975 C (1790 F), should not ex- thermal hardening is well known. One of the
parts (Ref 14). ceed 0.03 to 0.04% (Ref 27, 28). most systematic studies has been described in
The authors have suggested another approach Making steel alloys with carbide-forming ele- Ref 41 and 42. This study considers the role of
to the selection of boundary conditions based on ments allows an increase in the rough-condition the kinetic factor in the formation of the austen-
the conception of self-regulated thermal process. temperature when carbides formed have suffi- ite grain. The experimental data received by this
The new approach lies in that it is possible to ciently high dissolution temperature in the aus- approach are very convenient for the selection of
forecast the character of changes in the tempera- tenite. Compounds sufficiently resistant to dis- optimal temperature-time parameters of steel
ture of parts that are to be quenched, in the pro- solution are vanadium carbides (VC, in austenite formation in the case of intensive heat
cess of nucleate boiling, and also to determine particular, V4C2) and vanadium nitride (VN). Its treatment, since they describe the dependence of
the time of this process (Ref 1, 14, 25). effect on the susceptibility of steel to austenite the size of austenite grain on the temperature and
Previous sections of this article discuss ways grain growth is considered in Ref 26 and 29 to heating rate.
to reduce distortion and eliminate cracking dur- 31. The temperature of full dissolution for VC Figure 26 shows medium diameter of the aus-
ing intensive heating and cooling of parts to be in 30X2 steel is 1000 C (1832 F); for vanadium tenite grain in steels 40 (Ref 42) and
quenched. This is highly important for techno- nitride it is approximately 1100 C (2010 F). 40Kh2NGSM versus temperature and heating
logical processes, since the intensive heating fol- The addition of vanadium allows slowing of aus- rate. Each of these steels exhibits different sus-
lowed by intensive cooling results in the im- tenite grain growth of the steel in the case of ceptibility of the austenite grain to the growth
provement of mechanical properties of steels and heating to 980 C (1800 F) (Ref 31). Besides, while the heating rate increases. In the case of
improvement of the material plasticity. its critical amount is about 0.06%. The effect of the same percentage of carbon, they are also
The main regularities of intensive steel heat- characterized by different susceptibility to aus-
zirconium on the susceptibility to austenite grain
ing are presented in extensive work (Ref 26), and tenite grain growth, which is connected with not
growth has been studied in Ref 32 to 36. only the degree of alloying, but also initial struc-
they can be briefly described:
The effect of slowing down due to adding ti- ture states before heating. The initial sizes of
When the heating rate increases, the critical tanium and zirconium to steel is connected with austenite grains for both carbon steel 40 (Ref 42)
steel points Ac1 and Ac3 grow continuously producing carbides, nitrides, and carbonitrides. and complex-alloy construction steel
proportionally to V 1/3
H , and the growth rate for The critical amounts of titanium and zirconium, 40Kh2NGSM are the same in the case of ferrite-
steel is significantly higher than for the iron. which have great effect on the growth of austen- pearlite structure when heating to c phase
The higher the heating rate the lower the size ite grains, can be varied from 0.03 to 0.08%, transformation temperatures. However, as long
of the austenite grain. By further quenching depending on the dispersion value of producing as the heating temperature increases, the differ-
the austenite of such structure, one can reach phases containing titanium in steels with various ence in the susceptibility to austenite grain
fine-grain martensite or high-dispersion prod- chemical composition. Adding titanium and zir- growth is observed in these steels, and it is
ucts of intermediary dissociation. conium to steel allows increase of the rough-con- greater when the heating rate is lower, which is
In the intensive heating the austenite grain is dition temperature to 1150 to 1200 C (2100 connected with not only kinetic characteristics
less susceptible to the growth when the tem- 2200 F) (Ref 26). of the austenite formation process for steels with
perature increases and during tempering at In practice, great interest is paid to steels al- different alloy composition in the case of inten-
such temperature. loyed by niobium (Ref 33, 3639), which is con- sive heating, but also with barrier effect of barely
nected with not only great resistance to over- soluble carbides with the movement of the lead-
The problem of obtaining the fine grain at ing edge of the austenite grain in the alloy steel.
heating has been usually solved by the selection heating in comparison with steel alloyed with
titanium, zirconium, or aluminum (Ref 30), but Figure 27 shows various techniques of steel
of steel alloying elements. As a rule, natural fine- quenching, at which it is possible to prevent
grain steels are those deoxidized by aluminum. also with their good strengthening as a result of
quench-crack formation (Ref 43); intensive heat-
Adding aluminum, which forms aluminum ni- dispersion hardening and their high resistance to
ing has the effect of finer austenite grain, which
tride (AlN) and does not bind the carbon, does tempering (Ref 31). improves the mechanical properties of the ma-
not reduce the steel-strengthening capacity at Since the carbides and nitrides of niobium dis- terial. Intensive cooling in the martensite range
quenching. Heat treatment of steel deoxidized by solve worse in austenite than vanadium carbides is connected with additional strengthening of the
aluminum affects the dispersion values, distri- and nitrides, steels with niobium have higher material, which can be explained as follows.
bution, and the amount of AlN, and through this, rough-condition temperatures. Their high resis- Martensite plates form in supercooled austenite,
it affects the susceptibility of the austenite grain tance to overheating is due to the fact that nio- which is in an extremely high compressive stress
to growth. The temperature above which heating bium, in contrast to vanadium, slows down the state. The martensite has a larger specific volume
results in the growth of austenite grain is called process of recrystallization and increases its en- than the austenite. As a result, the austenite un-
the rough-condition temperature (Ref 26). The ergy of activation by two times (Ref 40). The dergoes extensive plastic deformation due to
0.03 0.06 0.08

2
3
1 1
0.06
0.02 0.04
Size (d), mm
Size (d), mm
Size (d), mm
2
1
0.04
3 2
0.01 0.02
3
0.02
4 4
4
0 0 0
800 900 1000 750 850 950 1050 1150 1250 750 900 1000 1100 1200
Temperature (T ), C Temperature (T ), C Temperature (T ), C
(a) (b) (c)
Fig. 26 Size of austenite grain versus temperature and heating rate. (a) Steel 40, the initial state is condition after burning (Ref 42). 1, 2, 3, and 4 are heating rates 0.03, 8, 200, and
1000 /s correspondingly. (b) Steel 40Kh2NgSM, the initial state is condition after burning at 650 C (1200 F) for 3 h and distortion of 50%. 1, without distortion, heating
rate of 2 /s; 2, 3, and 4 are 2, 25, 200 /s correspondingly. (c) Steel 35Kh2NgSM, the initial state is condition after intensive tempering and distortion of 50%, 1, 2, 3, and 4 are at
heating rates of 0.01, 2, 5, and 200 /s correspondingly.
microhammering by the martensite (this pro-

cess can be compared to low-temperature ther-
momechanical processing, which also strength-
Slow (or fast or ens the material being processed) (Ref 44, 45).
intensive) + slow A high dislocation density is produced, and,
Fast + fast Slow + intensive Intensive + intensive because of the very rapid cooling, the disloca-
tions are uniformly frozen in the quenched sur-
A1 face layer. This is what is believed to produce
the additional strengthening or superstrengthen-
Austenite ing. Very rapid quenching (intensive quenching)
Temperature
temperature in the martensite range and the formation of very

range high surface compressive stresses are prerequi-
sites. The superstrengthening effect produced by
intensive quenching has been used to enhance
Ms the performance of punches and dies made of
Martensite high-speed steel (Fig. 28, 29) and of small dies
temperature made of bearing steel.
range
The R6M5 punches are used at high loads in
Mf
automatic forming machines. Conventionally
quenched tools have relatively short lives, and
Susceptible Quench cracking productivity suffers when machines are shut
to quench cracking prevented down for tool changes. Punch life increased 2.5
Fig. 27 Scheme of several steel quench methods and their effect on the steels susceptibility to quench cracking times when tools were intensively quenched in
water solutions of chlorides. Special additives
were used to prevent corrosion. Performance
data for the punches are given in Table 6.
95
Dies for growing artificial diamonds must sur-
55 vive repeated cycles of high pressure and high
0.3
temperature. Intensive quenching of high-speed
R60 steel dies increased their service life by 1.5
times. These dies are intended for growing arti-
ficial diamonds and work with heavy cyclical
15 8.5 temperature and pressure loads. Despite this, the
45 service life of these dies under such loads be-
came greater by 1.5 to 2 times.
It should be noted that these dies were
quenched in water solutions of CaCl2 with spe-
cial admixtures preventing the corrosion on the
1:15 0.3
surface. The intensification took place due to the
Fig. 28 Punch made of the molybdenum high-speed
steel R6M5 AISI M20. Punch length, 126 mm; Die made out of high-speed steel quenched in- destruction of the steam film. Instead of aqueous
Fig. 29
maximum diameter, 15.3 mm tensively solutions of salts, one can use aqueous solutions
Table 6 Tool life of punches in automatic Thermal and Physical Fundamentals tirely dependent on the composition of the steel
forming machine (machine capacity: 175 of Making High-Strength Materials alloys available. As a practical matter, it may be
strokes/min) difficult to obtain steel alloys having a suitable
composition. Accordingly, in practice, the hard-
Durability(a), No. of strokes
In 1967, it was established that a high cooling ening method should be adapted to those steel
Test Existing Intensive Increase in rate within the martensite range results in not
No. technology technology tool life(b)
alloys that are available.
only the creation of high compressive surface Another known steel-quenching method is de-
1 6,460 15,600 2.4
2 6,670 16,500 2.5
stresses, but also the additional strengthening of scribed in Ref 59. This steel-quenching method
3 3,200 5,300 1.65 material (Ref 56). These investigations are dis- involves shell hardening, which results in uni-
4 4,000 12,075 3.0 cussed in more detail in Ref 14, 18, 57, and 58. form quenching of the entire surface to a certain
5 6,620 8,110 1.2 A rapid induction heating and intensive cooling
6 2,890 10,500 3.6
depth until reaching high hardness using inten-
7 2,340 7,300 3.1
of steel parts where the depth of the quenched sive jet cooling. In this method, examples of the
surface layer is controlled, which increases the application of medium carbon 1045 steel are
(a) Number of strokes until a tool wore out. (b) Increase in tool life is service life, is described in (Ref 2). Steel given. One advantage of this method is the op-
due to intensive quenching quenched using this method generally has low portunity to increase the service life of steel parts
depth of hardened layer and fine grain with ar- using standard carbon steels, rather than alloy
rested growth of austenite grains at high tem- steels where the depth of the hardened surface
peratures. Due to limited hardenability, com- layer is controlled by the composition of the
pressive stresses appear on the surface of such steel. As discussed in publications (Ref 60), no
of polymers of optimal concentration exhibiting steel parts and the fine grain provides high consideration in this method is given to the pa-
inverse solubility (Ref 19). During cooling in strength. In addition to providing an increase in rameters necessary to optimize the depth of the
aqueous solutions of polymers exhibiting in- the service life of such heat treated steel parts, hardened surface layer, and the following cor-
verse solubility, a polymer film forms on the sur- there is an opportunity to replace relatively ex- relation that the depth of the hardened surface
face of parts, and thus the duration of the full- pensive high-alloy steels with less expensive layer should be changed for steel parts having
film boiling is reduced to the minimum. The lower-alloy steels and replace fire and environ- different configurations and sizes should be
mechanism of the heat transfer in these condi- mentally dangerous quench oils with water and added:
tions has been studied insufficiently and requires water-based quenching solutions. However, the
the further experimental studies. In still another depth of hardness in steel parts hardened using Dd
application (Fig. 30), the service life of dies this method is controlled by the chemical com- constant (Eq 13)
made of ShKh15 (AISI 52100) bearing steel D
position of the steel parts being hardened.
doubled when the tools were intensively Steel quenching where the depth of the hard-
quenched. where Dd is the optimal hardened depth, and D
ened surface layer is controlled in accordance
Intensive heating and cooling have been is the cross-sectional thickness. This correlation
with this method is made in water jets. The ser-
widely used in practice. Some benefits of this was developed in Ref 60 and is considered to
vice life of such heat treated steel parts where
technology are given in Ref 42 and 45 to 55 and the depth of the hardened surface layer is con- provide a foundation for the quenching appara-
in Table 7. This technique, on the whole, pro- trolled generally increases when compared to oil tus and method for hardening steel parts. In ad-
duces good results at numerical experiments and quenching. However, it is often necessary to se- dition, this method does not have any criteria
design of technological conditions. lect or create an appropriate steel alloy for use allowing the calculation of the optimal cooling
in steel parts having different configurations and solution quench flow, and the technological pro-
sizes to obtain the effect of high surface com- cess is not optimized.
pressive stresses. Another steel-quenching method is described
In addition, with this quenching method no in Ref 61. In this method, alloy steel parts are
criteria exist for calculating the rate of water flow quenched in such a manner that a hard surface
for steel parts having different configurations layer of a given depth and an arbitrarily hard
and/or sizes. Thus, a relatively high water flow matrix are obtained. For given steel grades,
rate is normally chosen for all steel parts that is ranges for hardening regimes are found by ex-
not always justified, results in unnecessary en- perimentation to increase the service life of such
ergy expenses, and makes the industrial process steel parts. One example of this method involves
15 50 more complicated than necessary. While the an alloy steel specimen containing 0.65 to 0.85%
high service life of steel parts where the depth C, 0.23 to 0.32% Si, 0.4 to 0.9% Mn, approxi-
of the hardened surface layer is controlled is con- mately 2% Ni, 0.5 to 1.5% Cr, and 0.1to 0.2%
sidered an advantage for certain steel grades, Mo that is heated to 800 to 850 C and spray
other steel grades can also achieve the effect of quenched with water fed under a 0.4 to 0.6 MPa
increased strength (as compared with steel pressure for 0.2 to 0.8 s. The steel specimen is
quenching methods known before) and high re- then isothermally heated at 150 to 250 C for 10
50
sidual compressive surface stresses if the heat to 50 min. This method considers only high-car-
Fig. 30 Die made out of AISI 52100 steel quenched treating parameters are properly controlled. The bon alloy steels. In this method, the depth of the
intensively heat treating method described previously is en- hard surface layer is not optimal for steel parts
Table 7 Production applications of intensive-quenched limited-hardenability steels

New steel
Applications Former steel and process and process Advantages
Gears, modulus, m 5 to 8 mm 18 KhGT 58 (55PP) No carburizing; steel and part costs decrease; durability increases
Large-modulus gears, m 10 to 14 mm 12 KhN3A ShKh4 No carburizing, durability increases by 2; steel cost decreases by 1.5
Truck leaf springs 60 C2KhG 45C Weight decreases by 1520%; durability increases by 3
Rings and races of bearings thicker than 12 mm ShKh15CG and 20Kh2N4A ShKh4 No sudden brittle fracture in service; durability increases by 2; high production rate
having different configurations and/or sizes and, perature field becomes equal at the cross sections In many cases, intensive heating to the aus-
because of this, steel strengthening is not con- of steel parts, intensive cooling should be con- tenite temperature is equivalent to slow
sistently achieved in all parts. In addition, this tinued to room temperature or below (Ref 49). growth of austenite grains, which is reached
method does not consider the optimization of the That is why it is very important to elaborate a due to optimal addition of alloys such as ti-
quenchant solution circulation rate. quenching apparatus for hardening a multitude tanium, zirconium, and vanadium.
Reference 62 describes a method of intensive of alloy steel parts used in, for example, metal- Intensive heating and intensive cooling im-
quenching steel parts using intensive jet cooling. lurgy, machine construction, bearing and tool in- prove mechanical properties of the material
The author points out that the method of inten- dustry, quenching of carburized parts, and parts and reduce the distortion of quenched parts,
sive cooling is applied to superficial hardening heated by induction, salt bath, the usual oven which is unexpected and explained by the for-
of small parts (shafts, axles, pins, etc.) made of heating, and vacuum furnaces. At the end of the mation of the uniform martensite shell on the
alloy steels. The author underlines that under the quench, some steel parts will benefit from iso- entire surface of the part.
condition of very intensive cooling, the defor- thermal cooling in the air (self-tempering). This The history of the development of intensive
mation reduction is observed. process method results in additional strengthen- heat steel treatment methods has been dis-
Other authors (Ref 63) came to the conclusion ing of steel parts, and maximum compressive cussed, and the recent achievements in this
that it is possible to provide a method for pro- surface stresses are achieved, resulting in in- field, which have been patented in many
ducing high-strength steel by heat treatment creased service life of the steel parts. Relatively countries, have been considered.
within a short time. Steel having the composition expensive alloy and high-alloy steels can be re-
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Macherauch, The Influence of Heat Transfer lov, On Principally New Ways of Increasing Steel, No. 11293336 A, Japanese Patent,
on the Development of Stresses, Residual Metal Part Service Life, Doklady Akademii 26 Oct 1999, Filed: 14 April 1998
Stresses, and Distortions in Martensitically Nauk USSR, Vol 194 (No. 6), 1987, p 1364 64. S.G. Povsten, N.I. Kobasko, A.A. Moska-
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Effect of Cryogenic Cooling of Residual

Stresses, Structure, and Substructure
Ioan Alexandru and Vasile Bulancea, Technical University of Iasi, Romania
CRYOGENIC COOLING represents a useful cryogenic cooling has been especially effective materials constitutes a major factor for the
and efficient means that, if correctly applied for some parts (gear wheels, ball bearings, ele- proper design, building, and operating of the ma-
within the secondary heat treatment technologic ments of injection pumps) and tools (for plastic chine parts and tools since these stresses strongly
flow, may cause marked increases in the service deformation, for measuring and verifying) that influence the aforementioned service properties.
properties of steel parts and tools. The main pur- require high values for certain service properties The residual stresses are those stresses that per-
pose of cryogenic cooling is the continuation of such as hardness, wear resistance, fatigue life, sist in a solid body as a consequence of the treat-
the transformation to martensite of as much un- and durability, as well as dimensional and shape ment and mechanical manufacturing in the ab-
dercooled retained austenite as possible. After stability. For most of the alloy and plain-carbon sence of any external or internal loads (forces,
applying the cryogenic cooling to some steels steels, cryogenic cooling must be immediately momenta, or accelerations). These stresses make
with martensite finish (Mf) critical temperature applied after classical quenching, while for high- up a force system that in normal conditions
below 273 K, such as plain-carbon steel with speed steels (HSS) it may be applied also after reaches local and global balance, which is thus
more than 0.6% C as well as alloy and high-alloy a previous tempering, particularly in the case of hardly detectable, unless this balance is altered.
steels, important improvements were noticed in complex shape tools. According to the volume size at which they
some of the service properties, including dura- The typical thermal range for cryogenic cool- manifest themselves, three types of residual
bility, wear resistance, fatigue life, hardness, and ing lies between 203 and 153 K. It should be stresses are noticeable: first-order stress (mac-
so on. To ascribe these marked improvements noted that cryogenic cooling cannot represent a roscopic), second-order stresses (microscopic),
exclusively to the increase of martensite and the final heat treatment since subsequent tempering and third-order stresses (ultramicroscopic), as il-
corresponding decrease of retained austenite heat treatment is absolutely necessary to achieve lustrated in Fig. 3. Quantitatively, the cumulated
would be rather simplistic and nonscientific. thermal stress relieving, fine carbide precipita- residual stress in any point can be expressed as:
Recent research carried out at the Gh. Asa- tion, and more favorable respreading of alloying
chi Technical University of Jassy, Romania elements between martensite and austenite.
(Ref 13) and the Technologic Institute of Loui- The possible heat treatment variants both with rR r1rIIrII (Eq 1)
siana has emphasized that besides the continua- and without cryogenic cooling applied to high-
tion of the transformation of austenite to marten- speed steels are shown in Fig. 2, where the heat- The residual stress state is typically determined
site, cryogenic cooling also provides: ing temperatures range between 1493 and 1563 by the first-, second-, and third-order stresses
K, the specific cryogenic temperatures are 203, overlapping, as shown in Fig. 4. In a biphase
153, and 77 K, and the tempering temperatures material ( b) the residual stress state is also
A favorable respreading of alloying elements are from 813 to 853. The variants designated by
between martensite and the carbide phases the result of overlapping stresses, but Fig. 5
B and E are classical for high-speed steels and shows an even more complex stress distribution
The precipitation of a large amount of alloy- for plain-carbon and low-alloy steels, respec-
ing carbide elements of very small size (under compared to Fig. 4. The residual stresses induced
tively. The variants A, C, and F are not practi- by cryogenic quenching heat treatments are es-
1 lm) cally applicable, being important only for re-
A favorable redistribution of residual stresses pecially of the second order, being the effect of
search purposes, while the variants E and D are both shape and volume accommodation of mar-
also applicable for plain-carbon and alloy steels,
tensite within the austenite matrix. Conse-
after a suitable adjustment of the temperature.
As shown in Fig. 1, the transformation of aus- quently, as compared to classical quenching, it
Finally, the variants B, G, H, I, K, and M are
tenite to martensite takes place at cryogenic tem- follows that cryogenic cooling causes a decrease
applied mostly to HSS.
peratures both during cooling and during sub- of structural residual stresses, since it reduces the
sequent heating back to the ambient temperature. amount of retained austenite.
The larger the cooling rate (curve B), the more Residual Stresses Induced by In order to trigger the martensitic transfor-
intense the transformation of austenite to mar- Cryogenic Cooling and Their mation it is necessary not only that martensite
tensite, both during isothermal transformation Measuring Methods becomes more stable than austenite, but also that
and during heating back to ambient temperature, a certain critical value is reached for the differ-
due to the thermal stresses induced during cool- Role of Internal Stresses within ence between their corresponding free-energy
ing. Martensitic Transformation at levels. This critical free-energy difference re-
Cryogenic cooling proved to be effective only Cryogenic Temperatures quires austenite to be considerably undercooled,
in those cases where the retained amount of aus- below its thermodynamic equilibrium tempera-
tenite is larger than 10%, at room temperature, The accurate determination of residual ture. Thus, for an austenite undercooling of 200
after classical (ordinary) quenching. Moreover, stresses within the cryogenically cooled metallic K, the above difference reaches 350 cal/at. gr.
Besides the large free-energy difference, the ent specific volumes, and thermal expansion co- as in the proximity of 0 K. Moreover, as illus-
martensitic transformation also requires an ad- efficients of austenite and martensite below the trated in Fig. 6, which refers to an alloy steel
ditional energy source to be available in austen- critical Ms temperature. with Ms 220 K cooled to 4 K, the lower the
ite in order to overcome the energy barrier that All of the theories given in literature agree that cooling rate the larger the amount of transformed
separates the parent and product phases. Such an martensitic transformation occurs in certain ther- martensite.
additional energy source for the initiation of the modynamic conditions by means of the nuclea- A more comprehensive illustration of the ef-
martensitic transformation may be supplied by tion and instant growth of martensite nuclei. fects of stress on martensitic transformation is
two sources: nonuniform thermal gradients and These theories, however, have different points of obtained by comparing the transformation kinet-
mechanical stresses. view regarding the role of the thermal agitation ics for two identical parts, with and without re-
Since in steels with carbon amounts higher of atoms or of the stress fields within the mar- sidual stresses, respectively. Such an example is
than 0.6% the martensitic transformation also tensitic transformation (thermal theoryG.V. given in Fig. 7, for an AISI H12 steel quenched
occurs in the proximity of 0 K, the first of the Kurdjumov, G. Fisher, et al. [Ref 1013]; stress from 1423 K, with Ms lower than 273 K. Thus,
additional energy sources must be excluded. theoryA. Guleav, S. Crussard, et al. [Ref 4, the transformation curve 1 was obtained for an
Therefore, only the second one becomes avail- 14, 15]; mixed theory, Bain distortion assisted ordinary polycrystalline specimen (with first-
able. by dislocationsK.E. Easterling, A.R. Tholen and second-order residual stresses), while curve
Easterling and Tholen (Ref 8) have deter- et al. [Ref 16]). Consequently, it is important to 2 corresponds to a single-crystal powder speci-
mined the total energy exchange, associated with settle whether it is the thermal agitation (oscil- men (with negligible stresses). It is noticeable
the martensitic transformation, under the form: lations) or the stress field that plays the major that martensitic transformation occurred only
role within the martensitic transformation in the within the polycrystalline specimen (curve 1).
Etot Esurf Estrain Echem (Eq 2) cryogenic field. Therefore, it is the stresses and not the thermal
As previously mentioned, martensitic trans- agitation that represent the driving force for mar-
where Esurf is the surface energy at the austenite/ formation also proceeds when the thermal oscil- tensitic transformation at cryogenic tempera-
martensite interface, Estrain is the coherent defor- lations are prevented in the highest degree, such tures.
mation energy caused by the misfit between the
two lattices (that accompanies an elastic defor-
mation), and Echem is the free-energy difference 14531563
that occurs at the formation of the martensite A B C D
Temperature, K
volume (corresponding to a plastic deformation).

Calculations have emphasized that martensite Oil
803843
develops as a result of heterogeneous nucleation
and that this nucleation is enabled by a favorable Air
reaction between two stress fields: one caused by Time, h C1 203 D1
the Bain distortion and the other clustered C2 153 D2
C3 77 D3
around one or more dislocations from the un-
dercooled austenite. Therefore, the dislocations E F G H
are the preferred loci for martensite nucleation,
which occurs between the critical martensite
start (Ms) and Mf temperatures.
Considering the stress state in a polycrystal-
line body, it is obvious that thermal variation is F1 G1 203 203
accompanied by the occurrence of an internal F2 F3 G2
G3
stress field (Ref 9). Such a stress field can be
generated by several sources such as: the tem- I K M
perature gradient on the cross section, the aniso-
tropy of mechanical properties, the different
state of atoms on the grain boundary and inside
the grains, the nonhomogeneity of chemical
composition, the structural imperfections, the
203 203 203 203
different space orientation of crystals, the differ-
Fig. 2 Possible heat treatment variants for high-speed steels. Source: Ref 5
40
B
30
Martensite, %
A
20
A
10 R
B R
0 R
313 273 233 193 153 113 73
Temperature, K
First-order stresses Second-order stresses Third-order stresses
(macrostresses)
Fig. 1 Transformation of austenite to martensite at cry- (microstresses and microstrains)
ogenic temperatures. Curve A, low cooling rate;
curve B, high cooling rate. Source: Ref 4 Fig. 3 Different observation levels of residual stresses. Source: Ref 6
Effect of Cryogenic Cooling of Residual Stresses, Structure, and Substructure / 333
Based on these observations, it appears that Evaluation of Residual Stresses after dynamics of stresses up to atomic group level.
the lower the temperature within the cryogenic Cryogenic Cooling The quantitative determination of residual
field the weaker the residual stresses that actuate stresses is based on Hookes law, which con-
the martensitic transformation, since martensitic There are a multitude of methods for deter- nects stresses to strains, the latter being, in fact,
transformation develops with more and more mining residual stresses, yet x-ray diffractometry the very parameters that are actually measured.
difficulty as the temperature drops closer to Mf. is the only one that allows an estimation of the Considering that every type of stress induces a
certain structural change, this change will be ac-
companied by an alteration of the diffraction pat-
tern, namely an enlargement of the diffraction
x
lines. This enlargement can be determined by:
The formation of crystallites and subgrains
III
with dimensions within the range of 102 to
R III 101 lm
II The elastic distortion of relatively large crys-
tals (1 lm)
R I The formation of stacking faults
mG
x
II Evaluation of First-Order Residual
III Stresses. In face-centered cubic (fcc) materials,
residual-stress-induced faults cause both dis-
y placements and asymmetries of the diffraction
maxima distribution; this effect is less intense in
body-centered cubic (bcc) materials, while in
hexagonal close-packed (hcp) materials, only a
symmetrical enlargement of the above distribu-
tion is observed. In order to evaluate the residual
x stress that has caused a certain strain, the inter-
planar spacings must be determined both for the
undeformed and the deformed material (dohkl and
dhkl, respectively), and the elastic constants
(Youngs modulus, or E, and Poissons ratio, or
t) must be known.
Fig. 4 First-, second-, and third-order residual stresses overlapping in a single-phase material. Source: Ref 6 According to Braggs law, a relationship ex-
ists between the interplanar spacing (d) and the
diffraction angle (h) for the same wavelength
(k). If the spacing is expressed as a function of
the diffraction angle and the relationship is dif-
ferentiated, it follows that:
Retained stress, R
II Dd/d [cot h]Dh (Eq 3)

<Il>
<Il> <>
I
where the left terms (Dd/d) represents the strain.
<> Therefore, the stress (r), expressed by the
x Hookes law, becomes:
Ill
r E(Dd/d) E[cot h]Dh (Eq 4)
Fig. 5 First-, second-, and third-order residual stresses overlapping in a biphase material. Source: Ref 7 where Dh is the angular displacement, caused by
stress on the diffractogram, of the diffraction line
corresponding to the h angle, as compared to the
80 same line obtained with a standard unstressed
specimen.
30 Surface stresses in the direction OX can be
1 60
1
Martensite, %
determined with the relationship:

Martensite, %
20
40
E p
r [cot h0]
10
20
2(1 t) 180
2 2 (2h) (2h)
293 K (Eq 5)
0 0 (sin2w) (sin2w)
300 250 200 150 100 50 0 313 273 233 193 153 113 73
Temperature, K Temperature, K where w is, according to Fig. 8(a), the angle be-
tween the normal of the reflecting planes and the
Fig. 6 Martensitic transformation curves of an alloy Fig. 7 Martensitic transformation in AISI H12 steel,
steel 0.85% C, 14.8% Ni, 2.1% Mn, cooled quenched from 1423 K. Curve 1, ordinary poly-
normal at the surface of the specimen, and h0 is
down to 4 K. Curve 1, slow cooling; curve 2, fast cooling. crystalline specimen; curve 2, single-crystal powder. the diffraction angle for the unstressed specimen.
Source: Ref 4 Source: Ref 4 Equation 5 can also be written under the form:
r K B (Eq 6) However, experimental results have empha- blocks and the presence of second-order residual
sized that the above enlargements are propor- microstresses, then the influences may take a
where tional to tan h and are independent of k. This Gauss (G), a Cauchy (C), or a Lorentz (L) form.
disagreement could be explained if larger aver- For any combination under the form G-G, C-C,
E cot h0 p age crystallite sizes are taken into consideration L-L, G-C, G-L, C-L, the physical width of the
K
2(1 t) 180 (about 104 cm) in order to avoid the enlarge- diffraction line becomes:
(2h)
ment of the diffraction lines and the deformation
B (Eq 7) of each crystallite due to the presence of second- mn
(sin2w) b (Eq 10)
order stresses.
Assuming the existence of second-order resid- M(x)N(x)dx
The value of the coefficient K depends on the ual stresses within the lattice of a stressed mosaic
specimen material and on the characteristic block, then certain close-packed planes should where M and N are any of the distribution func-
wavelength corresponding to h0. For several ma- exist with altered interplanar spacing, under the tions associated with the widths m and n (m is
terials, the calculated K values are given in form dhkl a Da. the physical width of the line caused by the in-
Ref 17. The nonhomogeneity degree of the interplanar fluence of mosaic blocks; n is the physical width
The value of the coefficient B from Eq 7 is spacing, designated by g(gDd/d), can be de- affected by second-order residual microstress).
determined, according to Fig. 8(b), as the slope termined by three methods known as direct Considering a combination of the type L-C,
of the straight line 2hw f(sin2 w). In fact, the method, approximation method, and harmonic the size of the mosaic blocks may be expressed
values of the h angle are measure for o group of analysis method. according to Eq 8, and the nonhomogeneity de-
planes (with the same Miller indices), and a plot The direct method allows evaluation of sec- gree of the interplanar spacing becomes g Dd/
similar to Fig. 8(b) is drawn from which the ond-order residual stresses (rII) by means of the d n2 /(4 tan h2), where h2 is the diffraction
slope B is determined. nonhomogeneity degree of the interplanar spac- angle corresponding to the large indices line (nh
The group of planes is chosen to maximize the ing expressed as: nk nl). The determination of n2 is graphically
measuring accuracy of h. Table 1 lists both the performed according to the constructive diagram
coefficient K and other parameters requested for g B 2 B 20 /4R tan h (Eq 9) in Fig. 9, by means of the curves N f (b2 /b1).
the evaluation of the first-order residual stresses Second-order residual stresses are evaluated
for several technical metallic materials. where B0 is the experimental width of the dif- according to Hookes law with the relationship:
Evaluation of Second-Order Residual fraction line of the standard specimen, B is the
Stresses. Second-order residual stresses are lo- experimental width of the diffraction line of the rII g E (in MPa) (Eq 11)
cated at microscopic scale at the level of mosaic analyzed specimen, is the photometer param-
blocks or crystalline grains and cause an enlarge- eter, namely the ratio between the paper speed where E is the longitudinal electricity modulus
ment of the diffraction maxima. Since the en- and the counter speed, R is the radius of the cy- of the material under study.
largement of the diffraction line can be corre- lindrical chamber, and h is the diffraction angle The harmonic analysis method consists of
lated with the average grain size, provided it is corresponding to the diffraction line under study. both the decomposition of the diffraction line
less than 104 cm, it is expected that both heat The approximation method considers that profile into Fourier series and the consideration
and mechanical treatments cause crystallite both the second-order internal microstrains and of the width influenced by microstrains. When
breaking. If such a process occurs, then the en- the breaking of mosaic blocks with dimension the mosaic blocks are large, the enlargement of
largement of the diffraction line should be pro- Dhkl 10 lm cause a supplementary enlarge- the diffraction line may represent a direct mi-
portional to the ratio k/cos h in accordance with ment of the diffraction lines. When the physical crostress evaluation. If besides the microstresses
the relationship: width b1, corresponding to dimensions Dhkl small mosaic blocks also exist, then the Fourier
0.1 lm, is influenced only by the microstresses coefficient An corresponding to the physical
0.94k or only by the mosaic blocks, then one of the width of the diffraction line, b, will be:
ehkl (Eq 8)
b1 cos h following conditions must be true: b2 /b1 tan
h2 /tan h1 or b2 /b1 cos h1 /cos h2, respectively, An AD
n An
g
(Eq 12)
in which ehkl is the average size of the crystallite where h1 and h2 are angles and b1 and b2 the g
where AD n and An are the Fourier coefficients re-
(mosaic block) along the normal direction on the widths corresponding to the diffraction lines
vealing the influence of the presence of mosaic
(hkl) plane, k is the wavelength of the applied x- originating from the same reflecting plane but
blocks and the second-order microstresses, re-
ray, b1 is the physical width of the diffraction obviously with different reflection orders, that is,
spectively, on the diffraction-line enlargement.
line on the diffractogram, and h is the corre- the planes (hkl) and (nh, nk, nl), respectively.
By the logarithmation of Eq 12, under the con-
sponding diffraction angle for the analyzed (hkl) When the actual width of the diffraction line
dition Agn exp(2n212Z n2), it follows that:
line. is influenced both by the small size of mosaic
lnAn lnAnD 2p212Z 2n (Eq 13)
Knowing An for several lines that differ from

one another by the interference order, the rela-
=0 1 tionship ln An f (H2 K 2 L2) can be ob-
2 d1 1 tained for n 1, 2, , which leads to the fact
d2 1 that the slope of both obtained straight lines
= 90 2
2 equals Z 2n and their intersection with the coor-
3 dinate axes is ln AD
n . In the above relationship
d3
dmin d1 d2 dmax Z 2n represents the average component of the de-
d4 3 formation vector on the direction a3, from the
sin2 space a1a2a3 (Ref 19).
(a) (b) If the indices (nh nk nl) designate a line of the
(a) Variation of interplanar spacing, d, and the w angle according to the orientation of the reflecting close-
type (001), (002), (003), , then the relationship
Fig. 8 ln An f (l 20) represents a straight line, as shown
packed planes with respect to the stress direction. (b) Dependence of 2hw diffraction angle on sin2 w. Source:
Ref 5 in Fig. 10. It should be noted that the dependen-
cies in Fig. 10 have the tendency to curve toward M 8p2U 2d sin2 h/k2 mal oscillations of atoms within the crystals and/
low or toward high values of n, revealing the fact or by the displacement of atoms from their ideal
that the shape of the diffraction line undergoes a U 2d 3U , U
1 2 2
positions, has dynamic character, having been
more intense influence of the mosaic blocks or designated as dynamic deformation, character-
where U is the average of the square displace-
2
the second-order microstrains, respectively. ized by U 2d. Another kind of imperfection is
ments of atoms on a given direction and U 2d is
Evaluation of Third-Order Residual caused by the static displacements of atoms, Us,
the average of the square dynamic displacements
Stresses. Heat and/or mechanical treatments can from their ideal position (due to the difference
of atoms from their ideal positions at the tem-
cause a third stressing mode consisting of the between the atomic sizes or to the instability in-
perature T, determined as:
displacement of a restricted group of atoms from duced by the heat and/or mechanical treat-
their ideal positions. The change of the diffrac- ments).
U 4p hmh uT 4T
2 9h2T h h
tion image due to the presence of third-order d 2 2 (Eq 14) According to Hookes law, the above dis-
stresses seems to be analogous to that deter- placements (considered microstrains) are asso-
mined by the thermal agitation of atoms within where u(/T) is the Debye function and is the ciated with the residual microstresses, also called
crystals. For this mode of motion, a temperature Debye temperature. third-order residual stresses. Both the third-order
factor, e2M, can be introduced as: The first type of imperfection, caused by ther- microstrains, U3, and the dynamic displace-
ments, Ud, lead to an intensity decrease of the
diffracted beams, by means of a factor desig-
2 nated by e2k and analogous to the thermal dis-
1.0 placement, where:
M1 = m110/110
0.8 1
8p sin 2h
L = 60 k U 23 (Eq 15)
0.6 3 k2
AL
M1, N2
(111)
L = 90
0.4 101 (222)
L = 120
The evaluation of the microstrain U 23, in
0.2 (333) solid solutions, is accomplished by eliminating
N2 = n220/220 the influence of thermal oscillations, since a
0 102 standard pure annealed steel specimen is used.
1.1 1.3 1.5 1.7 1.9 2.1 2.3 2.5 0 10 20 30 40 50
Using recorded diffraction spectra, the intensi-
2/1 h2 + k2 + l 2 ties of the diffraction peaks can be measured
Dependence of the distribution functions M(x) Family of linear dependencies [ln An (nh nk
both for the analyzed and the standard speci-
Fig. 9 Fig. 10 mens, Isp and Ist, respectively. It follows that:
and N(x) on the ratio of the physical widths of nl ); (h2 k2 l 2); n 1, 2, 3, ] for a brass
diffraction lines (110) and (220), recorded for high-speed with 30% Zn that underwent three deformation degrees,
steel by means of Mo K characteristic x-ray radiation (con- corresponding to the values of L, determined by means of
structive diagram). Source: Ref 18 other methods. Source: Ref 19 ln(Ist /Isp) 2(M M k) (Eq 16)
Table 1 Values of the parameters requested for the evaluation of the first-order residual stresses in several technical metallic materials
Sample material Lattice Lattice Youngs Poissons Characteristic Miller indices of the Diffraction Coefficient
(the matrix) type parameter, 10 mm modulus (E), GPa ratio m x-ray radiation diffraction planes hkl angle, 2h, K(a) (Eq 7)
Fe (ferrite-martensite) bcc 2.8664 20.621.6 0.280.3 Cr K (211) 156.08 30.33
Co K (310) 161.35 23.51
cFe (austenitic) fcc 3.656 19.22 0.28 Cr Kb (311) 149.6 36.26
Mn K (311) 154.8 29.87
Brass or aluminum fcc 4.049 6.90 0.345 Cr K (222) 156.7 9.40
Co K (420) 162.1 7.18
Co K (331) 148.7 12.78
Co K (333) 164.0 6.41
Copper fcc 3.6153 12.73 0.364 Cr Kb (311) 146.5 25.00
Co K (400) 163.5 12.04
Cu K (420) 144.7 26.42
Brass 4-6 bcc 9.045.45 0.380.27 Co K (400) 150.0 15.62
fcc Co Kb (331) 145.0 18.38
Co K (321) 155.5 8.30
Brass 7-3 fcc 9.04 0.38 Co K (400) 151.0 15.08
Co K (331) 146.0 17.83
Copper-nickel fcc 3.595 13.00 0.333 Co K (400) 15.84 16.55
Tungsten carbide fcc a 2.91 52.42 0.22 Co K (121) 162.5 58.84
hcp b 2.84
c 0.976
Titanium hcp 2.9504 11.35 0.321 Co K (114) 154.2 17.51
bcc Co K (222) 142.2 26.17
Nickel fcc 3.5238 20.80 0.31 Cr Kb (311) 157.7 27.88
Cu K (420) 155.6 29.53
Silver fcc 4.0856 8.11 0.367 Cr K (222) 152.1 13.11
Co K (331) 145.1 16.60
Co K (420) 156.4 11.03
Chromium bcc 2.8845 Cr K (211) 153.0
Co K (310) 157.5
Silicon Diamond 5.4282 Co K (531) 154.1
(a) K [E/2(1 m)] cot h0 p/180. Source: Ref 17

Thus, the microstrain U 23 becomes: fect of the diffraction lines, caused by the si- multiple tempering, have always caused a more
multaneous existence of both compression and significant decrease with 18 to 23% of the stress
4p2 2kk2 tension in either the crystalline lattice or in mo- state, as compared to the D variants.
U 23 (Eq 17) saic blocks.
3a2 sin2h Since the stress-temperature dependence
As mentioned in the section Evaluation of shown in Fig. 11 is linear, the crystalline lattice
where M and M from Eq 16 are thermal coef- Residual Stresses after Cryogenic Cooling, the of the cryogenically treated steel undergoes elas-
ficients previously determined by means of the temperature drop within the cryogenic range is tic relaxation with the decrease in cooling tem-
evaluation of Debye temperature. expected to reduce the residual stresses. This ef- perature. In fact, it appears that the actual values
A cryogenically cooled steel would certainly fect has been emphasized in the research per- of the second-order residual stresses are a little
contain third- and second-order residual stresses, formed on high-speed steel SEW 320 S 3.3.2 higher at 77 K than at the ambient temperature
and first-order stresses might also exist. In this (Fe-3Mo-2V-0.98C, wt%) (Ref 18), heat treated (where the measurements have been performed
case, for the evaluation of third-order residual according to the variants A to G shown in Fig. because in situ measurements were impossible)
stresses, a rather large number of diffraction 2. Figure 11 shows the variation of second-order because during the heating back up to the am-
lines will be chosen, corresponding to the values residual stresses as a function of the cooling tem- bient temperature the martensite amount slightly
of the sin2 h/k2 parameter that are less than 0.36 perature in the case of S 3.3.2 high-speed steel. increases, as shown in Fig. 7.
A 2 in such a way that second-order residual It is obvious that second-order residual stresses
stresses are neglected. decrease from about 300 to almost 100 MPa,
while the temperature drops deeper within the Influence of Cryogenic Cooling on the
cryogenic field. Therefore, cryogenic cooling re- Dimensional Stability of Steels
Influence of Cryogenic Cooling on duces these residual stresses to less than one-half
Residual Stresses and Dimensional of their initial value. In fact, cryogenic cooling
has the same effect on the level of residual The achievement and use of both high-preci-
Stability of Steels sion mechanical equipment and tools for mea-
stresses as does tempering when applied after
classical quenching. suring and verifying require obtaining parts and
As emphasized in the previous section of this The number of tempering treatments signifi- tools with geometries that have extremely ac-
article, heat and/or mechanical treatments cause cantly reduces the magnitude of residual stresses curate tolerance and that must be preserved un-
anomalies within the fine structure of metallic (compare, for instance, the variant B to the var- changed in time. Therefore, both parts and tools
materials that are diffractometrically noticeable iants E or A), and if the effect of cryogenic cool- require dimensional and shape stability; that is,
by both an enlargement and a displacement of ing is also added, then the steel is almost com- their structure must be as stable and as stress
the maxima of the diffraction lines. These pletely stress relieved. The final stress value of relieved as possible.
anomalies, which are directly correlated with 100 MPa is close to the usual value of the elastic The most common heat treatment applied to
the substructure elements, are usually located ei- stresses within the equilibrium crystalline lattice. the majority of parts and tools consists of
ther on the crystallite level or within the slip The experimental values of the residual quenching and one or several subsequent tem-
planes that occur in the crystallite structure. stresses, evaluated in the steel that has been cry- pering treatments. The resulting structures con-
However, not all of the substructure elements are ogenically cooled at 153 and 77 K, are not sig- tain tempered martensite and, according to the
pragmatically interesting from both technical
nificantly different; therefore a cooling per- tempering conditions, a lower or higher amount
and scientific points of view. In practice, mostly
formed at a temperature close to the industrial of retained austenite. However, both these
the density of dislocations, the size of the mosaic
heat treatment temperature (203 K) appears to be phases are metastable and, when held within a
groups, and the second-order strains (stresses)
sufficient. Thus, after a treatment performed at thermal range close to ambient temperature, they
are of particular interest.
203 K the stress decreased from 1.33 (in the slowly evolve toward more stable conditions.
case of variant D1) to 1.62 (variant G1). These This natural evolution is accompanied by con-
Influence of Cryogenic Cooling on the decreases range from 1.40 (variant D2) to traction and expansions that are the main causes
Residual Stresses 1.82 (variant G2) after a cooling performed at of dimensional and shape variations.
153 K and from 2.03 (variant D3) to 2.47 Cryogenic cooling affects dimensional stabil-
The quantitative evaluation of second-order (variant G3) after cooling to 77 K. It is obvious ity by acting on those deformation sources that
residual stresses is based on the enlargement ef- that the heat treatment G variants, due to their have the largest contribution on the dimensional
variations, namely the continuation of the trans-
formation of the retained austenite to martensite.
When compared with classical quenching, per-
formed to ambient temperature, cryogenic cool-
ing has more effect on the steels with larger
350 amounts of carbon or alloying elements. Within
A the negative temperature range that represents
Second-order stress, MPa
E C1 only 17 to 18 of the total temperature drop during

250 ordinary quenching, just a small amount of aus-
C2
F1 tenite transforms to martensite. The largest
C3
B D1 F2 amount of martensite was formed after ordinary
150 D2 F3 quenching.
G1 After extensive research, G. Murry (Ref 21)
G2 D3
introduced several heat treatment schemes in or-
G3 der to ensure a fair dimensional stability, ac-
50
313 273 233 193 153 113 73 cording to two steel categories.
Steels for which Retained Austenite De-
Temperature, K
composes at 473 to 673 K. In this case, the
Dynamics of second-order residual stresses as a function of the cooling temperature, for the heat treatment retained austenite can be reduced by cryogenic
Fig. 11 cooling, by tempering at 523 K, or by a combi-
experimental variants from Fig. 2 applied to SEW 320 S 3.3.2 steel. Source: Ref 20
nation of these treatments. The following pro- tenite and residual stresses. Consequently, a high temperature, slow heating back to room tem-
cedures can be applied: dimensional stability is achieved; however, both perature, and tempering to 823 K
Procedure A: Austenitizing and quenching to hardness and wear resistance are reduced. It Procedure D: Austenitizing and quenching to
ambient temperature, immediate cooling to should be noted that Procedure C is more eco- ambient temperature, tempering at 873 to 923
163 K, maintaining this temperature, and then nomical and productive compared with the other K, and subsequent tempering to 823 K
slow heating back to room temperature fol- two. Procedure A can leave a very small amount of
lowed by a stress-relieving tempering at 423 Steels for which Retained Austenite De- retained austenite that does not exist during Pro-
to 473 K composes at 823 to 973 K. This category in- cedures B, C, and D due to their high tempering
Procedure B: Austenitizing and quenching to cludes alloy steels with elements that form stable temperatures. These tempers are performed at
ambient temperature, immediate cooling to carbides such as tungsten, molybdenum, and va- 873 to 923 K, which is the maximum tempera-
163 K, maintaining this temperature, slow nadium. They belong to the class of high-speed ture range applicable when fair hardness values
heating back to room temperature, and tem- steels for which high amounts of retained aus- are required. The service temperature for this
pering at 523 to 573 K, which achieves the tenite (1860% Aret) are obtained after classical category of steels can reach 673 to 723 K without
total decomposition of retained austenite. quenching. It should be noted that this retained causing dimensional stability problems, provid-
Procedure C: Austenitizing and quenching to austenite is highly stable from a thermal point of ing two successive tempers have been applied.
ambient temperature and tempering at 523 to view. The cryogenic treatment applied to this
573 K with the same effects as above The cryogenic treatment followed by tempering
category of steels has a high efficiency. It is usu- represents an additional guarantee for obtaining
Procedure A obtains the maximum values for ally accompanied by one or two tempers meant high dimensional stability.
hardness and wear resistance in steels, because to achieve both the prescribed hardness and the In order to prove the effectiveness of cryo-
the very low retained austenite amount, which improvement of steels properties. The following genic treatment on dimensional and shape sta-
has been observed within the microstructure, can procedures are applicable: bility, Murry (Ref 22) analyzed several steels to
be neglected as long as the treated parts work at Procedure A: Austenitizing and quenching to
ambient temperature or at temperatures lower which both ordinary and cryogenic treatments
ambient temperature, immediate cooling to were applied. The applied treatments and the re-
than 473 to 523 K. Procedures B and C cause
the complete disappearance of both retained aus- 163 K, maintaining this temperature, slow sulting Vickers hardnesses are reviewed in Table
heating back to room temperature followed 2 for low-alloy steels and in Table 3 for super-
by tempering at 823 to 848 K, cooling to am- carburized high-speed steels. After a dilatomet-
+20 bient temperature, immediate cryogenic cool- ric study performed on an AISI L2 low-alloy
ing to 163 K, maintaining this temperature, steel part heat treated according to the variants
Expannsion l/l, m/mm
A
+10 and subsequent slow heating back to room listed in Table 2, the following conclusions can
temperature with final tempering to 823 K be reached:
Procedure B: Austenitizing and quenching to Dimensional stability increases with increas-
0 ambient temperature, immediate cooling to ing tempering temperature applied after
1%
1% C1.5%
C-1.5% Cr
Cr steel
steel
163 K, maintaining this temperature, slow quenching.
10
heating back to room temperature, tempering The large amount of retained austenite, de-
to 873 to 923 K, cooling to room temperature, tected after the classical treatment D, signifi-
B cryogenic cooling to 163 K, maintaining this
20
cantly decreases after the cryogenic treatment
0 400 800 1260 1600 2000
temperature, and subsequent slow heating A; however, it does not disappear completely
back to room temperature with a final tem- unless tempering is applied at 523 K as in
Time, h
pering to 823 K variants B and C. Thus, the above heat treat-
Dimensional variation of an alloy steel, with Procedure C: Austenitizing and quenching to
Fig. 12 ments can be classified according to their in-
1% C and 1.5% Cr, during a long period at 348 ambient temperature, tempering to 873 to 923
K, of a classically (A) and a cryogenically (B) heat treated
fluence on the dimensional stability: D, the
K, cooling to room temperature followed by lowest stability; A and C, average stability;
specimen. (The Mikus diagram). Source: Ref 21
immediate cooling to 163 K, maintaining this B, the highest stability.
It should be noted that treatment B induces a
marked increase of both hardness and wear
Table 2 Applied heat treatment variants and the resulting Vickers hardness, in the case of resistance over treatment C. The same aspects
several low-alloy steels are also revealed in the case of the supercar-
Steel Heat treatment variant Austenitizing Quenching Cryogenic cooling Tempering Vickers hardness
burized high-speed steels under study.
02 SAE A 1098 K for 30 min Oil Yes 448 K for 1 h 861 In general, the results offered by Murry have
B 1098 K for 30 min Oil Yes 523 K for 1 h 712 proved that by using cryogenic cooling it is pos-
C 1098 K for 30 min Oil No 523 K for 1 h 969 sible to obtain a high dimensional stability with
L2 AISI A 1123 K for 15 min Oil Yes 448 K for 1 h 826
B 1123 K for 15 min Oil Yes 523 K for 1 h 715 out decreasing the hardness and wear resis-
C 1123 K for 15 min Oil No 523 K for 1.5 h 696 tance of steels.
D 1123 K for 15 min Oil No 448 K for 1 h 802 Figure 12 shows the dimensional evaluation,
during a long period at 348 K, of two specimens
Source: Ref 21 made from alloy steel (1% C, 1.5% Cr)one
classically treated (A) and the other cryogeni-
Table 3 Applied heat treatment, with the aim of improving dimensional stability, in the
cally treated (B). In this way, the transformations
case of several supercarburized high-speed steels
occurring in both austenite and martensite can
Austenitizing Quenching Cryogenic cooling Tempering, K Cryogenic cooling Tempering, K Vickers hardness be analyzed and understood, especially during
1523 K for 10 min Oil Yes 823 Yes 823 888 the service regime of the parts.
1523 K for 10 min Oil Yes 873 Yes 823 897 Specimen A, subjected to a classical treat-
1523 K for 10 min Oil No 873 Yes 823 914 ment, continuously expands in time due to the
1523 K for 10 min Oil No 873 No 823 905
presence of a high-retained austenite amount at
Source: Ref 21
ambient temperature. This expansion is caused
by the decomposition of the retained austenite
that is accompanied by an important volume in- would occur and any contraction would no mensional stabilization over time of AISI D2
crease. Specimen B underwent a cryogenic heat longer be observed. steel.
treatment immediately applied after quenching In conclusion, two phenomena were found re- A high-speed steel, grade AISI M1, was either
and consequently contains an extremely low sponsible for the variation of dimensional sta- classically or cryogenically heat treated (Ref 10)
amount of retained austenite. During the long pe- bility of quenched steel parts: the transformation according to the same variants shown in Fig. 2
riod at 348 K, the quenching martensite under- to martensite of the retained austenite left after for high-speed steels (SEW 320) S 3.3.2. The
goes the first stage of tempering, namely the de- quenching, which is accompanied by an increase dimensional variation of heat treated AISI M1
crease of the tetragonality degree that causes a of volume, and the evolution of metastable te- steel, after five different storage periods (i.e., 10,
continuous contraction. This contraction contin- tragonal quenching martensite toward more sta- 20, 50, 80, and 110 days) proved to be propor-
ues to occur after 10 tempers at 348 K, since ble cubic tempered martensite, which is accom- tional to the retained austenite amount (Aret) and
there is still tetragonal martensite that did not panied by a contraction. In order to avoid both therefore also to the residual stress decrease, as
transform to cubic martensite. However, if spec- the subsequent expansions and contractions, the listed in Table 5.
imen b was subjected to the same tempering (10 most effective procedure would be to eliminate The dimensional variations as a function of
h at 348 K) as specimen a, tempered martensite both the retained austenite by means of cryo- the storage periods described for AISI M1 steel
genic cooling and the tetragonal martensite, reheat treated according to several variants (illus-
spectively, using low tempering. However, par- trated in Fig. 2) are shown in Fig. 14. After about
ticular care is to be taken when choosing both three months of storage, the relative dimensional
1000
the temperature and the maintenance period for variations of the cryogenically treated specimens
tempering since the contraction, occurring dur- are extremely lowless than 0.1 lm/mm, in
Hardness, HV5
900 ing the formation of tempered martensite in ei- particular, 0.074 lm/mm for variant D3 and
ther oil or cryogenically quenched steels, is al- 0.085 lm/mm in the case of variant G1, as
860 ways accompanied by a sensible decrease of shown in Fig. 14.
hardness. Such an effect is shown in Fig. 13, The usual procedure used for analyzing the
which shows the Vickers hardness decreasing as dimensional stability of different heat treated
820
the relative shrinkage increases during the tem- steel grades is based on the so-called French
pering heat treatment applied to a full martensitic specimens. The typical geometry of a French
780
0 200 400 600 800 1000 steel part. specimen is shown in Fig. 15. In order to point
Relative shrinkage, m/m Table 4 lists several variants of heat treatment, out the superiority of the heat treatments applied
including cryogenic cooling, applied for the di- below room temperature compared with classi-
Fig. 13 Dependence of hardness on the relative shrink-
age observed during tempering. Source: Ref 5
B
M1
Table 4 Heat treatment variants applied for 5
Expansion (l / l ), m/mm
the dimensional stabilization in time of AISI 4

D2 steel 3
D1
Dimensional 2
variation after 1 D2
Heat treatment variant 3 months G1
0
1. Austenitizing 1283 K, water 0.012 lm/mm 10 20 50 80 D3 110
quenching 1 G2
2. Cooling at 77 K 2 G3
3. Stress relieving for 1 h at 593 K,
3 Time, days
oil quenching (63 HRC)
1. Austenitizing 1283 K, water 0.002 lm/mm
quenching Fig. 14 Dimensional variation in time, of AISI M1 steel, heat treated according to several variants. Source: Ref 23
2. Cooling at 77 K
oil quenching (63 HRC)
4. Resuming three times operations 2
and 3 1
air cooling (59.5 HRC) h
d
Table 5 Variation of the h typical dimension of French specimens, made from AISI M1 heat
treated steel
D
Heat treatment Retained austenite (Dh/h)0(a), (Dh/h)1(a), (Dh/h)2(a), (Dh/h)3(a), (Dh/h)4(a), (Dh/h)5(a), 51 (Dh/h)i(b),
variant (Fig. 2) (Aret), % lm/mm lm/mm lm/mm lm/mm lm/mm lm/mm lm/mm
B 14.6 52 3.9 1.1 0.76 0.52 0.38 6.66
D1 7.5 77 1.9 0.54 0.28 0 0.16 2.56
D2 6.8 81 1.05 0.25 0.28 0.16 0.1 0.836
D3 3.9 90 0.27 0 0.25 0.11 0.074 0.164
G1 5.1 81 0.36 0.26 0.12 0.1 0.085 0.555
G2 4.6 109 0.25 0.18 0.2 0 0.16 0.75 6 mm thick
G3 3.82 120 1.7 0 0.18 0.08 0.082 1.878
(a) The relative expansions are measured: during the heat treatment [(Dh/h)0]; after 10 days [(Dh/h)1]; after 20 days [(Dh/h)2]; after 50 days [(Dh/ Fig. 15 Schematic of a French specimen, with standard
h)3]; after 80 days [(Dh/h)4]; and after 110 days [(Dh/h)5]. (b) Cumulative relative expansion, 110 days after the heat treatment dimensions: D 50 mm, d 25 mm, h 6
mm. Source: Ref 5
cal treatments, the French specimens made from crease is noticed, however, during the heating lm, which occupy the microvoids and contribute
UNS K19667 ball-bearing steel (Fe-1.1Mn- from cryogenic temperature back to ambient to the increase of both density and coherence
0.55Si-1.6Cr-0.98C) were heat treated according temperature due to the small amount of retained within the metallic material. The microcarbides
to the specific variants illustrated in Fig. 16. austenite that partially transforms to martensite. that have been identified and counted by quan-
The typical dimensions of the heat treated These results and discussion have proved that titative electronic microscopy are mostly respon-
French specimensnamely, D, d, and hhave cryogenic cooling followed by low tempering (in sible for the increase of wear resistance as well
been measured after 20 days and after 30 days order to maintain a high hardness value) repre- as other properties of cryogenically treated
of storage at room temperature as well as after a sents a safe and effective procedure for the in- steels.
short exposure at 373 K (in boiling water). The crease of dimensional and shape stability of pre- Unlike surface treatments, the structural
results have been designated by the subscripts 2, cision parts and tools. Since cryogenic cooling change induced by cryogenic cooling is uniform
3, and 4, respectively, while subscript 1 corre- achieves both an increase of quenched marten- and takes place within the entire volume. Con-
sponds to the dimensions of heat treated speci- site and a considerable quantitative decrease of sequently, a cryogenically treated tool will un-
mens. Therefore, the dimensional differences residual stresses, all international research car- dergo no sudden changes of structure until it is
have been designated as D21 (D2 D1); (d2 ried out to date has emphasized its opportunity completely worn out, no matter which mechan-
d1); (h2 h1), D3 1 (D3 D1); (d3 d1); (h3 h1), and advantages as an effective, practical heat ical manufacturing operations (such as finishing,
D41 (D4 D1); (d4 d1); (h4 h1) and are il- treatment. sharpening, and so on) it subsequently under-
lustrated in Fig. 17(a), (b), and (c), correspond- goes. Therefore, the cryogenic treatment causes
ing to the 20 days storage, the 30 days storage, a permanent irreversible molecular change (Ref
and the 373 K exposure, respectively. Influence of Cryogenic Cooling on 24).
The data in Fig. 17 show that the narrowest the Structure and Substructure of Two micrographs (Fig. 18) emphasize the mi-
spreading of the dimensional differences occurs Steels crostructural effects caused by cryogenic cooling
in the case of specific heat treatment variant V, on the phase structure of classically quenched
which comprises cooling to 203 K followed by The structure, or in other words the phase SEW 320 S 3.3.2 steel. Figure 18(a) is a micro-
tempering to 503 K. The largest variations are composition, represents an important feature of graph of S 3.3.2 steel after a classical heat treat-
noticed in the case of typical dimension h and the quality of metallic materials. The phase ment (oil hardening followed by 2 to 3 tempers)
occurred in the French specimens tempered at amounts and mostly the phase ratio are respon- corresponding to the variant B in Fig. 2. It is a
373 and 423 K (heat treatment variants III and sible for the values of several important prop- usual microstructure comprising primary and
IV, respectively) both after 20 days of storage erties of metallic materials, such as hardness, secondary carbides embedded into a matrix com-
(Fig. 17a) and after 30 days of storage (Fig. 17b). toughness, dimensional and thermal stability, posed by tempered martensite and retained aus-
The other variants are less significant, with the durability, fatigue life, wear resistance, and so tenite representing 10% of the phase amount.
lowest values shown in Fig. 17(c), correspond- on. Thus, it is well known that retained austenite The microstructure in Fig. 18(b) is the same
ing to a short 373 K heating. deteriorates the service properties of the tools steel, but it underwent a cryogenic cooling and
In the case of the heat treatment variation II, and machine parts manufactured from quenched a subsequent stress-relieving tempering, in ac-
which includes no tempering after the cooling steel, due to its specific characteristics and cordance with the variant D3, illustrated in Fig. 2.
performed at 203 K, it is noticeable that residual mostly to its high instability. Besides stress relieving, the tempering heat
stresses largely influence the dimensional stabil- As previously pointed out, applying one or treatment enables both microcarbide precipita-
ity due to the stress-relieving phenomenon. As more tempers might not always be the most ef- tion and alloying element respreading. For this
the tempering temperatureapplied after fective way to reduce the amount of retained aus- reason, the observed structure has become more
quenching at 203 Kreaches the upper admis- tenite, because of the marked decrease of hard- uniform, revealing a regular distribution of fine
sible limit, the dimensional variation increases ness, mechanical strength, and wear resistance microcarbides with sizes less than 1 lm within
during heat treatment. However, the dimensional that partially cancels the positive effect of re- a matrix formed mostly of tempered austenite,
stability improves in time due to the stress retained austenite transformation. For this reason, since the retained austenite amount is about
lieving that occurs in the ball-bearing heat a more effective method could be cryogenic 1.1%, detectable only by x-ray diffraction. In ad-
treated steel. From this viewpoint, the heat treat- cooling. However, because of the rather low dition, the lower both cooling and maintaining
ment variants designated by IV and V led to the amount of retained austenite (less than 15%) left temperature within the cryogenic range (20377
best results in the case of UNS K19667 ball- by classical quenching in the microstructure of K), the more uniform and refined the structure,
bearing steel. plain-carbon and alloy steels it appeared that cry- compared to Fig. 18(a).
If these phenomena are considered with re- ogenic cooling would not cause marked addi- For those tools made of high-speed steel that
spect to residual stresses, which represent the tional microstructure improvements compared to exhibit complex configurations as well as abrupt
only driving force for direct martensitic trans- ordinary quenching. However, the structure of passes of the cross section, cryogenic cooling
formation, since the transformation becomes cryogenically cooled metallic materials proved can be applied between two tempers, according
more and more difficult as the temperature de- to be much more uniform and dense. In addition, to the heat treatment variant designated by G in
creases, it follows that the stresses also diminish cryogenic cooling has induced the occurrence of Fig. 2. The final tempering has a special part
with decreasing cooling temperature. A slight in- very fine carbides, with dimensions less than 1 consisting on one hand of the distribution of al-
loying elements among matrix and carbides and
on the other hand of the carbide refinement that
mostly improves the service properties of high-
speed steels.
1123
Temperature, K
1073 By twice repeating the cryogenic cooling-tem-

873 pering sequence, according to the variants des-
673 ignated by H and I in Fig. 2, as well as by in-
473 503
473 373 423 creasing the number of tempers, according to the
293 variants K and M, the precipitated carbides dur-
203 203 203 203 ing the first tempering would coagulate, thus
I II III IV V causing a structural nonuniformity, as depicted
Time, min in Fig. 19. In fact, among the heat treatment var-
Fig. 16 Specific heat treatment variants applied to French specimens made from UNS K19667 steel. Source: Ref 5 iants for high-speed steels shown in Fig. 2, the
30 30 30
25 25 25
20 20 20
15 h 15 15
10 10 D h 10
D D
5 5 5 h
2-1, m
3-1, m
4-1, m
0 0 0
5 5 d 5
10 10 10
d d
15 15 15
20 20 20
25 25 25
II III IV V II III IV V II III IV V
30 30 30
373 473 573 373 473 573 373 473 573
Temperature, K Temperature, K Temperature, K
Fig. 17 Variation tendency of the differences of typical dimensions of French specimens as a function of the tempering within the specific heat treatment variants (Fig. 16) applied
to UNS K19667 steel. (a) After 20 days storage. (b) After 30 days storage. (c) After a short exposure at 373 K. Source: Ref 5
tenite. Thus, the retained austenite amount can

reach 3.9% for M1 steel and 1.1% for S 3.3.2
steel.
As previously pointed out, for those tools and
machine parts that exhibit abrupt cross-section
passes, the most suitable proved to be the heat
treatment variant G, in order to avoid the occur-
rence of first-order stresses that could induce
cracking. However, in the case of S 3.3.2 and
M1 steels the variant G did not cause spectacular
decreases of the retained austenite, since this
heat treatment is especially meant to reduce the
general stress state. Besides martensite and re-
tained austenite, the structure of high-alloy steels
also contains a carbide phase. The carbide pre-
cipitates are particularly influenced by cryogenic
cooling regarding their development, quantity,
dimensions, and distribution.
Fig. 18 Microstructure of SEW 320 S 3.3.2 rapid steel. (a) Classically heat treated. (b) Cryogenically heat treated. A diffractometric study (Ref 23) performed on
Micron bars 10 lm. Source: Ref 20
several high-speed steels as well as on the car-
bide powders that precipitate after the electro-
lytic decomposition of the metallic matrix (the
carbide extract) obtained after different cryo-
variants designated by D, and under certain cir- genic heat treatment variants reveals an increase
cumstances also the variants G, proved to have of the amount of carbide in alloying elements.
the most homogeneous and uniform microstruc- At the same time, it was noticed that the sum of
tures. the carbide-forming elements that take part in
Similar microstructural aspects have been ob- carbide formation decreases after cryogenic
served after the cryogenic cooling of plastic de- cooling. This means that the martensitic matrix
formation tools manufactured from chromium grows rich in alloying elements after cryogenic
steels, plain-carbon tool steels, carburized or car- cooling, and this might explain the observed im-
bonitrided steels, or from ball-bearing steels. For provements of hardness and cutting perfor-
these steels, only the variants designated by D, mances at the tools made from cryogenically
I, and K in Fig. 2 are applicable, for which cry- cooled high-speed steels.
ogenic cooling is a continuation of ordinary Chemical analysis of the carbide extracts, ob-
quenching. tained from several heat treated high-speed
The influence of cryogenic cooling on the steels, revealed much different structures and re-
amount of retained austenite, after several heat distribution of alloying elements among the ma-
treatment variants (Fig. 2) applied to some tool trix and the carbide phase, at the variants that
steel grades, such as SEW 320 S 3.3.2, AISI T1, include cryogenic cooling compared with the
M1, M2, D2 is described in Table 6. Tempering classic heat treatment variant. This fact is em-
Fig. 19 Microstructure of T1 heat treated high-speed
steel after a double cryogenic cooling temper-
at 813 to 853 K, after cryogenic cooling, causes phasized in Fig. 20, which shows the repartition
ing sequence according to the variant H from Fig. 2. Mi- martensite stress relieving as well as a slight in- of the most important carbide-forming alloying
cron bars 10 lm. Source: Ref 25 crease of the martensite to the detriment of aus- elements (Cr, Mo, W, and V) among the matrix
and the carbide phase as a function of the cryo- composition of (MFe)2C-type complex carbide The other carbides, such as trigonal Cr7C3 and
genic cooling temperature in the case of M2 with low iron content (where M is metal). This orthorhombic Cr3C2, are slightly increasing,
steel. The curves illustrated in Fig. 20 delineate fact is expressed by the increase of the ratio of which compensates for the decrease of the
the two domains among which the carbide-form- those carbides that contain high iron amounts, Cr23C6 amount. All chromium carbides have a
ing alloying elements are distributed: the matrix and this increase leads to a quantitative augmen- rather low iron content (Ref 20).
(the upper field) and the carbide phase (the lower tation of the carbide phase within the steel. In the case of S 3.3.2 steel, the decrease in the
field, under the curves). From Fig. 20 it is ob- The qualitative and quantitative determination cryogenic cooling temperature also determines a
vious that the lower the cryogenic cooling tem- of carbides has been accomplished using diffrac- reduction in the total amount of vanadium car-
perature the richer the matrix, in carbide-forming tometric analyses performed on carbide pow- bides (VC and V2C), which usually undergo sec-
elements, and therefore the higher the hardness ders, extracted by electrolytic decomposition of ondary precipitation due to the decrease in the
and the cutting characteristics of high-speed the high-speed steel matrix. number of tempers. It can be seen in Fig. 21 that
steel. The diagram illustrated in Fig. 21 presents a the decrease of cryogenic cooling temperature
Other researchers (Ref 21, 23) have empha- decrease of the total chromium carbide amount, induces an increase of tungsten carbide. Tung-
sized that the increase in the iron amount within as much as 30%. Chromium can form carbides sten carbide can be cubic WC, hexagonal W2C,
the carbides might be an argument for the for- of the Cr23C6-type that are primary, coarse, with and complex cubic Fe3W3C. Disregarding the
mation of the (MFe)6C-type complex carbide cubic lattice and very stable. Their amount de- evolution of the amount of WC and W2C car-
with high iron content and eventually for the decreases with the cryogenic cooling temperature. bides, cryogenic cooling determines an increase
in the amount of Fe3W3C carbide with high iron
content. With regard to hexagonal Mo2C car-
Table 6 Influence of the heat treatment variant on the retained austenite in several high- bide, Fig. 21 shows that after cryogenic cooling
alloy tool steels at 77 K its amount becomes at least double com-
pared with S 3.3.2 steel heat treated at room tem-
Percentage of retained austenite (Aret), after: perature.
Heat treatment Cryogenic First Cryogenic cooling Second Cryogenic Third Besides the increase in both martensite and
variant Quenching cooling to 203 K tempering to 203 K tempering cooling to 203 K tempering
carbide, the improvement of cutting character-
AISI T1 steel istics of the tools made from high-alloy steel,
B 27 24 16 10
G 27 23 19 9
after cryogenic cooling, can be also ascribed to
H 27 24 18 10 5 3 the changes produced in the size and distribution
I 27 12 9 7 0 of the carbide phase.
K 27 12 9 5 The values of the qualitative and quantitative
M 27 24 16 8 0
AISI M2 steel
parameters of the carbide phase are listed in Ta-
B 21 17 11 8 ble 7 for some high-alloy steels. The measure-
D 21 7.5 2.25 ments were performed by means of a Quantimet
H 21 17 13 3.64 1.65 0 720 quantitative microscope equipped with a
G 21 17 13 3.6 3.6
SEW 320 S 3.3.2 steel
computer interface. The determined parameters
B 29 23 17 10 are: A, the total surface occupied by the carbide
D 29 8.23.3(a) 6.251.1(a) phase (%); I, the total sum of carbide dimensions
G 29 23 8.33.5(a) 5.21.9(a) on surface unit (mm/mm2); Im, the average size
AISI M1 steel
B 20.1 16.7 15 14.6
of carbides (mm); Nc, the total average number
D 20.1 7.25.4(a) 73.9(a) (density) of carbides on square millimeter
G 20.1 16.7 8.54.8(a) 5.13.8(a) (mm2), and the carbide density is distributed
AISI D2 steel according to the dimensional ranges: 0 to 0.5
E 10.1 7.2
D 10.1 6 4.2
lm, 0.5 to 1 lm, 1 to 2 lm, 2 to 4 lm, 4 to 8
I 00.1 6 4.2 3.9 3.3 lm, 8 to 16 lm, 16 to 32 lm, and above 32 lm.
Table 7 reveals the net superiority of cryogenic
(a) Values determined after cryogenic cooling to 77 K. heat treatment variants compared with the clas-
sical treatment (B), with respect to both the size
and distribution of carbides. Thus, the carbide
surface (A) is larger for the cryogenic variants
12.44
(except M1 steel for which three cryogenic var-
12 40
iants, D2, G2, and G3 induce smaller surfaces)
Alloying elements sum, %
11
compared with the classical heat treatment var-
Carbides contents, %
Matrix iant.
10 Cr
30 Considering that the average size of carbides
9 W (Im) has the same or lower magnitude order and
that the total sum of carbides average dimensions
8 Mo on surface unit (I) is always larger, it follows that
Carbides 20
7 cryogenic cooling should cause an increase in
V the average number of carbides observed on
6 square millimeter (Nc) compared with the clas-
273 223 203 173 153 123 77 73
Temperature, K 10 sical heat treatment variant (B). This assumption
273 223 203 173 153 123 73 is confirmed in Fig. 22, particularly in the case
Temperature, K of smaller-dimensional carbides.
Fig. 20 Dynamics of the repartition of the most impor-
tant carbide-forming alloying elements among It is obvious from these results that cryogenic
matrix and carbides as a function of the cryogenic cooling Fig. 21 Variation tendency of the amount of chro-
temperature, in the case of M2 steel, heat treated according mium, tungsten, vanadium, and molybdenum
cooling causes the occurrence of a large number
to the variants D (open circles) and G (X data points). carbides as a function of the cryogenic cooling tempera- of small-size carbides, coherent with the matrix,
Source: Ref 20 ture, in the case of SEW 320 S 3.3.2 steel. Source: Ref 20 and that this could explain the improvement of
the cutting characteristics of the tools made from fine g carbides instead of e carbides (Ref 26). order, etc.) also enable, among other prognoses,
high-alloy steel. In addition, due to cryogenic This fine carbide contributes to the increase of the optimization of heat treatment procedures.
cooling a refinement of the carbide phase occurs hardness within the martensite matrix that finally For the evaluation of the substructure elements,
by means of the increase of carbide density with causes an improvement of both the durability a special part is played by the real physical width
sizes less than 1 lm. For instance, this increase and wear resistance of the tool. Another essential of the diffraction line (b). As pointed out by Eq
reached 151% (for variant G1) in the case of S element for determining the quality of a steel is 10, the real physical width b of the diffraction
3.3.2 steel and 146% (variant D2) in the case of the substructure that can be defined as a detail of line depends both on the mosaic blocks and on
M1 steel. the structure, observable within the crystalline the second-order residual stresses.
The improvement of the quality of high-pre- grains. The boundaries of the mosaic blocks, with
cision tools made from AISI D2 steel (for die The study, control, and evaluation by x-ray the dimensions determined using Eq 14, are
forging, thread rolling, and so on) can also prob- diffraction of the substructure parameters (dis- formed by dislocation walls. At the beginning of
ably be ascribed tobesides the increase of location density, second-order stresses, average the transformations, these walls are grouped in
small-size carbide densitythe precipitation of size of the mosaic blocks, texture, short-range such a way as to create bidimensional dislocation
networks (monolayer). As the transformation or
the plastic deformation develops further, the
0.14
boundaries of the mosaic blocks acquire an as-
30
D2 pect of dense network with a rather large thick-
F3 ness. In this way, the dislocation density in-
25
D3
0.12
creases up to 1012 cm2.
If both the real size erhkl of the mosaic blocks
103 carbides, mm2
G3
20 F2
D1 C3 and the second-order residual stresses are
107, m
G1 F1
15 0.10
known, the dislocation density can be deter-
G2 C2 mined according to the relationship introduced
D3
B E by Williamson and Smallman (Ref 19):
10 C1
A D2
0.08
5
D1 G3 q 3n/(erhkl)2 (Eq 18)
B G2
G1
0 0.06 where n is the number of dislocations located on
0 0.5 1 2 4 8 16 32 64 313 273 233 193 153 113 73 the boundary of the mosaic blocks.
Dimensional range, m Temperature, K Considering a chaotic distribution of disloca-
tions along the mosaic blocks boundary (n 1),
Variation tendency of the average number of Fig. 23 Variation tendency of the average size of the
Fig. 22
carbides on square millimeter (Nc) as a func- mosaic blocks as a function of the final cooling
it follows that q 3/(erhkl)2. In order to empha-
tion of the dimensional range, in the case of M1 steel. temperature in the case of SEW 320 S 3.3.2 steel subjected size the influence of the cryogenic cooling on
Source: Ref 20 to several heat treatment variants. Souce: Ref 3 two substructure elements (namely, dislocation
Table 7 Qualitative and quantitative parameters of the carbide phase in some high-alloy tool steels
Carbide number distributed according to the
dimensional range, mm2
Heat treatment variant A, % l, mm/mm2 lm, mm Nc, mm2 00.5 0.51 12 24 48 816 1632 32
AISI T1 steel
B 4.48 55.12 0.0013 49,215 8,003 29,004 6,609 4,418 924 238 19 0
D 8.10 71.26 0.0010 72,520 12,032 41,639 13,358 4,806 575 110 0 0
G 7.52 74.48 0.0009 83,619 17,100 47,036 14,280 4,717 367 101 18 0
H 9.39 83.35 0.0010 85,601 16,822 46,719 15,945 5,361 545 188 21 0
AISI M2 steel
B 2.9 30.16 0.0009 31,358 15,136 8,274 5,707 2,002 199 40 0 0
D 5.14 35.59 0.0007 40,898 19,372 11,556 6,858 2,943 138 31 0 0
G 4.90 46.28 0.0009 56,466 29,322 13,548 9,692 3,627 218 59 0 0
H 5.19 60.86 0.0011 83,530 58,101 11,545 10,247 3,359 238 13 0 0
SEW 320 S 3.3.2 steel
B 2.35 20.13 0.0009 22,080 11,450 5,554 3,387 1,253 407 29 0 0
D1 3.07 26.87 0.0009 30,885 15,541 6,985 5,465 2,177 692 25 0 0
D2 3.08 29.35 0.0008 36,600 20,456 7,852 5,664 2,038 575 14 0 0
D3 2.59 21.97 0.0009 23,350 11,457 4,951 4,544 1,852 935 11 0 0
G1 4.41 39.02 0.0008 48,935 24,871 11,472 8,370 3,298 860 64 0 0
G2 3.35 27.07 0.0009 28,901 14,174 6,407 5,122 2,395 746 57 0 0
G3 2.98 23.07 0.0009 24,585 11,718 5,593 4,401 2,220 632 21 0 0
AISI M1 steel
B 8.10 52.13 0.0022 23,797 13,014 4,365 3,487 1,499 985 417 28 0
D1 9.70 59.14 0.0018 32,773 19,870 6,746 3,498 1,335 735 543 46 0
D2 8.21 68.08 0.0012 55,071 28,537 14,231 8,706 2,381 907 296 13 0
D3 7.34 58.16 0.0012 47,068 25,042 11,439 6,614 2,302 1,278 389 0 0
G1 9.32 53.29 0.0013 42,032 18,032 11,429 6,992 3,659 1,417 471 32 0
G2 7.39 46.97 0.0012 38,506 13,860 12,026 7,049 4,140 1,178 246 0 0
G3 7.31 61.14 0.0013 45,448 21,776 12,189 8,006 2,384 810 261 14 0
AISI D2 steel
A 6.02 11.45 0.0081 1,405 58 110 270 378 293 202 83 9
E 4.88 10.25 0.0072 1,424 66 126 274 401 284 193 72 7
D 5.72 9.98 0.0068 1,470 72 170 292 400 250 185 89 10
I 5.97 11.41 0.0068 1,678 81 203 283 454 317 244 85 80
density and average size of the mosaic blocks) the decrease in the cryogenic cooling tempera- crease of second-order stresses that become fa-
two high-speed steels, S 3.3.2 and M1, were sub- ture, as in the case of the variants F, C, D, and vorably redistributed among the two phases.
jected to the heat treatment variants illustrated in G. Figure 23 also shows that the largest values Moreover, the structure becomes harder and
Fig. 2. of the average sizes of the mosaic blocks have more uniform and finally durability increases.
For S 3.3.2 steel, Fig. 23 shows that the av- been obtained in the case of the variants E and The influence of cryogenic cooling on the for-
erage size of the mosaic blocks increases with F, which include tempering heat treatments after mation, the amount, and the distribution of the
ordinary quenching. The increase in the number carbide phase is first revealed by the emergence
of tempers causes the decrease in the mosaic of the fine carbides, which usually have smaller
7 block size due to the martensite refinement. Ac- sizes compared with those occurring after clas-
B tually, the blocks are broken and their crystalline sical heat treatments. The large number of ex-
G1 lattice becomes stress relieved, as illustrated in tremely fine carbides, which has been experi-
G2 Fig. 23 for the variants B, D, and G, causing the mentally determined after the cryogenic
5 smallest sizes of the mosaic blocks. The deep treatment, represents an argument for the con-
G3
1016 , m2
D1 D2 cooling of steel enables the coagulation of the

A clusions discussed previously. The increase in
C1 mosaic blocks, which therefore increase in size.
E both the surface occupied by the carbides and
C2 D3 The linear aspect of the variation shown in Fig. the carbide density as well as the large number
3 23 proves that the coagulation phenomenon is of
F1 C3 of fine carbides measured after the cryogenic
elastic type.
F2 cooling lead to the development of a hard, uni-
The last aspect of the cryogenic cooling ef-
form, homogeneous structure that induces a
fects on the substructure of the S 3.3.2 heat
1
F3
treated steel is emphasized in Fig. 24, which marked improvement of the properties of heat
313 273 233 193 153 113 73 shows the variation tendency of the dislocation treated steels.
Temperature, K density as a function of the final cooling tem- As previously mentioned, cryogenic cooling
perature. After the first temper, a decrease of the contributes as well to the decrease in the stress
Fig. 24 Variation tendency of the dislocation density state that largely assists the improvement in
as a function of the final cooling temperature dislocation density is noticed, and this decrease
in the case of SEW 320 S 3.3.2 steel subjected to the same becomes more important after the subsequent properties. Thus, in the case of the tools and parts
heat treatment variants as in Fig. 23. Source: Ref 3 tempering due to the breaking of the mosaic made from S 3.3.2 steel, the decrease in the
blocks. After cryogenic cooling, a marked destress state leads to a fair dimensional stability,
crease is noticed in the dislocation density, as shown in Fig. 25, where three heat treatment
which proves that the crystalline lattice becomes variants (B, D, and G in Fig. 2) are considered.
12
B more relaxed and the stress field diminishes, thus Another effect of decreasing the stress state due
10 coming closer to the normal state. Since a linear to the cryogenic cooling is shown in Fig. 26,
Expansion l /l, m/mm
8
D1 variation is also noticeable in this figure, it is which shows the variation of the amount of re-
obvious that the dislocation density decrease can tained austenite with the value of the second-
6 be related to the elastic phenomena produced order stresses, for the same heat treatment vari-
G1
D2 within the crystalline lattice. ants. It is obvious that the lower the value of the
4
G2 stress state the more reduced the amount of re-
2 tained austenite.
G3
0 PropertiesResidual Stresses It is well known that durability, which is the
D3 basic criterion for the effectiveness assessment
2
Structure and Substructure
of any heat treatment, is conditioned by the con-
0 100 120 140 160 180 200 220 240 Correlation for Cryogenically
nection between the strength intrinsic character-
Second-order stress, MPa Cooled Steels istic of the material and the actual service con-
Fig. 25 Dynamics of the dimensional stability as a ditions of the tools. Besides hardness and wear
function of the stress state, in the case of SEW The increase in the transformation degree of resistance, the most important characteristic that
320 S 3.3.2 steel, heat treated according to the variants D
(solid line) and G (dashed line). Source: Ref 20
retained austenite to martensite causes the de- determines the durability is the structure quality.
100
10 G3 100
B
90 G2 D3 G
D2 D3 3 G3
Durability (T), min
8
Retained austenite, %
90
D3 G3 G2 D2
80 D2 D3
Durability (T), min
G2 D2
6 G1 80 G2
G1 D1 S 332 steel G1 G1
G1 D1
70 D1
D2 70
4 D1 D1
G2 M1 steel M1 steel
60 60
2 B B SS3.3.2
332 steel
steel
G3 B B
D3 50 50
0 40 60 80 100 120 140 160 180 200 220 240
0 100 120 140 160 180 200 220 Second-order stress, MPa 40
Second-order stress, MPa 3 4 5 6 7 8 9 10
Alloying elements sum, %
Variation tendency of the retained austenite
Fig. 27 Dependence of durability on the relaxation of
Fig. 26 the elastic stress field in the case of two high-
amount as a function of the second-order re- speed steels subjected to intensive service regimes (cutting Fig. 28 Dependence of durability on the total amount
sidual stresses, in the case of SEW 320 S 3.3.2 steel. Source: speed: 32.67 m/min; cutting advance: 0.25 mm/rotation; of alloying elements dissolved in martensite in
Ref 20 cutting depth: 2.5 mm). Source: Ref 20 the case of two high-speed steels. Source: Ref 20
Thus, the phase composition (namely, the re- Cryogenically Treated Fe-3W-3Mo-2V-C Growth of Martensite in Steel, Acta Metall.,
tained austenite amount), the phase distribution, Highly Alloyed Steel Tools, Bull. Polytech. G.B., Vol 28 (No. 9), 1980, p 12291234
the uniformity and refinement degrees of the Inst. Jassy, Romania, Vol XLII (No. XLVI), 17. I. Alexandru, V. Bulancea, D. Pop, F. Pop,
phases, the distribution of the alloying elements 1996, p 167174; ASM International Sec- and A. Alexandru, Phase Analyses of Me-
among the martensite matrix and the carbides, ond Int. Congress Mater. Sci. Eng., (Jassy, tallic Alloys, Cermi, Jassy, Romania, 1998,
the repartition of the carbides on dimensional Romania), 1997 233 pages
ranges, the average size of the mosaic blocks, 4. A.P. Guleaev, Heat Treatment of Steel, 18. V. Bulancea, I. Alexandru, and D. Bulancea,
the dislocation density, and the second-order MASHGIZ, Moscow, 1960, 438 pages The Stress State Modification by Cryogen-
stress state represent the influencing elements of 5. V. Bulancea, I. Alexandru, D. Bulancea, and ically Treated Fe-3W-3Mo-2V-C High Al-
the durability of cutting tools made from high- D.G. Galusca, Advanced Heat Treatment loyed Steel Tools, Bull. Polytech. Inst.
alloy tool steels. For instance, a low stress state, Technologies. Cryogenic Cooling of Steels, Jassy, Romania, Vol XLII (No. XLVI),
namely a relaxation of the elastic stress field, in- Cermi, Jassy, Romania, 1998, 196 pages 1996) p 161166; ASM Int. Second Int.
volves an increase in the martensitic transfor- 6. N. Skalli and J.F. Flavenot, Prise en compte Congress Materials Science and Engineer-
mation degree that causes an augmentation of the des contraintes residuelles dans un calcul ing, 1997 (Jassy, Romania)
durability of cutting tools made from several previsionnel de tenue en fatigue, CETIM- 19. C. Gheorghies, The Fine Structure Control
high-speed steels, such as S 3.3.2 and M1, ac- Informations, No. 90, 1985, p 3547 with X Radiation, Tehnica, Bucharest, Ro-
cording to Fig. 27. 7. V. Hauk, Micro Residual Stresses, Evalua- mania, 1990, 272 pages
On the other hand, Fig. 28 shows the influence tion by X-Rays, Results, Assessment, Proc. 20. V. Bulancea, The Influence of the Cryo-
of the matrix alloying degree on the durability of the Ninth Int. Conf. on Experimental Me- genic Treatments on the Aspects Connected
of cutting tools. The figure illustrates an increase chanics, 2024 Aug 1990 (Copenhagen, with the Substructure of the Highly Alloyed
in durability of the tools made from two high- Denmark), Technical University of Den- Steels and the Functional Characteristics of
speed steels with the increase of the total amount mark, Vol 3, p 12271236 the Cutting Tools, Ph.D. thesis, Gh. As-
of the alloying elements dissolved in the marten- 8. K.E. Easterling and A.R. Tholen, The Nu- achi Technical University of Jassy, Jassy,
site matrix. cleation of Martensite in Steel, Acta Metall., Romania, 1992
In conclusion, the discussion in this article has Vol 28 (No. 4), 1976, p 333342 21. G. Murry, La stabilite dimensionnelle des
brought evidence that the residual stresses play 9. I. Alexandru, Gh. Ailincai, C. Picos, A. aciers apres traitements thermique. Aspects
a very important part both during and after the Dima, and V. Bulancea, Aspects of the In- metallurgiques, Trait. Therm., France, No.
cryogenic cooling. These stresses constitute the fluence of Cryogenic Thermal Treatments 128, Oct 1978, p 4350
main cause for the continuation of the transfor- 22. G. Murry, Decomposition of Retained Aus-
on the Redistribution of Alloying Constitu-
mation of the retained austenite to martensite, tenite, Trait. Therm., No. 81, France, 1974,
ents between the Matrix and Carbides, Bull.
within the cryogenic field. Surprising but true is p 4042
Polytech. Inst. Jassy, Romania, Vol XXIX,
the fact that after cryogenic cooling the value of 23. V. Bulancea, I. Alexandru, and D. Bulancea,
1983, p 712
the residual stresses becomes even lower com- The Dimensional Stability of the Frozen
10. G.V. Kurdjumov, Non-Diffusion (marten-
pared with classical quenching, either in water HSS Cutting Tools, Bull. Polytech. Inst.
sitic) Transformation in Alloys, J. Technol. Jassy, Romania, Vol XL (No. XLIV), p
or in oil, to the ambient temperature. Phys., Vol XVIII (No. 8), 1948 (in Russian) 499502; ASM Int. First Int. Congress Ma-
11. G.V. Kurdjumov and O.P. Maksimova, Low terials Science and Engineering, 1517
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lurgical and Metal Physics Problems, Tome 24. P. Paulin, Frozen Gears, Gear Technol.,
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Influence de traitements thermique a basse 12. G. Fisher and D. Turnbull, J. Appl. Phys., 25. I. Alexandru, Contributions on the Influ-
temperature sur la duree de vie des aciers a` Vol 19, 1948 ence of Thermal Treatments at Tempera-
outils a` coupe rapide tre`s allies, Rev. Me- 13. G. Fisher and D. Turnbull, Austenite-Mar- tures below 273 K of High-Alloyed Steels
tall., Vol 6, 1990, p 383388 tensite Transition Kinetics, J. Met., Vol 19, on their Cutting Properties, Ph.D. thesis,
2. V. Bulancea, I. Alexandru, and D. Bulancea, 1949 Gh. Asachi Polytech. Institute of Jassy,
Carburic Phase in Cryogenically Treated 14. S. Crussard, Comptes Rendues de Jassy, Romania, 1980
Tools Steels, MATEHN 94, First Int. Conf. lAcademie des Sciences, Vol 24, 1955 26. F. Meng, K. Tagashira, R. Azuma, and H.
Materials and Manufacturing Technology, 15. F.L. Lokshyne, Dynamical Theory of Mar- Sohma, Role of Eta-Carbide Precipitations
1820 May 1994 (Cluj-Napoca, Romania), tensitic Transformation, Bull. of Polytech. of in the Wear Resistance Improvements of Fe-
p 377380 Novotcherkask, Vol 71 (No. 85), 1957 (in 12Cr-Mo-V-1.4C Tool Steel by Cryogenic
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The Substructure Elements Modification by 16. K.E. Easterling and A.R. Tholen, On the p 205210
Inducing Compressive Stresses through

Controlled Shot Peening
J. Kritzler and W. Wubbenhorst, Metal Improvement Company, Inc., Germany
WITH MOST VEHICLESwhether for land proving fatigue strength, shot peening is also scribed for the first time (Ref 25). In 1949, a
or air transportthe level of stress increases used: report appeared on stress peening (Ref 26) in
during the production cycle. The increased start- which leaf springs were peened under prestress
In cases of corrosive fatigue, stress corrosion,
ing weights of planes, the higher load on the ax- to achieve a particularly high level of fatigue
les of trucks, and the mounting of stronger and hydrogen embrittlement, friction corrosion, strength. The Society for Automotive Engineers
heavier engines in cars can be named as exam- and wear by cavitation (SAE) published its Manual on Shot Peening in
ples. In other cases, extreme forms of reduced In surface texturing
1952 (Ref 27). During the years 1951 to 1954,
weight construction must be attempted, for ex- To close off porosity
there were two conferences in the Soviet Union
ample, in aircraft construction or when unex- To test adherence of layers as well as peen
in which broad attention was dedicated to shot
pected damage occurs during trials. If the in- forming peening (Ref 2838).
creased stress, as in the case of most Since 1954 (Ref 39) peen forming has been
components, is oscillating, the fatigue resistance used for the manufacture of complex curved sur-
must be increased. This is possibleapart from Historic Development of Shot faces. The first norm, the MIL specification
the trivial solution of increasing cross sections Peening MIL-S-13165 (Ref 40), came into existence in
with their disadvantage of increasing weight 1956 and still applies today in a developed form
by measures relating to the materials, to the con- (Ref 41, 42). Soon after, practically all aircraft
Sandblasting as an example for cleaning cast-
struction, or to the manufacturing process. (Ref 4348) and automobile companies, and so
ings can be regarded as a predecessor of shot
The use of a so-called better material does forth, joined with their own regulations and
less than generally expected, especially if one peening. Literature on this dates from the 1800s
(Ref 1, 2). Shot peening was introduced by Zim- norms. The norms named in the references rep-
considers that increases of the tensile strength of resent merely a selection of the total available
the material is subject to strict limits due to merli (Ref 3, 4) and Almen (Ref 59) in their
respective companies Associated Spring Com- (Ref 4958).
manufacturing as well as cost considerations.
pany and General Motors prior to 1930. In 1934, A general industrial application of shot peen-
An improvement of the construction in detail
patents were granted for the shot peening ma- ing in the Federal Republic of Germany can be
is in many cases the most elegant solution; how-
chines (Ref 10), and during the years 1935 to recorded from approximately 1955, and in this
ever, especially in mass production such as car
manufacture or high-cost light engineering, for 1945 Almen carried out the fundamental work context especially the automobile industry
example, aircraft construction, such possibilities (Ref 1114), for example, development of the should be named in which all springs (valve and
are often already exhausted. Notches, and sharp Almen strip. suspension) are peened since this time. A report
notches at that, are frequently needed for func- Shot peening was also investigated in Ger- by W. Schutz (Ref 59), stemming from the same
tional reasons if one considers the threading of many prior to World War II at the Technical Uni- period, reports about shot peening for improving
bolts or the radii of slots for fittings keys. versities of Darmstadt and Braunschweig (Ref the vibratory fatigue properties of components
In such cases and lately in increasing volumes, 1518). Opel used shot peened valve springs for tracked and road vehicles. The same author
shot peening is used (Fig. 1). Apart from im- from 1935. In about 1940 it was clear that shot later covered the special requirements of drive
peening increases the fatigue strength primarily technology (Ref 60).
by improved residual compressive stress and not
by increasing the hardness of the material sur-
face. Elementary Shot Peening Processes
World War II precipitated the industrial ap-
plication on a large scale in the United States The elementary procedure in shot peening is
(Ref 1921). An American Society for Metals an elastic-plastic impact process between the
conference about peening was held in 1944 (Ref peening material and the workpiece. In this pro-
22, 23). One gets the impression that in contrast, cess, a transformation of the kinetic energy to
the industrial application in Germany was lag- work aimed at the elastic and plastic deformation
ging behind. All the same, a report (Ref 24) ap- of the work material depending on the mass of
peared about the optimizing peening depending the peening material and the shot velocity takes
on the type of machine, impact time, and shot place. The residual compressive stresses in the
size. wake of shot peening are a result of the locally
Shot peening process. Courtesy of Metal Im- In 1946, the measurement of the residual com- occurring plastic deformation on the surface of
Fig. 1 pressive stress of peened torsion springs was de- the workpiece and are caused by the impact of
the individual peening material particles. The pact of the peening material passes, this leads to The advantages of the residual stress caused
distribution of the residual compressive stresses residual compressive stresses at the surface and by shot peening in a workpiece are shown in
varies widely due to the variety of the working internal tensile stresses. Fig. 6.
and peening materials and possesses significant Hertzs Compression. In the process of the The fatigue failure in most components is
differences (see Fig. 2, 3). Hertzs compression, the maximal plastic defor- caused by tensile stresses on the surface. These
The deformation processes or the generation mations occur below the place of impact of the tensile stresses probably arise when the compo-
of residual compressive stresses may be funda- spherical peening material and the flat workpiece nents are newly installed. As each bending cycle
mentally explained according to Wohlfahrt (Ref (Fig. 4b). Here, a residual compressive state is or rotation puts the workload on the component
61, 62) in terms of two elementary processes: formed that has its maximal values below the and removes it, the component becomes increas-
plastic stretching of the immediate workpiece workpiece surface. Both elementary processes ingly susceptible to fatigue cracking until finally
surface and Hertzs compression. occur always, as already stated, side by side and it cracks or a crack from stress corrosion be-
Plastic Stretching of the Immediate Work- are influenced by both the workpiece material comes manifest, and the component fails. In-
piece Surface. In Fig. 4(a) the stretching pro- properties and the parameter of shot peening. cluding shot peening in the original design of the
cess of the area near the surface and its plastifi- The characterization and the key data of a critical components prolongs its life span under
cation is recognizable, declining with increasing compressive stress process caused by shot peen- fatigue.
distance to the edge layer. The only plastically ing can be seen in Fig. 5 (taken from Ref 63). Figure 6(a) shows a component that has not
deformed edge layer is impaired by the only Detailed examples relating to this are shown in been shot peened and has tensile stresses on the
elastically deformed layers below. After the im- Ref 64. surface. The second component (Fig. 6b) has
been shot peened and has compressive stresses
on the surface. Figure 6(c) is a theoretical dia-
gram of the shot peened component under load.
AL 2014 T6
(Z 400/0.020"A/100%)
AZ 31
0
(MI 330/0.016"A/100%)
Workpiece Material and Process
Parameters
100
SF-Cu F20 Workpiece material and process parameters

200 (Z850/0.012"A/200%)
(Z8500/0.012"A/100%) exert different effects on the residual compres-
sive stresses generated by shot peening (Ref 65).

300 The key parameters are shown in Fig. 7.
Changing the parameters shifts the distribu-
400 tion of the generated residual compressive
50 CrV 4 stresses into the respective direction shown. It is
(MI 780/0.010"C/100%)
500 important to note that nearly all changes of the
parameters lead on one hand to changes in the
residual compressive stresses on the surface and
600
on the other hand influence to a much greater
extent the depth of the maximal residual stress
700 below the surface.
0.0 0.1 0.2 0.3 0.4 0.5 0.6
The hardness of the shot peening material in-
Depth, mm
fluences the extent and the depth of the com-
Fig. 2 Typical stress profiles of soft metallic material. Courtesy of Metal Improvement Company, Inc. pressive stresses. For this reason, the peening
15 CrNi 6
(MI 230H/0.014"A/200%)
x(z) = y(z) max r(z)
500 r(z)
z(z)
ES(z) ES(z)
1000
18 CrNiMo 5
(MI 230H/0.020"A/200%)
1500
0.00 0.05 0.10 0.15 0.20 0.25 z z
Depth, mm (a) (b)
Fig. 3 Typical stress profiles of hard metallic material. Fig. 4 Residual stress formation. (a) Stretching surface layer. (b) Hertzian pressure. Courtesy of Metal Improvement
Courtesy of Metal Improvement Company, Inc. Company, Inc.
material should be at least as hard or harder than shown in Fig. 8 and 9 confirm the advantages of terial (see Fig. 10). Coverage at less than 100%
the working material subjected to the process, using hard peening material on high-tensile steel. is only admissible in the case of peen forming.
unless the surface gradient is a decisive factor. Similar reports about the results of shot peening Despite the fact that compressive stress layers
For a large number of ferrous and nonferrous using specially hard peening materials are con- are formedin an incomplete and uneven dis-
working materials, this can be achieved with a tained in Ref 66 and 67. tributionwith shot peening at less than 100%
peening material of the normal hardness of 45 to A change in shot size influences the distribu- coverage the danger of a potential crack in an
52 HRC (Rockwell C). tion of residual compressive stresses and the unpeened area remains. Especially in conjunc-
The increasing use of high-tensile steel (50 roughness. tion with high-tensile gear-wheel materials, it is
HRC and above) demonstrates that the use of In the case of high-tensile working materials,
especially hard peening material (5562 HRC) an increase in the shot size leads to a substantial
is required. The compressive stress profiles increase in the size of the compressive layer. The
surface tension remains nearly identical; how-
Tension
ever, the maximum residual compressive stress,
as well as the positioning of the maximum in 0
(+)
Ultimate tensile strength, %
()
depth, increases.
Tension Compression In soft working materials, such as alumi-

+100 +50 0 50 100 num, the depth of the compressive layer and the
SS
0 roughness are influenced. A larger shot size al- HM v , d , C, HS
d ways leavesgiven the same intensitya
Depth below surface, %
2
smoother surface. Reference 68 contains a report
4 about peening with two differently sized peening
CS(MAX) HS
materials, known as dual shot peening. HM
TS(MAX)
6 The shot velocity is probably the most impor- v, d, HS, HM
tant parameter, as it can be easily varied by the
8
Compression
air pressure and the revolutions per minute of
peening wheel. As is the case with the shot size, 0 Distance from surface, mm
the depth of the maximum compressive layer is
12 primarily influenced and the surface tension is
influenced to a lesser extent. Extremely high shot
velocities may, however, lead to overpeening Fig. 7 Shot peening parameters versus residual stress
Fig. 5 Example of residual stress profile created by shot effects, that is, damage to the surfaces. Such distribution. v, velocity of shot, m/s; d, shot size,
peening. Ss, surface stress, which is the stress mm; C, coverage, %; HS, hardness of shot, HRC, Hm, hard-
measured at the surface. CS(max), maximum compressive effects coincide with reduced surface stresses. ness of material, HRC. Courtesy of Metal Improvement
stress, which is the maximum value of the compressive Depending on the material hardness and consol- Company, Inc.
stress is induced, which normally is highest just below the idation condition of the workpiece, such effects
surface. d, depth of the compressive stress is the point at may lead, for example, to surface ruptures.
which the compressive stress crosses over the neutral axis
A proper shot peening process must be carried Depth, in.
and becomes tensile. TS(max), maximum tensile stress, which
is the maximum value of the tensile stress induced. The out in such a manner that the processed surface 0 0.004 0.008 0.012
offsetting tensile stress in the core of the material balances displays a coverage of at least 100%. The origi-
the surface layer of compressive stress so that the part re-
nal state after processing should no longer be 0 0
Residual stress, ksi

mains in equilibrium; TS(max) must not be allowed to become
large enough to create early internal failures. Courtesy of visible. The entire shot peened area must display
Metal Improvement Company, Inc. spherical indentations caused by the peening ma- 50
46 HRC shot
500
100
Tension 0 Compression Tension 0 Compression 1000 61 HRC shot

150
0 0.1 0.2 0.3

Tension
Depth, mm
Tension Compression stress
Compression
stress stress stress
Residual Fig. 8 Peening 1045 steel at 48 HRC with 330 shot.
stress Courtesy of Metal Improvement Company, Inc.
Surface metal Peened surface

(a) Unloaded beam (b) Shot peened beam Depth, in.
0 0.004 0.008 0.012
Tension 0 Compression
0 0
46 HRC shot
M Residual M 50
500
stress
Applied 100
Resultant 1000
load 150
stress
61 HRC shot
1500 200
Peened surface
250
(c) Shot peened beam under load
0 0.1 0.2 0.3
Comparison of stress distributions. (a) Typical stress distribution in surface of metal beam, unloaded by exhibiting Depth, mm
Fig. 6
residual tensile stress from normal fabricating procedures. (b) Same beam after shot peening, still without ex-
ternal load. Surface stress is now compressive. (c) Beam, when subjected to design loading, still shows some residual Fig. 9 Peening 1045 steel at 62 HRC with 330 shot.
compressive stress at surface. Courtesy of Metal Improvement Company, Inc. Courtesy of Metal Improvement Company, Inc.
proved to be advantageous to apply degrees of If the depth of a borehole exceeds the bore
coverage at 200% and more, as it results in an diameter of the part, an external processing of
increase of the subsurface residual stress. the borehole wall cannot be properly shot
The shot impact angle and the resulting inten- peened. A peening lance with deflecting nozzle
sity or consolidation in the proximity of the edge or the internal deflection method must be applied
layer is an additional important parameter for under controlled conditions.
shot peening. The optimal peening angle for jet Boreholes with diameters up to 2.4 mm are
shot peening emerged at 85. At this angle, the peened in production by applying the internal
maximum power transference occurs without the deflection method (Fig. 12a). Using the deflect-
following peening material being impeded by ing nozzle (Fig. 12b), the internal surfaces of
ricocheting peening material. It can be seen in long pipes, oil drilling gear, helicopter rotor
Fig. 11 at 30 that peening tangentially reduces blades, hydraulic cylinders, and turbine blades
Visual examination using a ten-power magni- the possible power transfer by 50%. The shot are shot peened.
Fig. 10 Figures 2 and 3 show the residual stress pro-
fying glass. Courtesy of Metal Improvement impact angle becomes important in the peening
Company, Inc. of boreholes and workpieces that have roundings files of different working materials depending on
and notches of different sizes in need of pro- the special shot peening parameters. The figures
cessing. clarify the potential variation in breadth in form-
0.010" A ing residual compressive stresses. Zinn listed the
compressive stresses from peening with respect
0.0087" A to welded aluminum alloys (Ref 69).
85 600 For workpieces that are load bearing in one
0.007" A Prestress level, MPa
60 direction only and that require a durability in ex-
45 400 1350 cess of that which can be reached by conven-
0.005" A
tional shot peening, the peening is applied under
700
Tension
30 prestressed condition. The workpiece is peened

200
in a prestressed or expanded state. Stress peening
Impingment Resulting 0
angle intensity generates a much higher residual compressive
0 stress than is possible by conventional shot peen-
ing. The residual stress values generated under
Impingement angle versus intensity. Courtesy 200 prestressed conditions can be as high as the yield
Fig. 11 strength of the working material. Residual
of Metal Improvement Company, Inc. Shot peened condition
400 stresses resulting from stress peening are shown
in Fig. 13.
Nozzle 600
Workpiece
Process Monitoring
800
Stress peened condition
There is no nondestructive testing method to
1000 determine the proper shot peening of a compo-
Compression
M nent. To obtain optimal shot peening results it is

M
1200 necessary to optimize the shot peening parame-
ters applied and ensure that all parameters are
1400
controlled during the peening process. For an ef-
Reciprocating 0 0.2 0.4 0.6 0.8 1.0 1.2 fective control of the shot peening process the
shot deflector Depth, mm parameters must be addressed in the following
order:
Fig. 13 Stress peening of 50 CrV 4. Courtesy of Metal
Improvement Company, Inc.
1. Shot (media) control
2. Intensity control
(a) Shaded area 3. Coverage control
indicates 4. Equipment control
peened surface
The most important shot peening parameter re-
Reciprocating lates to the microstructure, chemistry, shape,
and rotating size, material, and hardness of the peening ma-
peening lance (a) Acceptable shapes terial shot. All these variables are described in
Ref 42 as well as by the condition of the peening
material.
The peening material must be uniform in size
and fundamentally spherical in shape without
(b) Unacceptable "deformed" shapes sharp edges or broken particles. Broken or sharp-
edged peening material can be potentially dam-
aging to the surface of the component. Examples
of this are shown in Fig. 14 to 16. During the
(b) automatic shot peening process, the peening ma-
(b) Unacceptable "broken" shapes
Shot peening of bores. (a) Internal shot deflec-
terial must be sieved and sorted continuously
Fig. 12 (Ref 42).
tor. (b) Lance method. Courtesy of Metal Im- Fig. 14 Peening media. Courtesy of Metal Improve-
provement Company, Inc. ment Company, Inc. Cast steel shot is available in two hardness
ranges, namely 45 to 55 HRC and 55 to 65 HRC. The Almen block(s) with the strip can be The visual inspection of large areas of steel parts,
For steel components exceeding 200 ksi (1375 mounted on an actual component and inserted at fillets, cavities, grooves, or internal bores with a
MPa) in tensile strength hard shot with a hard- the critical angles of the part to be shot peened tenfold magnifying glass to determine a full cov-
ness range 55 to 65 HRC or ceramic shot with (Fig. 17). erage is extremely difficult, if not impossible.
comparable hardness at 57 to 63 HRC should be Frequently, there are no actual components There are two methods to execute the second
used (Ref 42). available for cost reasons. A dummy represent- parameter of coverage control (Ref 42):
For nonferritic materials, shot peening is car- ing the surfaces to be shot peened is used instead.
Visual inspection using a magnifying glass
ried out with stainless steel shot or using ceramic The mounted Almen strips have to be placed in
or glass beads. The decontamination of nonfer- the same positions as they would be on the actual with a tenfold magnification
Inspection using an approved liquid tracer
ritic components after shot peening with ferritic component. Also the distance between the actual
shot by using glass is a common practice to ex- surface and the reference surface incorporating system.
clude cathodic corrosion. the Almen strip to the nozzle must be identical Since 1976 the Dyescan fluorescent tracer liq-
The shot peening intensity is controlled by the (Fig. 18). uids have been available as they are used in the
Almen strip. This is a strip of cold-rolled There are three different types of Almen Peenscan process, an approved liquid tracer sys-
spring steelSAE 1070square-edged and strips, namely, N, A, and C. These Almen strips tem.
uniformly hardened and tempered to 44 to 50 are selected after determining the proper depth The working principle of this process is simi-
HRC. The Almen strip is fixed on a specified of compression required on the part to be shot lar to the dye penetration method to determine
holding fixture. During the peening process, the peened and the energy level necessary to obtain cracks.
Almen strip will be exposed to the peening ma- that depth of compression. The details of the Prior to shot peening, an approved fluorescent
terial from one side. The plastic deformation on measurement referenced by the specification tracer liquid is brushed, sprayed, or dipped on
the strip surface facilitates a bending of the strip. AMS-S-13165 (Ref 42) are shown in Fig. 19. the component, and it is allowed to dry. This
The height of the curvature on being measured Another important shot peening parameter is forms a fluorescent elastic coating that is sub-
in a standard Almen gage is referred to as the arc the coverage. The effect of controlled shot peen- sequently removed at a proportional rate to the
height and is a dimension for measuring shot ing is considered achieved if the entire compo- shot peening coverage. The fluorescent tracer
peening intensity. nent surface is uniformly dimpled or obliterated. system reacts to deviations in shot peening in-
tensity, incomplete coverage, and an excessively
low angle of impact. By inspection under ultra-
violet (UV) light the Peenscan process provides
a practical method of determining the peening
coverage in terms of quantity and the uniformity
Fig. 15 Shot peening media. (a) Unacceptable. (b) Acceptable. Courtesy of Metal Improvement Company, Inc.
Fig. 17 Almen fixture (strapped turbine disk). Courtesy

of Metal Improvement Company, Inc.
Fig. 16 (a) Surface damage caused by poor shot control. (b) Acceptable surface. Courtesy of Metal Improvement Fig. 18 Almen fixture (dummy). Courtesy of Metal Im-
Company, Inc. provement Company, Inc.
of tracer removal. This process has been estab- page. Figure 22 shows a sketch of a computer- binations of these factors make the correct
lished to be clearly superior for determining the controlled shot peening plant. A typical opera- choice a difficult one.
peening coverage to visual inspection using a tional chart of a computer-controlled MIC shot
tenfold magnifying glass. The process is dem- peening plant is shown in Fig. 23. Every working
onstrated in Fig. 20 and 21. step is completed by the printout as proof and Peenstress Software
Only automatic shot peening plants facilitate documentation. An interruption of the shot peen-
the repeatability of the shot peening parameter ing process and its causes are recorded on the Peenstress (Ref 70) is a computer program
and are therefore mandatory. printout (ABORT in Fig. 24). The computer that is capable of modeling the residual com-
These shot peening plants offer the possibility printout provides the data which document that pressive stresses that are introduced by con-
to monitor, control, and record all the important every component was treated with the same shot trolled shot peening in most of the engineering
parameters for accurately verifying the shot peening parameters as the sample component. metals, mild and high-strength steels, stainless
peening process. Such characteristic peening pa- The shot peening plants are equipped with im- steels, carburized and carbonitrided steels, alu-
rameters are the air pressure in every nozzle of portant additional functions, such as peening ma- minum alloys, titanium alloys, and nickel alloys
the peening wheel, material flow of every nozzle terial sorting by size as well as by shape in order (Fig. 25).
or speed of every peening wheel, revolution or to eliminate irregular or inadmissible particles. The Peenstress program will print out a stress
forward speed of the workpiece, oscillation of curve that shows both the magnitude of the re-
the nozzles, distance of the nozzles, peening time sidual stress distribution and the depth profile
of every nozzle, and the total processing time. Process Optimization beneath the surface, for the material and the pa-
In the set intervals, the process parameters are rameters of shot peening that were selected (Fig.
compared with the maximum and minimum Optimization of the effects of shot peening is 26). One can use the curve to read the magnitude
threshold values. On exceeding or falling below achieved by a careful selection of the composi- of the compressive stress at the surface and at
the threshold values, the machine stops itself and tion, hardness, and size of the peening material; depth and use that magnitude in load calcula-
indicates the deviation to the operator and the the transferred energy at impact (which controls tions. One can see very graphically what would
quality assurance department. The mistake must the depth of the compressive layer); and the per- be the resultant residual tensile stress on the op-
be eliminated prior to the machine resuming the centage of coverage, in addition to component posite unpeened surface or in the core of a part
working process precisely from the point of stop- material and geometry. The many possible com- that is peened all over (Fig. 27) and then have
the opportunity to adjust the peening parameters,
if necessary. Most significantly, this can now be
30 0.015 in. done on a computer screen without having to
resort to very expensive and time consuming x-
0.031 Measuring dial ray diffraction (XRD) measurements or even
0.001 in.
N strip
0.051
laboratory and field testing of many variables.
Peening nozzle A strip 0.001 in. Testing is still recommended, but can be reduced
0.0938 to a few selected data points.
C strip 0.001 in.
Almen strips
0.745 C.A.S.E. Process
Shot stream 0.750 in.
46 in.
Almen test strip Frequently, when the bending fatigue life of
gears has been increased by shot peening the
Hardened
10/32 ball tooth roots, surface fatigue or pitting of the con-
screws supports tact faces became the next mode of failure. There
has been a need, particularly for automotive and
Arc
aircraft transmissions, to extend the surface fa-
height tigue life beyond that provided by shot peening
0.75 in. Arc height alone and smoothing the surface after peening
3.0 in.
has been found to be very effective (Ref 67).
Holding Strip removed. Residual Strip mounted for Unfortunately, the processes to accomplish this
fixture stresses induce arching height measurement have been time consuming and therefore costly.
(a) (b) (c)
The C.A.S.E. process (Ref 71) can reduce the
relative finishing time and costs, after shot peen-
Fig. 19 The Almen strip system. Courtesy of Metal Improvement Company, Inc. ing, and provide a surface which, in addition to
having the compressive stresses from the shot
peening, can have Rsk value of as little as 1.1.
Very significant increases in surface contact fa-
tigue (pitting) life have been observed.
C.A.S.E. is an acronym for chemically as-
sisted surface engineering and covers a two-
stage process. The C.A.S.E. Process requires that
the gears are properly shot peened, followed by
chemically assisted superfinishing.
Very different surface profiles can be de-
scribed using nearly the identical Ra values (Fig.
28). The aim of C.A.S.E., however, is to smooth
the spherical edges and to create a profile as
shown in Fig. 29. The value corresponding to
Fig. 20 Shot peening coverage. (a) Partial coverage. (b) Full coverage. Courtesy of Metal Improvement Company, Inc. this profile is:
Rsk skewness
More details are provided in Ref 72 and 73.

The values in Table 1 show clearly that a sur-
face processed with C.A.S.E. is not sufficiently
described by the Ra value. The meaningfulness
lies in Rsk, which has a value clearly below 1,
which is the minimum value striven for.
The stress profiles in Fig. 30 show the tensile
stresses and the residual peening stresses as well
as the C.A.S.E. influence.
X-Ray Diffraction Reading
A significant breakthrough in the controls of

the shot peening process was recently introduced
to industry. This new method entitled Milam,
utilizes XRD readings of residual stress profiles,
which are much more economical and are avail-
able in days rather than weeks. The new method
permits the use of XRD profiles as quality-con-
trol measurements that can be recorded for sta-
tistical process control data. The practical Milam
system has wide applications: for instance, low-
volume aircraft components, high-volume auto-
motive transmission gears, and even in-the-field
shot peening of chemical processing vessels. It
can also be used to predetermine with high ac-
curacy the shot peening parameters for process
development.
The Milam system actually offers three alter-
native applications. The first employs coupons
The Peenscan system. (a) Coated unpeened. (b) Peened 15 s partial coverage. (c) Peened 60 s full coverage. that are essentially the same size as a standard
Fig. 21
(d) Peened 60 s, improper nozzle angle in cavity. Courtesy of Metal Improvement Company, Inc. Almen strip, 0.75 by 3 in. (19 by 75 mm), but
Display Display
Machine Master
terminal Manual input terminal
Manual
Production input
Air Data data Product
pressure data storage
Data
New
procedures Input
Shot Data Master
flow computer
Data
Instruction
Part
Data Printer
motion Procedures
Peening
Instruction from storage
machine
comput.
Data
Nozzle Data Status collection
motion system
Instruction
Limit switches Bulk shot

Status Status handling and
and misc.
devices conditioning
system
Fig. 22 Computer-controlled shot peening machine.
Courtesy of Metal Improvement Company, Inc. Fig. 23 Software path flow diagram. Courtesy of Metal Improvement Company, Inc.
Customer : Air press TMR 5 Sec Oscillation program Nozzle program Tue 5:19:47 PM
Part number : Shot flow TMR 15 Sec Pos In min Pos In min Nozz. Active Feb 16, 1999
Turntable TMR 5 Sec Home 1 30.0 32.0 11 19.5 20.0 1 2:00:00 A
Specification : AMS-S-13165 Speed change 5 Sec start 2 24.0 4.0 12 19.0 21.0 2 2:00:00 A
operation : Max shot flow 25 Lbs 3 23.5 8.0 13 18.5 22.0 3 2:00:00 A
Turntable RPM 16.0 RPB 4 23.0 12.0 14 18.0 23.0 4 2:00:00 A
Mic procedure : 21-8592 5 22.5 14.0 15 17.5 24.0 5 4:00:00 A
Shot size : Ml-170R Mode Horz 6 22.0 15.0 16 17.0 25.0 6 4:00:00 A
Intensity : 6-10A Cycle count NA 7 21.5 16.0 17 12.0 25.0 7 4:00:00 A
Coverage : 100% Cycle time 6:00:00 8 21.0 17.0 18 12.0 25.0 8 6:00:00 A Remaing
Saturation time : 6 minutes 9 20.5 18.0 19 12.0 25.0 9 6:00:00 A cycles
100% cover time : 6 minutes 10 20.0 19.0 TA 12.0 10 6:00:00 A 0
Nozz. 01 Nozz. 02 Nozz. 03 Nozz. 04 Nozz. 05 Nozz. 06 Nozz. 07 Nozz. 08 Nozz. 09 Nozz. 10 Turntable Oscill. Oscill.
speed speed position
Air Shot Air Shot Air Shot Air Shot Air Shot Air Shot Air Shot Air Shot Air Shot Air Shot
Psi lb M Psi lb M Psi lb M Psi lb M Psi lb M Psi lb M Psi lb M Psi lb M Psi lb M Psi lb M RPM In min Inches
Hi limit 60 18.0 60 18.0 60 18.0 60 18.0 60 18.0 60 18.0 60 18.0 40 16.0 40 16.0 40 16.0 11.0 2.0
Data 55 16.0 55 16.0 55 16.0 55 16.0 55 16.0 55 16.0 55 16.0 35 14.0 35 14.0 35 14.0 10.0 6.0
Lo limit 55 14.0 50 14.0 50 14.0 50 14.0 50 14.0 50 14.0 50 14.0 30 12.0 30 12.0 30 12.0 9.0 2.0
SN001 50 14.0 56 16.0 55 15.0 55 14.0 56 15.0 51 14.0 52 15.0 35 13.0 34 13.0 34 14.0 10.0 6.0
SN002 Abort 1:14:10 low shot flow nozz. 02 at lb min
SN002 56 16.0 56 15.0 57 17.0 56 15.0 57 16.0 55 16.0 54 15.0 36 14.0 34 14.0 34 14.0 9.5 5.0
Fig. 24 Typical documentation by computer printout. Courtesy of Metal Improvement Company, Inc.
Table 1 Surface characteristics (17 CrNiMo 6) that are 0.25 in. (6.5 mm) thick. The coupons are
designed to fit on a standard Almen block and
Grounded and Grounded and shot
Grounded shot peened peened and C.A.S.E. can therefore be used on an existing Almen fix-
Parameter Axial Tangential Axial Tangential Axial Tangential
ture. In this way, the Milam coupons are placed
Rz 0.36 1.52 0.68 0.69 0.57 0.66
to represent the critical areas of the part to be
Ra 0.04 0.21 0.10 0.12 0.07 0.07 peened. The Milam coupons are made from the
Rt 0.59 1.96 0.87 0.85 0.85 0.96 same material (or even at the same temperature
Rsk 0.83 0.23 0.19 0.18 1.22 1.35 at the customers option) as the parts and heat
treated along with the parts. They are shot
Source: Metal Improvement Company, Inc.
peened after the Almen strip verification and just
before the parts are processed and periodically
thereafter on request of the customer.
The second is an alternative to the Milam cou-
pons but still part of the Milam system. MIC and
Lambda can handle small parts directly as long
as they are within the dimension of 2 by 2 by
Material Library
1.5 in. (50 by 50 by 38 mm).
With the third alternative, larger parts can be
Material: Al/7010 * T7651/cysp cut up so that the critical areas for XRD reading
Review library
Elastic limit (MPa)
Monotonic Cyclic are available, but Lambda must do the cutting.
472 425 Research mat. After shot peening, the test parts are then sent
Ultim. tensile str. (MPa) : 560 to the XRD laboratory; because of their standard
New material size, the coupons or the small parts can be etched
Elongation (%) : 10,00 and x-rayed at successive depth levels for resid-
Modify mater.
ual stress readings in a very expeditious manner.
Endurance limit (MPa) : Cancel material This is a quick, economical method for measur-
ing induced compressive stresses in components.
Young's modulus (MPa) : 71000 Print data sheet
Poisson's ratio : 0,300 Run Shot Peening Applications

Monotonic Cyclic Help As has already been explained, components
k factor (MPa) 607,60 641,20
n factor 0,0272 0,0446 manufactured from all kinds of materials con-
Quit
taining metals, ranging from magnesium to steel,
Remarks : ENSAM/Prof. Ericsson/20 cycles/1992 ENSAMMIC can be utilized for host peening and, thus, for
creating a compressive residual stress in the
Fig. 25 Material library. The selected material is aluminum alloy 7010 T 76. Screen printout shows the monotonic workpiece surface. In the case of materials with
strength coefficient k and the strain-hardening coefficient, n, as well as the cyclic strengths coefficient k and
the strain-hardening coefficient, n, which define the true monotonic stress strain curve and the cyclic stress strain curve,
a relatively low strength, slight surface faults
respectively. Also shown are the ultimate and yield strengths, elongation, Youngs modulus, and Poissons ratio, for this that could be the initial cause of fatigue cracks
material. Courtesy of Metal Improvement Company, Inc. are in turn obturated by the plastic extension and
1999:2:18 Figure 31 shows clearly how this will operate.

Residual stress distribution Peenstress Figure 31(a) shows in a simplified form the
0.1 0.2 ENSAM-MIC
distribution of stress under applied load. Figure
d = 0,092 mm
Depth, mm h = 0,005 mm 31(b) shows the distribution of the stress of the
shot peened component. Figure 31(c) shows the
F 15 A
S 400 Shot
distribution of stress resulting from the addition
V = 29 m/s of load stress and residual stress. Figure 31(d)
100
Al/7010 * T7651/C shows the distribution of stress after a crack has
spread around the area subject to tensile stress.

Dir. z
The broken lines denote the original distribution
of the stress as shown in Fig. 31(c). Figure 31(e)
200 s, MPa 310 shows a well-advanced stage in the formation of
m, MPa 332 a crack as far as point (I). In the surrounding area
Pm, mm 0.005
there is a change in the stress. Figure 31(f) shows
that the crack no longer extends within the area
300 PO, mm 0.210 subject to residual compressive stress.
Controlled shot peening in the manufacture of
gears (Fig. 32) is to be found in the automobile
industry, in commercial vehicles, in marine
400 gears, in the manufacture of drive shafts, and
extends even to the manufacture of small gears
in hand machine tools and, at the other extreme,
Residual stress profile. Peenstress software calculates and displays the stress profile and the calculated shot extends to its use in the manufacture of large
Fig. 26
velocity. The separate panel indicates the surface stress s, the maximum stress m, the minimum depth of gears used in marine engines, as well as for min-
the maximum stress Pm, and the depth of compression PO. Courtesy of Metal Improvement Company, Inc. ing equipment. The radiuses at the base of the
tooth are normally those parts of the component
1999:2:18 enclosed by the residual stress. In the case of that are subject to most stress and should, there-
Peenstress materials that are of high strength, such as may fore, be peened (Fig. 33 and 34) (Ref 75). In
ENSAM-MIC practice, it has also been found, though, that the
be utilized for the manufacture of gears, for ex-
ample, a higher compressive residual stress can peening results in concaving on the flanks that
0.1 0.2 be achieved, which will, among other things, in- will retain oil and thus provide better lubrication.
crease the fatigue strength. Wear, noise, pitting, and seizing may also be re-
100 100 duced, and the running temperature will drop.
The increase in the size of fatigue cracks de-
pends on the stress factors at the peak of the Gears with a low dimension tolerance or with a
200 AL/7010 * T7651/C 200 crack. An increase in the size of any crack can high level of surface quality can be lapped or
be prevented by the stress (Ref 74) based on the honed after shot peening, provided that during
following factors: the fine finishing care is taken not to remove
300 300 more than 10% of the residual compressive
As a rule, a fatigue crack will not spread un- stress layer.
400 400 less the tensile stresses increase. Compressive stresses induced by controlled
The crack opening stretch does not occur as shot peening may have a lot of benefits, for ex-
long as a compressive stress remains. ample, in the chemical industry applications by
Fig. 27 Stress profile in a thin plate. When the selected
structure is a thin plate, the stress profile shows
tensile stress compensating for the compressive stress be-
low the surface, which is induced by the shot peening. The Negative skewness Positive skewness
structure is a 0.125 in. (3 mm) thick plate, peened on both
sides with equal parameters. If the peening intensity is too
high, excessive tensile stress may be generated internally
that will have a negative effect on fatigue. Courtesy of
Ra = 2.4 m
Ra = 2.5 m Negative
Ra = 2.4 m
Fig. 28 Comparison of Ra values for different profiles

Positive
in C.A.S.E. processing. Courtesy of Metal Im-
provement Company, Inc. Fig. 29 Skewness of the amplitude distribution in C.A.S.E. processing. Courtesy of Metal Improvement Company, Inc.
increasing of the resistance against stress-cor- restored, showing no sign of stress corrosion On the basis of the corrosion test results and
rosion cracking. This mechanism eliminates sur- even after ten years of operation. the production cost considerations, tanks and
face tensile stress. Stress-corrosion cracking can- Shot peening is also successfully applied to other constituent parts of the plant could be man-
not occur in an area of compressive stress. chemical process vessels made of austenitic ufactured from a less corrosion-resistant and
Figures 35 and 36 show the measured residual steel. The results of the laboratory tests for stress therefore less expensive material. Overall costs
stress of a welded StE 460 (P 460 N) steel plate. corrosion are shown in Table 2. In these tests, can be reduced by 50% after allowing for the
This material is used for manufacturing railway samples were exposed to a 42% MgCl2 solution cost of shot peening.
tank cars for ammonia. The residual stresses at 145 C. Also the resistance against corrosion fatigue
were measured to document the suitability of In the absence of stress-corrosion cracks, the will be improved by shot peening, caused by the
shot peening. Stresses were measured in the un- investigations into the shot peened specimens in beneficial effect of the compressive stress. Fret-
treated semifinished material on the untreated line with exposure were discontinued at 1000 h. ting fatigue can occur when a rotating compo-
welding seams as well as on the shot peened ar- The respective production costs of a 5000 L tank nent is press fitted onto a shaft. A slight relative
eas. During 1989 and 1990, about 60 railway container in different materials are compared in movement of the mating surfaces caused by vi-
tank cars used for transporting ammonia were Fig. 37. bration or shifting loads will shear the high
points from the top of the peaks in the mating
surfaces. The resulting debris will oxidize and
produce the typical rusty powder characteristics
200 of fretted steel. This very hard debris tends to
build up in one area, abrading the surface and
0 creating stress risers that can propagate into fa-
tigue cracks.
200 In industry, the piston rod bushes of large die-
Residual stress (ES), MPa
sel engines, joint faces of machine components,

400 bearing pins, and threads are shot peened.
600
Lasershot Peening
800
Lasershot peening, also a surface treatment,
1000 ES employs laser-induced shocks to create deep
Ground
1200
compressive stresses beyond a 0.040 in. (1 mm)
Ground and shot peened
Ground and shot peened and C.A.S.E.
depth with magnitudes comparable to that pro-
1400
duced by shot peening. Lasershot peening has
proven to significantly enhance the damage tol-
1600 erance of components and has generated suffi-
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 ciently impressive results to move it from a lab-
Depth, mm oratory-demonstration phase into a significant
Fig. 30 Stress profile (17 CrNiMo 6). Courtesy of Metal Improvement Company, Inc.
industrial process technology.
Until now this evolution has been slowed
down by the absence of a laser system meeting
the power requirements for economical process-
ing. Commercial lasers available at present are
II
I limited to power outputs of 10 to 100 J, with
repetition rates of around 0.25 Hz and a new de-

sign in development with 1 Hz capability. The
estimated time required to process an area of 1
by 3 in. (25 by 75 mm) could take anything from
1 to 3 h using one of these machines.
Robust laser systems have been developed
that for the first time push the average power
output to 200 J at 10 Hz. It enables the process-
ing of a 3 in.2 (19 cm2) area in minutes instead
(a) (c) (e)
of hours.
With the invention of the laser, it was rapidly
I recognized that the intense shocks required for
II peening could be achieved by means of tamped
plasmas that were generated at metal surfaces by
R means of high-energy density (200 J/cm2) la-
60
sers with pulse length in the tens of nanoseconds
range. Initial studies on laser shock processing
of materials were carried out by the Battelle In-
stitute (Columbus, OH/USA) from about 1968
to 1981 (Ref 76, 77). Excellent recent work has
also been reported in Ref 78.
(b) (d) (f)
Laser intensities of 100 to 300 J/cm2 with a
Crack arrest by compressive self stress. (a) Load stress. (b) Self stress. (c) Sum of (a) and (b). (d) Crack starts.
pulse duration of about 30 ns can generate shock
Fig. 31 pressure of 104 to 105 atm when absorbed on a
(e) Crack progressed to edge of former compressive zone. (f) Crack arrested. Courtesy of Metal Improvement
Company, Inc. metal surface. A thin layer of black paint on the
surface provides an excellent absorber that pro- In order to use the high throughput capability nitudes similar to those generated by shot
duces a plasma burst that is inertially confined of the laser, it is important to have manipulation peening. Additionally, corrosion takes more time
with a surface layer (tamp) such as water (Fig. hardware to rapidly and precisely move surfaces to penetrate the compressive layer induced by
38). These shocks impart compressive stresses to be treated through the rapidly pulsing laser Lasershot peening.
to depths greater than 0.040 in. (1 mm). beam. The authors have designed a five-axis, Deep compressive stress is important for criti-
Special techniques for controlling the tempo- computer-controlled robotics system with mo- cal areas of components such as turbine blades
ral and spatial shape of the pulse are used to tion synchronized to the laser pulses. because it prevents the foreign object damage
prevent the high-intensity laser from breaking As an example of the laser process, Fig. 39 caused by debris being sucked up into a turbine
down the water column or generating stimulated shows the residual stress induced in Inconel by engine from becoming a crack initiation site.
processes that reflect the laser energy before Lasershot peening and contrasts it with typical Most metals can be successfully Lasershot
reaching the paint surface. With appropriate care results achieved by shot peening. Laser-gener- peened to very deep depths of compression (Ref
given to the setup, impressive results can be ated shock can be tailored to develop compres- 7982).
achieved from Lasershot peening. sive stresses deeper into the material with mag-
REFERENCES
Compressive stress, ksi 1. W.E. Newton, Sand Blast and Its Adaption
0 25 50 75 100 125 150 175 200
to Industrial Purposes, J. Soc. Arts, Vol 23,
0 1875, p 257260
2. F.C. Brooksbank, Sand Blast Apparatus for
Cleaning Castings, Iron Age, Vol 57, 1896,
0.0015 0.05 p 640642
3. F.P. Zimmerli, Shot Blasting and Its Effects
on Fatigue Life, Surface Treatment of Met-
0.0030 als, American Society for Metals, 1941, p
0.10 261278
Depth, mm
Depth, in.
4. F.P. Zimmerli, How Shot Blasting Increases

0.0045
Fatigue Life, Mach. Des., Vol 12, Nov
1940, p 62
0.15 5. J.O. Almen, Peened Surfaces Improve En-
0.0060
durance of Machine Parts, Met. Prog., Vol
43 (No. 2), 1943, p 209315
0.0075
6. J.O. Almen, Peened Surfaces Improve En-
0.02
43 (No. 5), p 737740
0.0080 7. J.O. Almen, Peened Surfaces Improve En-
0 500 1000 durance of Machine Parts, Met. Prog., Vol
Compressive stress, MPa 43 (No. 8), p 254261
8. J.O. Almen, Peened Surfaces Improve En-
Fig. 32 Stress profile of carburized gear tooth root, ground, then shot peened with special hardness shot. Courtesy of
43 (No. 9)
9. J.O. Almen, Shot Blasting to Increase Fa-
tigue Resistance, SAE Trans., Vol 51 (No.
6000 7), 1943, p 248268
10. Minich, Abrasive Wheel Throwing Ma-
Shot peened
chine, U.S. Patent 2077636, 1934
5000 11. R.L. Mattson and J.O. Almen, Effect of
Mean Shot Blasting on the Mechanical Properties
1000 of Steel, Final Report, OSRD, 3274, 4825,
Peak cyclic load, nonreversing, N
Peak cyclic load, nonreversing, lb
6647, (NA-115), Office of Scientific Re-

4000
search and Development, Washington D.C.,
None shot peened
Mean 1945
12. R.L. Mattson, H.E. Fonda, and J.O. Almen,
3000 Final Report on Effect of Shot Blasting on
500 bevel gear
Spiral the Mechanical Properties of Steel, (NA-
3,625 D.P. 500
115) (OD-177), National Defense Research
2000 Material: 8620H bar stock Committee of the Office of Scientific Re-
Heat treatment: carburized and hardened, 61 HRC search and Development, War Metallurgy
Load transmitted: 135 hp, 5000 rpm
Shot peening specifications:
Division, 1944
Shot size: 170H 13. R.L. Mattson and J.O. Almen, Effect of
1000
Intensity: 0.010-0.014 A Shot Blasting on the Physical Properties of
Coverage: 200% Steel, Final Report, part 3, OSRD 6647,
National Defense Research Committee of
0 0 the Office of Scientific Research and De-
104 105 106 107
velopment, War Metallurgy Division, 1946
Cycles to failure
14. J.O. Almen, Fatigue of Metals as Influenced
Fig. 33 Increase in fatigue resistance of spiral bevel gear. Courtesy of Metal Improvement Company, Inc. by Design and Internal Stresses, Surface
Stressing of Metals, H.F. Moore, W.M. ihrer Beeinflussung, Dtsch Kraftfahrt., No.
Shot peened area
Murray, J.O Almen, O.J. Horger, and P.R. 49, 1941 (in German)
Kosting, Ed., 48 Feb 1946, p 3384 19. H.F. Moore, Effect of Surface Stressing Grounded area 5 6
15. W. Bautz, U berblick uber die Untersuchun- Metals on Endurance under Repeated Load- 60
gen uber die Dauerhaltbarkeit von Federn. ings, Surface Stressing of Metals, H.F.
Interner Untersuchungsbericht, 28.3, 1938 Moore, W.M. Murray, J.O Almen, O.J. Hor- 2 1
(in German) ger, and P.R. Kosting, Ed., 48 Feb 1946,
16. H. Wiegand, Oberflache und Dauerfestig- p 118 135
keit, Berlin-Spandau, BMW-Flugmotoren- 20. W.M. Murray, Measurement of Surface
bau, 1940, p 83 (in German) Stresses, Surface Stressing of Metals, H.F.
17. O. Foppl, Oberflachendrucken zum Zweck Moore, W.M. Murray, J.O Almen, O.J. Hor-
der Steigerung der Dauerhaltbarkeit mit ger, and P.R. Kosting, Ed., 48 Feb 1946,
320
Hilfe des Strahlkugelgeblases, Mitteilungen p 1932
des Wohler-Instituts, Braunschweig, 1939, 21. O.J. Horger, Mechanical and Metallurgical 380
p 4459 (in German) Advantages of Shot Peening, Iron Age, 29 Stress data of welded StE 460 (P 460 N). Stress:
18. R. Z. von Manteuffel, Dauerhaltbarkeit von March/5 April 1945 Fig. 35
location 1, 484 MPa; location 2, 515 MPa;
Kraftfahrzeugfedern und Moglichkeiten zu 22. M. Olley, Influence of Shot Peening on location 2.1, 171 MPa, 1 mm subsurface; location 5,
20 MPa; location 6, 389 MPa. Courtesy of Metal Im-
Table 2 Results of stress-corrosion cracking tests

Load, h
Material and shot peening parameter At 50% At 70% At 80% At 90% Shot peened area
X 6 CrNiTi 1810 (1.4541)
Repaired area
Not shot peened 11 5 3.2
SSCW 0.8, 5 A, 100%
SSCW 0.8, 12 A, 100%
SSCW 0.8, 20 A, 100% 1000 1000 7
9
X 6 CrNiTi 17122 (1.4571)
Not shot peened 17 11.3 7.5
SSCW 0.8, 5 A, 100% Grounded area
SSCW 0.8, 12 A, 100% 1000 1000
SSCW 08, 20 A, 100% 1000 1000
X 2 CrNiMoN 225-3 (1.4462)
Not shot peened 5.3 3.3 1.3 320
SSCW 0.8, 5 A, 100%
SSCW 0.8, 12 A, 100% 1000 1000 2 Fig. 36 Stress data of repair welded StE 460 (P 460 N).
SSCW 0.8, 20 A, 100% 1000 1000 5.3 Stress: location 7, 357 MPa; location 7.1,
78 MPa, 1 mm subsurface; location 9, 434 MPa. Cour-
tesy of Metal Improvement Company, Inc.
Specimen tensile tested in 42% MgCl2 medium at 145 C and at a load of 50 to 90% of the 0.2% yield point
90,000
80,000
100 700
70,000
Cost of production, Euro
90
600 60,000
Peened
Computed stress, MPa
Computed stress, ksi
80 50,000
40,000
500
70
30,000
Not peened
20,000
60
400 10,000
0
50 1.4541 1.4571 1.4539 1.4462
105 106 107 Material
Cycles to failure
Fig. 37 Cost comparison of 5000 L vessel. Courtesy of
Fig. 34 Fatigue chart of carburized gears. Courtesy of Metal Improvement Company, Inc. Metal Improvement Company, Inc.
Mechanical Properties, Symposium on 26. J.C. Straub and D. May, Stress Peening, 30. B.G. Gurewitsch and S.F. Jurjew, Einflu
Shot Peening, American Society for Metals, Iron Age, 21 April 1949, p 6670 der Restspannungen auf die Erhohung der
1944 27. Manual on Shot Peening, Sp-84, Society of Schwingfestigkeit nach der chemischen und
23. F.P. Zimmerli, Shot Peening of Coil and Automotive Engineers, 1952 thermischen Behandlung, Hohere Gestalt-
Leaf Springs, Symposium on Shot Peen- 28. S.W. Serensen, Zusammenhange zwischen festigkeit durch Oberflachenverfestigung,
der Schwingfestigkeit, der Ober- flachen- Vortrage auf der Tagung der Wnitomasch,
ing, American Society for Metals, 1944
verfestigung und der konstruktiven Gestal- Moscow, April 1954, p 5678
24. K. Walz, Federfragen- insbesondere aus 31. B.F. Balaschow, Festigkeitserhohung durch
tung, Hohere Gestaltfestigkeit durch Ober-
dem Gebiet der Zeitfestigkeit bei sinusfor- Nitrieren von Maschinenteilen, Hohere
flachenverfestigung, Vortrage auf der
miger und schlagartiger Beanspruchung, Tagung der Wnitomasch, Moscow, April Gestaltfestigkeit durch Oberflachenverfes-
Broschure der Mauser-Werke, Oberndorf, 1954, p 1339 tigung, Vortrage auf der Tagung der Wni-
1943 29. N.P. Stschapow, Oberflachenverfestigung tomasch, Moscow, April 1954, p 7999
25. H.O. Fuchs and R.L. Mattson, Measurement im Eisenbahnwesen, Hohere Gestaltfestig- 32. I.W. Kudrawzew, Einflu der Restspannun-
of Residual Stresses in Torsion Bar Springs, keit durch Oberflachenverfestigung, Vor- gen auf die Schwingfestigkeit geschweiter
Proc. Soc. Exp. Stress Anal., Vol 4 (No. 1), trage auf der Tagung der Wnitomasch, Mos- Werkstucke Hohere Gestaltfestigkeit durch
1946, p 64 cow, April 1954, p 4055 Oberflachenverfestigung, Vortrage auf der
Tagung der Wnitomasch, Moscow, April
1954, p 100118
33. M.M. Kobrin, Festigkeit der
Laser beam Preverbindungen mit oberflachengewalz-
ten Sitzflachen Hohere Gestaltfestigkeit
durch Oberflachenverfestigung, Vortrage
Pressure auf der Tagung der Wnitomasch, Moscow,
Tamping material April 1954, p 119130
34. A.W. Rabtschenkow, Oberflachenbehan-
Protective overlay dlung zur Erhohung der Schwingfestigkeit
for light absorption von Stahl unter Korrosionswirkungen Hoh-
ere Gestaltfestigkeit durch Oberflachenver-
Part to be
processed Shock waves festigung, Vortrage auf der Tagung der
Wnitomasch, Moscow, April 1954, p 131
152
35. I.S. Koslowski, Festigkeitserhohung durch
einsatzgehartete Zahnrader im Kraftfahr-
0+ zeugbau Hohere Gestaltfestigkeit durch Ob-
Plasma erflachenverfestigung, Vortrage auf der Ta-
burst gung der Wnitomasch, Moscow, April
causes 1954, p 153169
pressure Residual Pressure
compressive wave
36. W.T. Tschirikow, Erhohung der Festigkeit
stress und Lebensdauer einsatzgeharteter Kraft-
fahrzeugzahnrader, Hohere Gestaltfestigkeit
durch Oberflachenverfestigung, Vortrage
auf der Tagung der Wnitomasch, Moscow,
Fig. 38 Lasershot process. Courtesy of Metal Improvement Company, Inc.
April 1954, p 170180
37. N.A. Karasjew, Erhohung der Dauerfestig-
keit von Maschinenteilen durch Kugelstrah-
Depth, mm len, Hohere Gestaltfestigkeit durch Ober-
0 0.25 0.5 0.75 1 1.25 flachenverfestigung, Vortrage auf der
0
Tagung der Wnitomasch, Moscow, April
0
1954, p 181194
20 Shot peened 38. D.S. Listgarten, Einflu von Oberflachen-
0.010 A 200 gute und Warmbehandlung auf die
40 Schwingfestigkeit von Federstahl, Hohere
400 Gestaltfestigkeit durch Oberflachenverfes-
60
tigung, Vortrage auf der Tagung der Wni-

80 tomasch, Moscow, April 1954, p 195217
600
39. Shot Peen Forming, Steel, Metalwork.
100 Lasershot peened
Week., 7 July 1958
by MIC-LLNL 800
120
40. Shot Peening of Metal Parts, Military
Specification No. MIL-S-13165, 1956
140 1000 41. Shot Peening of Metal Parts, Military
Specification MIL-S-13165 B Amendment-
160
1200
2, 25 June 1979
180 42. Shot Peening of Metal Part, AMS-S-
13165
200 1400 43. Werkstofftechnische Verfahr en. Techn. Be-
0 0.01 0.02 0.03 0.04 0.05
triebshandbuch der DLH Nr. TBH-90-K,
Depth, in.
15. April 1965
Fig. 39 Stress profile of Inconel 718. Courtesy of Metal Improvement Company, Inc. 44. Spezifikation fur Kugelstrahlen von Metal-
len, MBB-UFE-Entwurf Nr. 18/70, Aug 61. H. Wohlfarth, Ein Modell zur Vorhersage ogy, The CASE for Superfinishing, Metal
1970 kugelstrahlbedingter Eigenspannungszu- Improvement Company, Inc.
45. A 300 B-Landing GearTechnical Infor- stande. In Macherau, Hauck: Eigenspannun- 72. L. Mummery, Surface Texture Analysis,
mation for Implementing Main Parts Repair genEntstehung, Messung, Bewertung, Hommelwerke GmbH, VS-Schwenningen/
Procedures, Doc. No. 16171, Messier-His- DGM Informationsgesellschaft Verlag, Ob- Germany Handbook
pano Product Support erursel, 1983, Band 2 73. Hommel Surface Roughness, Terminology
46. Shot Peening of Steel and Titanium Al- 62. H. Wohlfahrt, Residual Stress and Stress and Parameters, Hommelwerke GmbH, VS-
loys, Process Specification No. MA-57, Relaxation, E. Kula and V. Weiss, Vol 28, Schwenningen/Germany
Rev. B, Northrop Corp. Norair Div., 28 July Sagamore Army Mat. Res. Conf., Plenum 74. H.O. Fuchs, Regional Tensile Stress as a
1967 Press, Paris, London, 1982, p 71 Measure of the Fatigue Strength of Notched
47. Materials and Processes Requirements for 63. Shot Peening Applications, Engineering Parts, Mechanical Behavior of Materials,
Air Force Systems, Military Standard No. Manual, 8th ed., Metal Improvement Com- Vol II, p 478448
MIL-STD-1587 (USAF), 31 July 1976 pany 75. J.B. Seabrook and D.W. Dudley, Results
48. Shot Peening, Report No. 201003, 64. H.O. Fuchs, Shot Peening Stress Profiles, of a Fifteen Year Program of Flexural Fa-
WU 813, Boeing, 15 June 1969 Metal Improvement Company tigue Testing of Gear Teeth, American So-
49. Shot Peening, Computer Monitored, 65. B. Scholtes, Eigenspannungen in mechan- ciety of Mechanical Engineers No. 63-WA-
AMS-S-2432 isch rundschichtverformten Wirkstoffzus- 199
50. Shot Peening, AMS-2430 tandenUrsachen, Ermittlung und Bewer- 76. B.P. Fairand and B.A. Wilcox, J. Appl.
51. Peening Media, AMS-2431 tung. DGM Informationsgesellschaft, Phys., Vol 43, 1972, p 3893
52. Cut Wire Shot, SAE J 441, Society of Au- Oberursel 1980 77. A.H. Clauer, B.P. Fairand, and J. Holbrook,
tomotive Engineers 66. D.P. Townsend and E.V. Zaretsky, Effect J. Appl. Phys., Vol 50, 1979, p 1497
53. Test Strip, Holder and Gage for Shot Peen- of Shot Peening on Surface Fatigue Life of 78. P. Peyre and R. Fabbro, Optical Quantum
ing, SAE J 442, Society of Automotive En- Carburized and Hardened AISI 9310 Spur Electron., Vol 27, 1995, p 12131229
gineers Gears, NASA Technical Paper 2047, Na- 79. P. Prevey, D. Hombach, and P.I. Mason,
54. Cast Shot and Grit Size Specifications for tional Aeronautics and Space Administra- Thermal Residual Stress Relaxation and
Shot Peening and Cleaning, SAE J 444, tion, 1982 Distortion in Surface Enhanced Gas Turbine
Society of Automotive Engineers 67. D.P. Townsend, Effect in Surface Fatigue Engine Components, Proc. ASM/TMS
55. Metallic Shot and Grit Mechanical Test- Life of Hardened Gears by High-Intensity Materials Week (Indianapolis, IN), 1518
ing, SAE J 445, Society of Automotive En- Shot Peening, NASA Technical Memoran- Sept 1997, ASM International
gineers dum 105678, National Aeronautics and 80. S.R. Mannava, W.D. Cowie, and A.E.
56. Cast Steel Shot, SAE J 827, Society of Space Administration McDaniel, The Effects of Laser Shock
Automotive Engineers 68. A. Ahmad and E.D. Crouch, Dual Shot Peening (LSP) on Airfoil FOD and High
57. Specification for Low-Carbon Cast Steel Peening to Maximize Beneficial Residual Cycle Fatigue, USAF Structural Integrity
Shot, SAE J 2175, Society of Automotive Stresses in Carburized Steels, ASM Inter- Program Conference, United States Air
Engineers national/Reprint 8904006 Force, Dec 1996
58. Procedures for Using Standard Shot Peen- 69. W. Zinn, Untersuchungen zum Dauerschwi- 81. C. Brent Dane, J. Wintemute, B. Bhachu,
ing Test Strip, SAE J 443, Society of Au- ngverhalten von Stumpf- and L. Hackel, Diffraction Limited High
tomotive Engineers schweiverbindungen aus den naturharten Average Power Phaselocking of Four 30J
59. W. Schutz, Betriebsfestigkeitsversuche mit Aluminiumlegierungen AlMg3 Deutscher Beams from Discrete ND:Glass Zigzag Am-
Spurstangenhebeln und Lenkhebeln zum Verlag fur Schweitechnik, Dusseldorf, plifiers, Postdeadline paper CPD27, CLEO
Typ Buffel LBF-Bericht Nr. 961/9621/ 1988 97, 22 May 1997
1058, Darmstadt, Nov 1960 70. Y. Le Guernic, Impact/Review of Shot 82. J.R. Harrison and L.A. Hackel, New Laser
60. W. Schutz, Impact/Anwendungsbericht Ku- Peening Technology, Peenstress Software Technology Enables Lasershot Peening to
gelstrahlverfahren, Kugelstrahlen in der An- Selects Shot Peening Parameters, Metal be a Commercially Affordable Process,
triebstechnik, Metal Improvement Com- Improvement Company, Inc., France SAE 981963, Society of Automotive Engi-
pany, Inc., Unna/ Deutschland 71. Impact/Review of Shot Peening Technol- neers, 1998
Residual Stress Formation during Casting

R.W. Lewis, University College of Swansea, Wales
K.N. Seetharamu, Z.A. Zainal, and A.Y. Hassan, University of Science Malaysia
MOST FOUNDRIES have stories about cast- Even if a casting were subjected to no mold sections. This is, of course, simply the result of
ings that flew into pieces with a bang when being constraint at all, it would certainly suffer inter- the internal sections being surrounded by other
machined, or even when simply standing on the nally generated constraints as a result of uneven hot sections. The reasoning is therefore the same
floor. It is easy to dismiss such stories, but they cooling. The famous example of this effect is the as for the thick/thin-section casting in Fig. 1(a).
should be viewed as warnings. They warn that, mixed-section casting shown in Fig. 1(a). If a The internal walls suffer tension at a late stage
in certain conditions, castings can have such high failure occurs, it always happens in the thicker of cooling. This tension may be retained as a
stresses locked inside that they are dangerous and section. The explanation of this behavior re- residual stress in the finished casting, or may
unfit for serviceeven though they look perfect quires careful reasoning. First, the thin section lead to catastrophic failure by tearing or crack-
(Ref 1). More than $50 million is attributed to ther- solidifies and cools. Its contraction along its ing. The same reasoning applies to the case of a
mal stress-generated casting defects. Such defects length is easily accommodated by the heavier single-component heavy-section casting such as
can be essentially eliminated through the applica- section, which simply contracts under the com- an ingot, billet, or slabespecially when cast in
tion of computer predictions. pressive load since it is hot, and therefore plastic, steel, which has poor thermal conductivity. The
If a casting were to be cooled at a uniform rate if not actually still molten. Later, however, when inner parts of the casting solidify and contract
and with a uniform constraint acting at all points the thin section has practically finished contract- last, putting them into tension. Because of the
over its surface, then it would reach room tem- ing, the heavier section starts to contract. It is low yield point of the hot metal, extensive plastic
perature perfectly in proportionperhaps a little now unable to compress the thin section, which yielding occurs.
large, or a little small, but not distorted. In prac- has become rigid and strong. Thus, the heavy There is a further type of internal constraint
tice, of course, the casting generally is somewhat section goes into tension. Depending on its tem- that appears to be universal in castings of all
large, or somewhat small, and not quite accurate perature it will either stretch plastically, hot tear, sizes and shapes. It is rarely recognized, but was
in shape. Occasionally, it may be very seriously or cold crack. investigated by Weiner and Boley (Ref 2) in a
distorted. Again, in an ideal world, if the con- The example shown in Fig. 1(b) is another theoretical study of a simple slab casting. They
straint by the mold were either zero or infinite, common failure mode. The internal walls of the assumed elastic-plastic behavior of the solid, and
in both cases the casting would be of predictable castings remain hot longest, even though the that the yield point of the solid was zero at the
size and correct shape. casting may have been designed with even wall melting point (not quite true, but a reasonable
working approximation) and increased as the
casting cooled. They found that plastic flow of
the solid occurs at the very beginning of solidi-
fication. The stress history of a given particle
was found to be as follows. On freezing, the par-
ticles are subject to tension, and since the yield
is initially zero, its behavior is at first plastic. As
or it cools, the tensile stress on it increases and re-
mains equal to the yield stress corresponding to
its temperature, until such time as the rate of in-
crease of stress upon it is less than the rate of
increase of its yield stress. It then starts to behave
(a) elastically. Soon after unloading begins, the
stress on the particle decreases rapidly, becom-
ing compressive, and finally reaching the yield
stress in the opposite direction. Its behavior re-
mains plastic thereafter.
or To sum up their findings, in a solidifying ma-
terial there will be various deformation regimes:
(1) a plastic zone in tension at the solidification
front, since the strength of the solid is low; (2)
a central region where the stresses are in the elas-
(b)
tic range; and (3) a zone at the surface of the
(a) Thick/thin-section casting showing tensile stress in the thick section. (b) Even-walled casting showing internal casting where there is a plastic flow in compres-
Fig. 1 sion. The overall scheme is illustrated in Fig. 2.
tensile stresses
a center bar of more than twice the diameter of

Elastic the outer bars would suffer a residual stress of
compression Elastic
Plastic tension more than 200 MPa (30 ksi), which was suffi-
compression cient to fracture the bar during cooling.
Plastic The stress analysis of castings poses several
(Time)0.5
tension
problems not seen in more traditional problems
in mechanics. Residual stress formation during
casting is a consequence of various regions of a
Liquid geometrically complicated component cooling at
Distance
different rates. The stress response is the result
of coupled thermal, microthermal, and stress his-
tories. Stress predictions are strongly influenced
Plastic Elastic Plastic Liquid
by the thermal and microstructural histories. The
+
Mold Compression Tension solid accuracy of thermal and microstructural predic-
tions is a primary factor in the accuracy of resid-
ual stress predictions.
Figure 4 schematically represents the types of
analyses required to completely describe a cast-
Tensile
stress
ing process (Ref 7). An overall architecture of a
0
comprehensive solidification modeling system is
shown in Fig. 5, which depicts the various mod-
ules available in the current state-of-the-art so-
Compressive
lidification simulation of casting processes, the
stress
information available from each module, and the
interconnection between each module (Ref 8).
0 0.2 0.4 0.6 0.8 1.0 The primary and most obvious phenomenon
Distance through solid controlling casting is the transfer of heat from
the cooling metal to the mold. The early models
Fig. 2 Elastic-plastic regimes in a simple slab casting
of casting cooling were straightforward heat con-
duction analyses. However, the mechanics of
fluid flow are important for both mold-filling ef-
ever, Weiner and Boley (Ref 2) are likely to be fects and physics-based models of interdendritic
90
more nearly correct for smaller castings in sand porosity formation. Buoyancy effects after the
80 mold is full exert varying degrees of influence
molds. Here, the interfacial pressure will be less,
Residual tensile stress, MPa
Gray cast iron

70 and the surface more accommodating, reducing during the cooling cycle, depending on the thick-
the restraint due to friction. Thus, their analysis ness of the casting being produced. In addition,
60
probably remains the most appropriate for me- analysis of the flow of various chemical species
50 is very important for crystal growth, and many
dium-size shaped castings.
40 As in cases where the casting is constrained thermofluid models today incorporate species
Al alloy flow.
30 by the mold, removing the casting from the mold
at an early stage would be expected to be normally The heat-transfer processes occurring are
20 complex, the cooling rates employed range from
beneficial in reducing residual stress. Figure 3
10 shows the result for iron and a high-strength alu- 105 to 1010 K/s, and the corresponding solidi-
Approximate solidification time fication systems extend from several meters to a
0 minum alloy (Ref 5). All the observations made
0 1 2 4 8 16 32 64
thus far appear to be explainable assuming that few micrometers. These various cooling rates
Time in mold before stripping
the cause of the development of residual stress produce different microstructures and hence a
is the interaction of different members of the variety of thermomechanical properties. Yu et al.
Fig. 3 Residual stresses in aluminum alloy and gray
iron castings as a function of stripping time casting cooling at different rates. (Ref 9) related the occurrence of casting defects
to cooling rates. During the solidification of bi-
nary and multicomponent alloys, the concentra-
Prediction of Residual Stresses in tions vary locally from the original mixture as
The model probably would be improved, but not material may be preferentially incorporated or
fundamentally altered, by using creep flow be- Castings rejected at the solidification front. The material
havior instead of the elastic-plastic flow behavior between the solidus and the liquidus tempera-
with yield stress a function of temperature. The strain DL/L due to differential contraction tures is partly solid and partly liquid (resembling
Richmond and Tien (Ref 3, 4) criticize this is determined by the temperature difference, DT, a porous medium) and is referred to as the
model on the grounds that it does not account and the coefficient of thermal expansion of the mushy zone. Lewis et al. (Ref 10) have given
for the friction at the casting/mold interface. alloy, . Since e DL/L DT, r eE, an account of several aspects of modeling of heat
When Richmond and Tien included this, they results in r EDT. The stress therefore de- transfer, fluid flow, and thermodynamics in cast-
found that the casting/mold interface is no pends on the temperature difference between ings.
longer in compression but in tension. This is al- members. It is also worth noting that the stress Solidification kinetics, including phase selec-
most certainly true for large castings in metal is independent of casting length L. tion, nucleation, and growth, are now being in-
molds, such as steel ingots in cast iron ingot Further influence of the geometry of the three- vestigated in several laboratories. Incorporation
molds, where the pressure between the mold and bar frame casting was found by Von Steiger (Ref of these principles into the more traditional ther-
casting is high, the friction is high, and the mold 6), who measured the increase of the stress in the mofluid models promises to enable quantitative
is rigid. These authors explain the occurrence of center bar of gray iron castings by increasing the microstructural predictions in the near future
surface cracks in steel ingots in this way. How- rigidity of the end cross-members. He found that (Ref 9), and predictions of engineering proper-
ties such as tensile strength and elongation will case of aluminum-rich Al-Cu castings (Ref 25). 28) have presented a fast-acting simultaneous
be possible before long. These predictions will An analytical criterion, identifying conditions filling and solidification model based on reduc-
enable product-design engineers to evaluate the under which there will be no porosity formation, tion of Navier-Stokes equations to a transient
effects of nonuniform properties and defects on is established. Hiebler et al. (Ref 26) showed that Bernoulli equation and potential equation along
the life-cycle performance of components. Fi- the strength properties of in situ solidified steel with enthalpy method with a one-dimensional
nally, the coupling of mechanical analysis with near the solidus temperature can be readily de- heat conduction model. Ruiz and Khandia (Ref
thermal analysis enables the prediction of resid- termined and hence may allow development of 29) have used LS-DYNA 3D both for the filling
ual stresses and distortions in castings. a stress criterion in order to further improve the simulation and to carry out a coupled thermal
Another important problem is the material re- assurance of inner soundness even under the and stress analysis of casting during solidifica-
sponse to the thermal cycle, as material proper- most critical conditions. However, Yamanaka et tion, predicting cooling rates, residual stresses,
ties are temperature dependent (Ref 11). For al. (Ref 27) found that internal cracking occurs and as-cast shapes. Magnin et al. (Ref 30) deter-
steels and other materials, dramatic changes in and extends when the total amount of strain ap- mined the elastoviscoplastic constitutive equa-
mechanical properties can occur at temperatures plied between zero strength temperature (ZST) tion using an optimization model, which calcu-
above 600 C (1110 F). Phase transformations, and zero ductility temperature (ZDT) exceeds lates the best rheological parameters to fit
with their attendant volume changes, also play the critical strain, independent of deformation experimental stress curves. This law is then in-
an important role in the development of residual mode, whether continuous or intermittent. troduced in a finite-element model of billet DC
stresses. It is interesting to note that Zhang et al. (Ref casting using the commercial software package
Thermomechanical models were first applied
to modeling of continuous casting and ingot
casting. Elastoplastic (Ref 1214) and elasto- Macroporosity (isolated hot spots)
viscoplastic (Ref 1517) behaviors have been Heat-flow Microporosity (empirical criteria; e.g., Niyama)
considered with thermo-dependent material prop- analysis Primary dendrite arm spacing (empirical criteria)
erties. The effect of different kinds of constitu- Secondary dendrite arm spacing (empirical criteria)
tive equations has been discussed (Ref 18), and Better representation of the thermal
elastoviscoplastic behavior seems to be more ap- Fluid-flow field during and after mold filling
propriate to model the development of strain and analysis Darcy flow for interdendritic
stress in casting and to take into account the dif- porosity models
ferent states of metal (liquid, semisolid, solid).
Such models were recently applied to the cast- Grain size of castings via nucleation
Solidification and growth laws
ings of complex-shape parts (Ref 19, 20). kinetics Secondary dendrite arm spacing (coarsening relations)
The focus is currently on the validation of Solidification path
models: Do they correctly describe reality, and
what must be the accuracy of materials data for Prediction of macrosegregation
models to be predictive? The great influence of Species flow Prediction of microsegregation
analysis Enhanced representation of the solidification
thermal properties of alloys on calculated solid- kinetics, fluid flow, and heat transfer
ification time have been pointed out (Ref 21).
Coupling between thermal and mechanical be- Physics-based solidification shrinkage
havior magnifies the complexity of this problem Thermomechanical Hot tearing from yield criteria
since not only thermal and mechanical properties analysis Prediction of air gap with modification
of heat transfer
must be accurately known, but the way the cou-
Prediction of residual stresses and
pling is modeled also is of importance. casting dimensional control
Chandra (Ref 22) presents the basic concepts
for a comprehensive finite-element-based com- Fig. 4 Types of analysis available for solidification modeling, with their benefits
puter simulation method for the prediction of hot
tears, hot cracks, residual stresses, and distor-
tions in precision castings using a sequential
thermomechanical analysis approach. The exist-
ing capabilities of several industry standard Initial design
commercial and research finite-element codes
are also reviewed. Drezet et al. (Ref 23) predict
the deformation and temperature field evolution Special boundary
Material
during direct chill (DC) and electromagnetic Quick analysis
properties
conditions (interface,
(EM) casting of aluminum alloy slabs using a (solidification time,
(metal, mold)
heat-transfer
transient thermomechanical model based on vis- modulus, etc.) coefficients, etc.)
coplastic law. The model, validated on the basis
of the measurements presented earlier in this ar-
ticle, enables prediction of the influence of cast- Solidification Stress analysis
ing parameters on butt curl and swell, rolling Rules (empirical simulation (temper- (shrinkage
Rigging design
charts, etc.) ature, solid fraction, stresses
faces pulling, and residual stress state for DC and
velocity, etc.) distortion)
EM cast ingots.
Stefanescu (Ref 24) has made an attempt to
predict features such as microsegregation, mi-
Microstructural Defect prediction Mushy zone
crostructure length scale, fraction of phases, evolution (grain (macro- and fluid flow
structural transitions, hardness, microhardness, size, dendrite microporosity, (macro-
and tensile properties. Distribution of residual arm spacing, etc.) misrun, etc.) segregation)
porosity in castings is calculated based on a uni-
form solidification assumption for the particular Fig. 5 Typical architecture of a comprehensive solidification modeling system
MARC. A good idea of product quality and per- material is elastic if a certain function of the fer by radiation and by free convection. The vari-
formance can often be obtained at the initial yield condition has a value of less than zero, ation of density and specific heat with tempera-
stage of the product development cycle through while time-dependent viscoplastic flow occurs ture is handled as discussed by Comini et al. (Ref
prediction of filling, solidification, stresses, and when the value of this function is positive. The 41), and any phase change that occurs is treated
shrinkage (Ref 31). Examples of simulations model can also be used to give the purely plastic by the method discussed by Morgan et al. (Ref
conducted using an experimental die, an auto- solution, in which time and viscous effects do 42). The thermal conductivities of the ingot and
motive housing, and a wheel in an aluminum not have real meaning but are used merely as mold are also allowed to vary with temperature.
alloy are given. means for attaining steady-state condition. The temperature fields in the ingot and the mold
The temperature field and the development of are computed simultaneously using a finite-
the thermal stress in a section at the midheight element formulation. The region of interest is di-
Finite Element Analysis of an ingot casting are calculated and shown. vided into a number of eight-noded isopara-
metric elements Xe, with boundary Ce with
An experimental on-site study of the influence quadratic shape functions Ni associated with
of operating parameters on the quality of castings Finite-Element Formulation of the each node i. In the isoparametric elements, the
produced in a working steel mill would be very Heat-Flow Problem (Ref 39) shape functions are used to transform the coor-
costly and time consuming. It is far more prac- dinates (Ref 34), and this enables better repre-
tical to simulate the entire complex process nu- The variation of temperature T with time in a sentation of any curved boundaries that may be
merically. Any acceptable mathematical model two-dimensional region X bounded by a curve present in the problem. The unknown tempera-
should be capable of accommodating variations C, for both ingot and the mold, is given by: ture T is approximated in the solution domain at
in the operating parameters as they arise in prac- any time by:
T T T
tice so that their effects on the final product can
be predicted. Another requirement placed on the
qc
t

x
kx
x
y
kyy (Eq 1)
n
model is that it be suitable for designing molds T Ni Ti(t)

i1
(Eq 4)
so that the optimum mold type may be used for where qc is the thermal capacity, and kx, and ky
given casting conditions and steel qualities. are the thermal conductivities in the x and y di-
Since the entire process is dependent on heat rections, respectively. where Ti is the time-dependent value at node i.
flow from the ingot to the mold and subsequently The boundary conditions for this partial dif- The substitution of Eq 4 into Eq 1 and the appli-
to the surroundings, it is logical to determine the ferential equation are the expressions for the heat cation of the Galerkin method (Ref 34) results in
temperature field at various stages of the process. fluxes between the ingot and mold and between
From this temperature field, initial strains can be the mold and the surroundings. These boundaries KT CT F (Eq 5)
calculated and the resulting thermal stresses de- occur in two regions:
termined. (1) Between the ingot and inner wall of the in which typical matrix elements are
Since the appearance of the pioneering paper mold:
by Sarjant and Slack (Ref 32), a number of au- Ni Nj Ni Nj
thors have published studies on the development
of mathematical models for calculation of the q12 h12(T1 T2)
k12
(T1 T2) (Eq 2)
Kij e X e K x
x x
Ky
y y
d12
solidification process in steel ingots. Although
the solidification of an ingot is a three-dimen-
dX e C hNi Nj dC
e
(Eq 6)
sional process, it appears to be possible to obtain where T1 is the surface temperature of the ingot
an adequate picture of the process using a two- and T2 is the temperature of the inner wall of the
dimensional model. It has been demonstrated mold.
(2) Between the outer wall of the mold and
Cij e X e
qcNi Nj dX (Eq 7)
(Ref 33) that for the ingot dimensions used in
actual practice, a true picture of the solidification the surroundings:
process can be obtained by calculation in a hor-
izontal section at midheight through the ingot. q3 h3 (T3 T) (Eq 3) Fi e C e
Ni hTdC (Eq 8)
The thermal model used here uses the Galer-
kin method (Ref 34) and eight-noded quadratic where T3 is the temperature of the outer wall of where the summations are carried out over each
isoparametric elements and possesses the novel the mold and T is the ambient temperature. element e.
feature of using elements with time-varying con- The heat-transfer coefficient h12 changes when The coupled system of ordinary differential
ductivity to model the heat transfer in the air-gap the air gap between the ingot and the mold equations represented by Eq 5 is solved by a fi-
that forms between ingot and mold. Calculated forms. To take this phenomenon into account, nite-difference two-stage Crank-Nicolson pre-
temperature fields may be used to evaluate the h12 is regarded as a function of position on the dictor-corrector method, and in this way the
loading stresses, and in this way the thermal ingot perimeter and of time. Oeters et al. (Ref complete thermal history of the region can be
stress development may be determined using ei- 40) have observed that the calculations are in determined. The change in temperature in a cer-
ther an elastic formulation (Ref 35) or an elas- good agreement with the actually measured heat- tain time can then be used to calculate incre-
toplastic formulation (Ref 36). The elastoplastic flow densities in the gap if the breadth of the gap mental initial node strains dei via
formulations have the disadvantage of being un- is taken to be of the order of 0.5 mm (0.02 in.).
able to model any time-dependent creep effects. Thus, in the present model, the heat transfer

DTi
The mathematical stress model in this article across the gap is modeled as a conduction mode,
dei DTi (Eq 9)
embodies a general solution procedure for deter- with the conductivity being a function of time
mining the development of thermal stresses in and position on the perimeter. This approach al- 0
an elastoviscoplastic multiphase body and is ca- lows the effect of the lubrication used on the
pable of accounting for time-dependent proper- inner wall of the mold (Ref 40) to be modeled where is the temperature-dependent coefficient
ties. The constitutive model used is of the type by using a suitable value of the thermal conduc- of expansion. An elastoviscoplastic stress model
proposed by Perzyna (Ref 37) and first imple- tivity in the air-gap region. The heat-transfer cois then used to calculate the stress distribution
mented numerically by Zienkiewicz and Cor- efficient between the outer wall of the mold and resulting from the application of this initial
meau (Ref 38). In this model the behavior of the the surrounding air takes into account heat trans- strain.
Finite-Element Formulation of the where d is the column vector of nodal values di.
Elastoviscoplastic Stress Model (Ref 39) With the displacements at all points given by Eq R
X
BTDeidX
X
BTDevpdX (Eq 23)
16, the strains at any point can be determined
In the elastoviscoplastic stress model, it is as- from the relationship: The solution procedure for Eq 22 is given by
sumed that the total strain is the sum of elastic Zienkiewicz and Cormeau (Ref 38). In this
and plastic components, together with any initial e Bd (Eq 17) method, a simple Euler iterative procedure is
strains: used which can become unstable if critical time
where B is the standard matrix derived from the steps are too large. The selection of critical time
derivatives of the shape functions (Ref 43). The steps has been studied by Cormeau (Ref 44), and
e ee evp ei (Eq 10) virtual work principle in this case enables the his stability limits are followed here.
equilibrium equation to be written as:
Only elastic strains are produced initially by the
application of a load, and the elastic strain rate Examples
is linearly related to the total stress rate by the X
BTrdX 0 (Eq 18)
Because of the complexities and practical dif-
matrix of elastic constants D (Ref 43) according
ficulties of experiments on ingot castings, only
to: As the constitutive relation for viscoplastic prob-
a limited number of experimental investigations
lems has been specified in time rate form in (Eq
are reported in sufficient detail in the literature
r Dee (Eq 11) 11), it is convenient to rewrite Eq 18 as
to make possible a comparison with the results
of a mathematical model. Oeters et al. (Ref 40)
where the overdot denotes differentiation with
respect to time. The viscoplastic strain occurs
X
BTrdX
0 (Eq 19) have reported extensive results of the investiga-
tion on a 6 ton ingot casting, and this is the ex-
only if the stress levels exceed some previously ample chosen for the present investigation.
Combining Eq 10, 11, and 19 then leads to:
defined yield stress. This yield stress is given by At the midheight of the 6 ton ingot, the cross
the yield function: section is in the form of a square with rounded
X
BTD(e e vp e i)dX 0 (Eq 20) corners and a side length of 600 mm (23.6 in.).
F (r, evp) 0 (Eq 12) Along two opposite sides of the square the sur-
which, on using Eq 17 to substitute for e, be- rounding mold has a thickness of 150 mm (6 in.),
Therefore, when F 0, purely elastic behavior comes: while this thickness becomes 166 mm (6.5 in.)
takes place, but F 0 represents the onset of along the other sides. The variation of the prop-

plastic deformation. The viscoplastic strain is erties with temperature is assumed to take the
BTDBddX 0 (Eq 21)
given by: X form reported by Williams et al. (Ref 11). The
finite-element mesh used in the analysis consists
That is, of 52 elements (illustrated in Fig. 6) and 185
evp
e vp f (r, evp) (Eq 13) nodes. The nodes are located at the element cor-
t
Ksd R 0 (Eq 22) ners and at the midpoints of the element sides.
The time of air-gap formation at various lo-
To define completely a strain-rate law, it is where KS is the overall stiffness matrix and R cations on the ingot perimeter follows roughly a
assumed that, in common with plasticity, the di- represents the total loading rate, which turns out parabolic law proceeding from the corner to the
rections of straining are given by gradients of a to be middle of the face (Fig. 7). Initially, the model
plastic potential Q:
Q
e vp w(F) (Eq 14)
r
8 16 24 32 46 52
Viscoplastic flow laws can then be written as:
Mold
w(F ) 0 if F 0
w(F) if F 0
7 15 23 31 45 51
6 14 22 30
Combining Eq 10, 11, and 13 results in the Air
5 13 21 29 40 44 50
complete constitutive relation: gap 4 12 20 28 36
27
Q 3 11 19 43 49
e D1r w(F) e i (Eq 15) 35
r 39
Ingot
The finite-element stress analysis is performed
26
only on the ingot, which is discretized by using 2 10 18 34 42 48
the same elements and shape functions as were 38
used in the thermal analysis. If the vector u de-
notes the displacement field, then this may be
approximated over in terms of the nodal dis- 25
placements di by: 1 9 17 33 41 47
37
n
u u Ni di NTd
i1
(Eq 16)
Fig. 6 Finite-element mesh for ingot, air gap, and mesh
is run with intimate contact everywhere, and 1000

then the gap opens from the corner toward the Center of the side
center as time proceeds. In the gap, the heat-
transfer coefficients given by Oeters et al (Ref 800
40) are utilized as functions of time in the form Quarter of the side
shown in Fig. 8. Since the gap width is fixed at
0.5 mm (0.02 in.), this variation is supplied to
Temperature, C
the model as a variation in thermal conductivity 600
of the air gap. At the start, the time steps need
to be very small, on the order of seconds, and Corner
they gradually increase up to a value of 2 min in
400
the later stages of the simulation run.
The calculated temperature of the inner wall
of the mold for various locations is plotted
against time in Fig. 9. For the sake of compari- 200 Experimental
son, the results of Oeters et al. (Ref 40) are also Present results
shown. As the exact thermal properties used by
Oeters et al. are not known, it can be concluded
that a reasonable agreement has been obtained. 0
0 10 20 30 40 50 60 70 80 90
Figure 10 compares surface temperatures on the Time, min
ingot as functions of time and location; the pre-
dicted temperatures are again slightly lower than Fig. 9 Temperature curve for inner wall of mold
those of Oeters et al. Figure 11 shows the solid-

ification fronts determined at various time inter-
vals; these results are in good agreement with
the values determined by Weingert (Ref 45). 1200
The temperature field in the ingot is used for
evaluating the thermal loads employed in the Experimental
Present results
1100 Center of the side

40
Temperature, C
30
1000
Time, min
20
Quarter of the side
900
10
Corner
0 800
0 150 300 0 10 20 30 40 50 60 70 80 90
Distance from corner Time, min
Fig. 7 Time for air-gap formation
Fig. 10 Average value of ingot surface temperature
viscoplastic stress analysis. A plane-strain stress

3.0 analysis was performed using a Von Mises yield
Heat transfer coefficients, cal/cm2min C
Center of face criterion (Ref 43). The model is used to give a

purely plastic solution at steady-state conditions
2.4
at each stage. The rate of viscoplastic straining
is given by Eq 14, in which the flow function
1.8 used is:
1.2 0 F
Quarter of face
18 c (Eq 24)
Fo
30
0.6
52
Corner
74 where Fo is some reference value of stress and c
0 80 is a fluidity coefficient. The mechanical proper-
0 20 40 60 80
ties vary as a function of temperature and are
Time, min taken from Williams et al (Ref 11). A Poissons
Fig. 11 Solidification fronts for one quadrant of the in-
Fig. 8 Average heat-transfer coefficients in the air gap got ratio of 0.33 is used.
Figures 12 and 13 show the computed stress

field in the ingot at two different times. The re-
gion near the ingot surface is subjected to tension
initially and, as expected, this gradually changes
to compression with the passage of time. Predic-
tion of such stress concentration regions would
be particularly useful in the case of complex
shapes to avoid possible failures.
Next, examples of the calculation of residual
stresses for pure aluminum under axially sym-
metric and realistic boundary conditions are
given. The effects of the melt pressure and cool-
ing conditions on the residual stresses are also
reported.
Molten pure aluminum at a uniform tempera-
ture equal to or above the melting temperature is
assumed to start at time t 0 when part of the
boundary of the body is cooled down in an axi-
ally symmetric way to a temperature equal to or
below the solidification temperature. Figure 14
shows on the r-z plane, at time t, the two-dimen-
sional model sections. The interface velocity and
location are treated as primary variables of the
heat-transfer analysis, and the isostatic stress
condition at the front is utilized as an initial con-
dition in the stress analysis. The freezing inter-
face condition as an initial rather than a bound-
Fig. 14 Model section for the solidification problem
ary condition at the time of solidification of a Table 1 Thermal properties of aluminum

material print was first discussed by Richmond
Property Value
(Ref 46) and implemented in one-dimensional
solidification problems by Richmond et al. (Ref Thermal conductivity in solid, kS 0.0548 kcal/msC
Thermal conductivity in liquid, kL 0.0548 kcal/msC
4, 47) and in two-dimensional plane stress ap- Heat capacity in solid, CS 0.2526 kcal/kgC
plications by Zabaras et al (Ref 48). Heat capacity in liquid, CL 0.2526 kcal/kgC
The thermal properties of pure aluminum are Latent heat, L 94.44 kcal/kg
given in Table 1, and the temperature-dependent Density, q 2650 kg/m3
Initial temperature, Tin 660 C (1220 F)
mechanical properties reported by Heinlein et al. Melting temperature, Tm 660 C (1220 F)
(Ref 47) are given in Table 2. A viscoplastic con-
Tension
Compression
stitutive model is needed to prescribe the inelas- Source: Ref 46
tic deformation, which should include important
One quadrant of the principal stress field after
effects such as rate sensitivity, strain hardening,
Fig. 12 and recovery in a rather wide range of tempera-
4 min
tures up to the melting point of the solidifying
pure metal. In the simulation reported here, a
hyperbolic-sine constitutive law is used to pre- Table 2 Mechanical properties of alumi-
scribe the inelastic deformation. The details of num
the formulations for thermal and thermomechan- Coefficients of constitutive law, eN 3/2 AeC/(T273)
ical analysis are given by Zabaras et al. (Ref 49). n]/r s
[sin h Br]
The examples that follow will consider solid- A 0.382 1012 /s
ification of a cylinder initially filled with liquid B 0.037/MPa
C 18,849 K
aluminum at melting temperature. Part of the n 3.84
boundary of the cylinder will be assumed to be
cooled down as follows: Thermal expansion coefficients, (T)n(a), m/m C 106
At 25 C 23.19
At 300 C 27.86
T0 (t) Ta (Tm Ta) eQt (Eq 25) At 400 C 30.23
At 660 C 38.355
Poissons ratio (m) 0.37
where Ta is the final steady-state temperature, Tm Youngs modulus E(T) F GT, where F 6.93
is the melting temperature, and Q is a cooling 104 and G 43.7152 MPa / C.
rate parameter. In the following examples, Ta
Tension
Compression
500 C (930 F), Q 0.2 s1, and Tm 660 (a) n: The variation of (T) is assumed to be piecewise linear within the
C (1220 F). Four-noded elements were used for temperature intervals 25 to 300 C, 300 to 400 C, and 400 to 660 C.
Source: Ref 46
Fig. 13 Principal stress field after 40 min the temperature analysis, while eight-noded
quadrilateral elements were employed in the de- pressive in the region close to the surface r R To demonstrate the effect of melt pressure, a
formation part of the problem. near the end of solidification. In this example, as longer cylinder is considered (h 0.4 m), and
In the first example, it is assumed that the cy- expected, the stresses were found not to signifi- other conditions are kept the same as those in the
lindrical body is insulated at the top and bottom cantly vary in the axial direction. first example. In this case, the pressure at the
and that the rest of the surface (r R) is cooled In the second example, the geometry and the bottom of the cylinder is about 0.01 MPa (0.0014
with the temperature history depicted in Eq 24. temperature boundary conditions are the same as ksi). The displacements of three points at r R
Plane-strain conditions with traction-free outer before. It is assumed that the bottom is fixed in are given in Fig. 21, where it is shown that the
surface were assumed. The geometrical param- the axial direction and the traction-free condi- surface r R near the bottom of the cylinder
eters were assumed as h 0.04 m and R tions are applied to the top surface and to the first expands before it starts contracting. Gener-
0.018 m. The front position and the temperature outer surface, r R. It was observed that the ally, the residual stress distribution is very close
history at various locations are shown in Fig. 15 traction conditions at the top surface affect pri- to that discussed in the first example; but early
and 16, respectively. These results were com- marily the axial stress while leaving the radial on, the differences of the displacements at r
pared with a one-dimensional deforming finite- R and the stress distribution between this and the
and hoop stress almost the same for both free-
element implementation of the problem (Ref 50) first example can be observed. Also, the hoop
top and plane-strain conditions (Ref 51). Large
and were found to coincide to within plotting stress was found to have higher values early on
tensile residual axial stresses appear in the region (Ref 51). Therefore, as is expected, one can con-
accuracy. Figure 17 shows the residual stress close to the center of the cylinder. Figure 19
distribution with the plane-strain assumptions on clude that the melt pressure has a significant ef-
shows the residual stress variation in the axial
the plane z 0.002113 m at the end of solidi- fect on the stress early in the process and can
direction at time t 8.3202 s, and the stress
fication, t 8.32 s. The stress history at the play an important role in the location and time
history at location r 0.0177145 m and z
location r 0.017714 m and z 0.002113 m of formation of air-gaps in the solid shell/mold
near the bottom and the surface r R is also 0.0010566 m (close to the bottom and r R) is interface. For cases with larger Q (high cooling
shown in Fig. 18. As shown, the hoop stress at given in Fig. 20. The hoop and axial stress his- rate), it was observed that the solidification pro-
the outer surface r R is compressive, while tories are almost the same, an assumption used cess proceeds faster and that the calculated
near the center of the cylinder all the stresses are by Heinlein et al. (Ref 47) to simplify a three- stresses obtained at the end of solidification are
tensile. Generally, the residual stress in the axial dimensional problem to a unidirectional one. larger than those in the first example (Ref 51).
direction is tensile, but it becomes slightly com-
6
1
Radial stress
0.02 Axial stress
4 Hoop stress
Stress, MPa
z = 0.0021133 m
Radial front position, m
Stress, MPa
2
0.01 Radial stress

0 1 Axial stress
Hoop stress
r = 0.017714 m
2 z = 0.0021133 m
0 0.01 0.02 2
0 r, m 0 2 4 6 8 10
0 2 4 6 8 10 Time, s
Time, s Fig. 17 Residual stress distribution in the radial direc-
tion at t 8.32 s using a plane-strain assump- Fig. 18 Thermal stress history with a plane-strain as-
Front position for solidification of a cylindrical tion sumption
Fig. 15
body uniformly cooled at the surface at r R
5
680
Radial stress
r = 0.002918 m Axial stress
660 4 Hoop stress
r = 0.002918 m
640 3
Temperature, C
r = 0.002918 m
620
Stress, MPa
600
1
580 r = 0.018000 m r = 0.017324 m
r = 0.014731 m 0
560 r = 0.009685 m
r = 0.006980 m r = 0.017324 m
1
0 2 4 6 8 10
Time, s 2 r = 0.017324 m
0 0.01 0.02 0.03 0.04
Fig. 16 Temperature history at various locations for so- Z, m
lidification of a cylindrical body uniformly
cooled at the surface at r R Fig. 19 Residual stress variation in the axial direction at time t 8.3202 s with a traction-free top surface
1 In the final example, a cylinder with R h Special Considerations

0.018 m was cooled with the condition of Eq
24 at both the bottom surface and the surface r The deformation of a solidifying material is
0 R. The pattern of solidification is shown in very different from that of a standard fixed body.
Fig. 14. It is assumed that the outer surface, r
Stress, MPa
A solidifying body develops residual (initial)

R, and the top surface are traction-free, while the stresses immediately after solidification and is
1
bottom is fixed in the axial direction. Principal never in a state of zero stresses (stress free).
Radial stress residual stresses in the r-z plane near the end of
Axial stress Thermal stress problems carry with them diffi-
solidification are plotted in Fig. 22. Large tensile culties not normally found in the analysis of ei-
2 Hoop stress
r = 0.0177145 m
residual stresses appeared at the top around the ther thermal or stress problems. The coupling be-
z = 0.0010566 m center region, the stresses were small in the area tween the temperature and stress fields works in
3 close to the surface r R, and the residual
both directions. It is possible to imagine cases
0 2 4 6 8 10 stresses were compressive at the bottom close to
where the basic boundary conditions for the ther-
Time, s the center region. The effect of casting size and
mal analysis are affected by the deformations, as
thermal boundary conditions on residual stresses
Thermal stress history with a traction-free top in the formation of the air gap that controls the
Fig. 20 and deformation has been investigated by Sathya
surface heat flow to the mold from the cooling ingot.
Prasad (Ref 52).
Fully coupled analyses are slightly more com-
plicated because they require deciding when to
update the effect of one process to the other. De-
cultieux et al. (Ref 53) apply a three-dimensional
0.02 finite-element coupled thermomechanical model
to the solidification of the hollow cylinder. An
0 experiment has been developed to measure heat-
transfer coefficients and air-gap width in per-
manent mold casting of aluminum-silicon alloys.
0.02 Comparison between experimental and calcu-
Displacement, mm
lated temperature and air-gap width shows the

0.04 validity of the coupled approach.
The thermal strain fields computed from the
0.06
temperature fields introduce complications. The
incompressible nature of plastic deformation
Radial displacement z = 0.00 m creates a constraint at each gauss point in an ele-
0.08 Radial displacement z = 0.20 m ment. When the number of constraints arising
Radial displacement z = 0.40 m from incompressibility exceeds the numbers of
0.10 Axial displacement z = 0.00 m, z = 0.40 m degrees of freedom, locking is said to occur, as
Axial displacement z = 0.20 m there are no possible solutions for this case. The
0.12 solution to this may be the reduced order of the
0 2 4 6 8 10 integration for the hydraulic components of the
Time, s stress, which may lead to, most notably, a failure
Fig. 21 Radial and axial displacements at the surface r R with plane-strain assumption and large melt pressures to satisfy the patch test (Ref 54). A related effect
comes from the order of the thermal strain fields
within the element. If nodal temperatures are in-
terpolated to give gauss point values, and these
are used to determine thermal strains, then the
0.0011 thermal strain field has the same order as the
Tension 1.5 MPa displacement field in the element. The total
Compression strains, which are computed from the partial de-
rivatives of the displacements, are one order
lower. This incompatibility can also lead to lock-
ing problems. The need to avoid incompatible
0.0010
strain fields has been known for some time (Ref
55) and extremely large errors can result if it is
not observed (Ref 56). Using linear elements in
z, m
the thermal analysis and quadratic elements in

the stress analysis is the most common strategy
0.009
(Ref 49).
Plane-strain conditions are most commonly
used in the stress analysis. This condition im-
plies that the longitudinal heat flow and longi-
tudinal displacement are zero. Longitudinal in-
teractions in the stress may not always be
satisfied even though longitudinal heat flow is
0 probably never very large. To compensate for
0 0.009 0.018
this problem, extension to a generalized plane
r, m strain has been used (Ref 54) where plane sec-
Fig. 22 Principal stresses in the r-z plane at time t 7.3294 s for the solidification problem tions must remain plane but may rotate or trans-
late with respect to one another, in which case ban, Revathy, Rushyendran, Sanjay, Vyasa, and 17. B.G. Thomas, I.V. Samarasekara, and J.K.
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Continuous and Centrifugal Casting
Processes
D.-Y. Ju, Saitama Institute of Technology, Saitama, Japan
DETERMINATION OF RESIDUAL nearly up to the melting temperature, and unified tions. The material behaviors at lower tempera-
STRESS in manufacturing processes incorporat- constitutive models are desirable for describing tures were also examined to cover a wide range
ing solidification, such as casting, welding, and characteristics of both inelastic solid and viscous of temperatures. The temperature variation along
so on, is important for evaluating the mechanical fluid (Ref 710). Studies of constitutive rela- the gage length was controlled within 2 C.
properties and strength of materials and to opti- tionships at high temperature have been carried The heating rate of the specimen was nearly 8
mize manufacturing conditions (Ref 14). How- out by many researchers (Ref 1114). In partic- C/min, and the test was started after the tem-
ever, residual-stress formation depends not only ular, many constitutive models for creep and perature was held for 60 min. The tension tests
on the thermomechanical behavior and process- plastic behavior under some loading paths below were made under strain-controlled condition
ing effect due to the variation of microstructure 700 C have been developed in the 1970s to with the strain rates of 1.0, 0.1, 0.01, and
and macrostructure during manufacturing of ma- 1990s (Ref 1522). However, it is necessary to 0.001%/s. In the creep tests, several stress levels
terials, but also on the interaction of heat con- verify whether these models are applicable to below the yield stress were employed.
duction, change of phase transformation due to mechanical behavior at high temperature close
solidification, and stress/strain. A unified con- to the melting point. Therefore, the authors first
stitutive model (Ref 5, 6) that describes variation carried out tension, creep, and cyclic loading
of the mechanical behavior from viscous fluid to tests for type 304 austenitic stainless steel from
solid and the mixture domain in the material due room temperature to melting temperature, and Table 1 Chemical composition of SUS 304
to solidification is necessary. This article pre- strain rates depending on flow stress and strain- Element Composition, wt%
sents some developments in thermomechanical hardening behavior were investigated.
Carbon 0.08
theory and numerical analysis method incorpo- Some typical inelastic constitutive equations Silicon 0.59
rating solidification of material to simulate the based on unified constitutive theory, such as the Manganese 1.00
residual-stress formation during casting. A uni- types of Perzyna and Bodner as well as the su- Phosphorus 0.032
fied inelastic constitutive relationship capable of Sulfur 0.005
perposition model, are used to describe high- Nickel 8.26
describing both elastic-viscoplastic solids and temperature behavior and are compared with the Chromium 18.30
viscous fluids to simulate the casting process is test results. The material parameters in the equa-
proposed and verified by experimental and nu- tions were identified by the data of tension tests
merical results. A proposal based on the finite- to simulate the creep and cyclic stress/strain be-
element method to combine temperature and Table 2 Room-temperature mechanical
havior for verification of the models.
properties of SUS 304
stress fields as well as deformation during solid-
ification is also presented. The mechanism of Property Value
Experimental Procedure
residual-stress formation during continuous and Yield stress (ry), MPa 274.4
centrifugal casting can be represented using Axial load and displacement (or strain) must Tensile strength (rs), MPa 607.6
simulation. The thermomechanical modeling Elongation (), % 62.0
be controlled in tension and creep tests, and the
was also verified by comparison with the exper- controlled value should be changeable indepen-
imental data, such as the measured residual dently of the time interval. A SUS 304 steel with
stress and variation of casting temperature. melting point of 1399 C was tested. The chem- M20X2.5
10
ical compositions of material and the mechanical
Inelastic Behavior and Unified properties at room temperature are shown in Ta-
bles 1 and 2, respectively. The specimen was
Constitutive Theory of Metallic shaped into a solid cylinder with two lugs as
Material in Solidification shown in Fig. 1. GL 50
Four temperature levels, that is750, 900, 33 104 33
When dealing with the high-temperature pro- 1000, and 1200 Cwere chosen for the exper-
cesses incorporating solidification, it is impor- iments since the authors were interested in the 170
tant to know the mechanical behavior of material material behavior at high-temperature condi- Fig. 1 Shape and dimensions (in mm) of the specimen
Residual Stress Formation during Casting / 373
Experimental Results and Discussions flow mechanism of fluid rather than solid seems behavior are intended to be represented by the
to govern the deformation behavior at those tem- same variable. Here, three types of constitutive
The experimental data on material behavior at perature levels. Figure 6 shows the relation be- models that have some possibility of describing
high temperature, which involve the conven- tween stress and creep strain in a logarithmic the experimental behavior obtained above are
tional tension tests at various strain rates, creep, scale. The number n in Fig. 6 represents an ex- considered. Generally, the total strain rate e ij is
and cyclic straining under several stress levels, ponent in the Norton law e Ar n. expressed as the sum of the elastic strain e eij and
are discussed in this section. Figure 2 indicates the inelastic strain rate e Iij , that is, e ij e ije
a series of stress-strain curves under monotonic Inelastic Constitutive Models e Iij , where the elastic strain rate is given by
tension under several strain rates at 750, 900, Hookes law. The models for inelastic strain are
1000, and 1200 C. The variation of strain rate In order to open complex relation of stress and Perzynas model based on the excess stress the-
has a large influence on the yield and flow strain under engineering environments of load- ory, superposition model, and Bodners model.
stresses, especially at high temperatures above ing and temperature, there has been substantial Perzynas Model. The excess stress theory
1000 C. The relation between strain and flow development of the so-called unified theories assumes that the inelastic strain is produced as:
stress at e 2.0% at various temperatures is of viscoplasticity in which all aspects of inelastic
depicted in Fig. 3(a), and Fig. 3(b) represents the F
e Iij Kw(F) (Eq 1)
effect of strain rate on hardening coefficient in rij
the same conditions. Figure 4 gives the results
of the yield stress depending on temperature. 200
where K denotes a viscosity constant of the ma-
In creep tests, the stress level was chosen to 750 C
terial. w(F) is a function of the static yield func-
Flow stress (0.02), MPa
be lower than proof stress r0.2. The creep curves 150

900 C
are shown in Fig. 5, which shows that the creep
strain at 750 C is very small, while the creep
4
strain over 1000 C is to present enough larger 100 1000 C 25.0 MPa 1200 C
value even when the stress level is lower, so the
5.0 MPa 1000 C
Creep strain (c), %

50 3
1200 C
3.0 MPa 12.5 MPa
0 2
200
T = 1200 C 104 103 102 0.1 1 10
Strain rate (), %/s
Stress (), MPa
150 1 7.5 MPa

(a)

100 = 1.0%/s 0
0.01%/s 750 C
15 4
50 0.001%/s 50.0 MPa
900 C
d/d, MPa/%
750 C
0 Creep strain (c), % 3
10 900 C
200 40.0 MPa
T = 1000 C
2
5 100.0 MPa
Stress (), MPa
150 1000 C

1200 C 1 80.0 MPa
100 = 1.0%/s 0
0.01%/s 104 103 102 0.1 1 10 25.0 MPa
50 0.001%/s Strain rate (), %/s 0
(b) 0 2 4 6 8
0 Time (t ), h
Fig. 3 (a) Strain-rate dependence of flow stress at e
200 2.0%. (b) Strain-hardening coefficient Fig. 5 Creep curves at several temperature levels
T = 900 C

= 1.0%/s
Stress (), MPa
150
300 102
100 0.01%/s 1200 C
0.001%/s n = 2.50
0.2 % proof stress (0.2), MPa
250 0.01
50 900 C
0.001%/s 1.0
n = 5.20
Strain rate (), %/s
200 103
0
200
150
T = 750 C = 1.0%/s
Stress (), MPa
150
100 104 1000 C
0.01%/s
0.001%/s n = 3.00
100 750 C
50 n = 6.25
50
0 105
0 250 500 750 1000 1250 5 10 50 100 500
0
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 Temperature (T ), C Stress (), MPa
Strain (), %
Fig. 4 Relation between yield stress and temperature Fig. 6 Relation between stress and steady-state creep
Fig. 2 Stress-strain curves at several temperature levels under different strain rates strain rates
tion F(rik , eIij , j, T) in stress space involving

|r|
r 2 1 Z2 r
e I k(|r| ry) (Eq 3) e I D0 exp (Eq 11)
inelastic strain eIij , hardening parameter j, and |r| 3 2 r2
temperature T. As a proposal of viscoplastic con-
stitutive theory, Perzyna has proposed four kinds from which the parameter k, or viscosity l is to where parameter D0 in Eq 10 and 11 is a material
of functions for w(F), among which a special be identified. constant.
case w(F) F is employed to give the visco- The superposition model assumes that the
ij e
plastic strain rate e vp ijI : inelastic strain eIij can be decomposed into the Simulated Results by Some Constitutive
1/2 n time-independent plastic component epij and the Models
2 s s
3k 3 sij
ij
e vp kl kl ry (Eq 2) pure time-dependent (creep) strain ecij such that:
2 (3J2)1/2
Some results of simulated stress/strain behav-
eIij eijp eijc (Eq 4) ior using the constitutive models described in the
where J2 is the second invariant of deviatoric
previous section are presented. The parameters
stress sij , and ry denotes the yield stress. In order
The superposition model has various possibili- of the constitutive models are identified from the
to deal with viscous fluid, the authors chose k
ties, but only two forms are employed here. conventional experimental data stated in the sec-
13l with the viscosity l. When the value of
First, a simple superposition model (model A) tion Experimental Procedure. The tempera-
parameter n tends to unity, Eq 2 is reduced to a
is considered. The plastic strain and creep strain ture-dependent viscosity l in the Perzynas
uniaxial stress-strain relation under monotonic
are simply added to represent the inelastic re- model is plotted in Fig. 7, and the parameter n
tension and is then expressed as:
sponse of the material. The plastic strain rate of the superposition models A and B is chosen
epij is given as: to be of the same value. Using these parameters,
experimental stress-strain curves under compres-
skl skl sion with results simulated by the three models
e Iij sij (Eq 5) are shown in Fig. 8. The calculated creep strain
(4/9)ry2dry/d e p
by superposition model B is given in Fig. 8,
Here, yield stress ry is identified as a function which is compared with the experimental data.
In order to explain the work-hardening behavior
1200 of equivalent plastic strain ep as:
by these models, Fig. 9 shows two examples of
stress/strain behavior under the cyclic path at
ry r0{1 l exp(bep)}
Viscosity (), GPa s
(Eq 6)
900 and 1100 C, which are compared with the
800
experimental data.
where r0, l, and b are material parameters. A
From Fig. 8, the effect of the work hardening
classical creep equation of Nortons law is used
is revealed to be very small when the tempera-
to describe the creep strain rate e cij :
400 ture is above 900 C. The creep curves simulated
by superposition model B and experimental data
e cij mA 1/mr (nm)/m(ec)(m1)/mSij (Eq 7)
show almost no difference, and the model re-
0 flects the mechanical behavior under the cyclic
0 300 600 900 1200 where r represents the von Mises equivalent strain path at high temperature. Because the
Temperature (T ), C stress and ec indicates the equivalent creep model can be regenerated as a constitutive rela-
Fig. 7 Variation of temperature-dependent viscosity strain, while A, n, and m are material constants. tionship for viscous fluids, one can say that the
Therefore, the constitutive form under the uni- Perzynas model B superposed by creep can be
axial stress can be written as: used to describe the mechanical behavior of the
200 material near melting temperature. Among these
Experiment
2
rr models, the Perzynas model may also be found
Superposition e I mA1/m(ec)(m1)/mrn/m (Eq 8)
150 Bodner
r2ydry/d e p to be most suitable to simulate ultrahigh-
Stress (), MPa
temperature behavior including liquid state since

= 1.0%/s Another superposition model (model B) is it is reducible to the model of the Newtonian
100
0.01%/s chosen that is a combination of the Perzynas fluid above melting temperature.
viscoplastic model and the Nortons creep equa-
50 tion (Eq 7). When Eq 8 is adopted to be the re-
0.001%/s lationship for the creep process, the inelastic Numerical Analysis Method of
0
model under uniaxial stress is then expressed as: Thermomechanical Problems in
200
Casting
r
Experiment e I c(|r| ry) Ar n (Eq 9)
Perzyna |r| One must often resort to a numerical analysis
150 Perzyna + creep Bodners Model. A form of Bodners model in order to obtain quantitative solutions of non-
Stress (), MPa
is employed as: linear equations in continuum mechanics. How-

= 1.0%/s ever, regardless of the initial assumptions and
100
0.01%/s
2 3J J
1 Z2 sij the methods to formulate such a problem in eval-
e ijI D0 exp (Eq 10)
2
1/2
2 uating the results by numerical methods, the con-
50 tinuum is, in fact, approximated by a discrete
0.001%/s
On the basis of incremental isotropy of the model in the solution process. One such ap-
0 flow, the scalar hardening variable Z ZI ZD proach, based on the idea of approximating con-
0 1 2 3 4 5
in the model is taken to consist of the parameters tinuous fields, is referred to as the finite-element
Strain (), %
of isotropy Z, and directional components ZD. method. Its simplicity and generality is very at-
Stress-strain curves under different strain rates at The simple form of the model under the uniaxial tractive, and it is applied to a wide range of non-
Fig. 8
900 C stress can be derived: linear problems.
The thermomechanical problem incorporating with the volume fraction of solid phase ns. equation coupled with heat generation due to
solidification processes is a complicated frame When the initial velocity and stress in the do- mechanical work rij eijvp and latent heat ls as:
of coupling equations, which are not only related main V 0 are denoted as u0i , and r0ij , and the com-
ponents in DV are udi and rdij , the linear momen- T

to solid mechanics, fluid mechanics, or heat-
qcT k rij eijvp
conduction problems, but also involve inelastic tum in the combined body V V 0 DV with xi xi
constitutive relationships. The finite-element C C0 DC having the velocity ui is reduced
method is a powerful tool for finding the nu- to: qlsn s qf (Eq 18)
merical solution to simulate such thermome-
chanical behavior in casting. This section dis- where c, ls, and f are the specific heat, latent heat,
cusses numerical analysis technology, when the qu dV i i dV
0 0
V0 q u d d
DV q u
i dV (Eq 13) and heat supply, respectively.
The boundary condition of heat transfer and
V
finite-element method is applied to the thermo-
mechanical problem, and what kind of algorithm thermal radiation can be written as:
is employed to solve nonlinear equations in prac- where q, q0 represent the density of each part.
Then the global momentum balance in the com- T
tice. Special attention is placed on the phase k ni h(T Tw) (Eq 19)
transformation in solidification processes in the bined domain can be represented by: xi
numerical analysis, and the effects of latent heat
T

and dilation due to phase transformation are con- d k ni g(T 4 T 4w)
qui dV V 0 rij nj dC DV qbi dV (Eq 14) xi
(Eq 20)
sidered. dt
V
where Tw is the temperature of the coolant, and

Governing Equation of where bi is body force. The total energy balance h and g are the heat-transfer coefficient and
Thermomechanical Fields in the combined region with the surface normal Stefan-Boltzmann coefficient, respectively.
ni is represented by:
From the continuum thermomechanics view-
point, solidification is a complicated phenome- Kinetics of Phase Transformation in
q2 u u
d 1
non characterized by the interaction between i i e dV C (rij uj Solidification
dt
temperature and stresses as well as phase trans- V
formation from liquid to solid, and the state in

solidifying material termed the mushy zone,
hi)ni dC V q(c bi ui)dV (Eq 15) To identify the volume fraction of the solid
phase ns during solidification (Eq 18), a phase
which is a mixture of solid and liquid phases. In diagram for the alloying system is employed,
the case of some kinds of casting processes dis- where e and hi are the internal energy and the and the volume fraction of the solid phase ns is
cussed later in this article, molten metal is heat flux, and c is the heat supply carried by the assumed to be determined by the Scheil equa-
poured directly into a mold in addition to the additional volume of growing body discussed tion:
existing material. Figure 10 shows boundary later.
movement with increasing volume as well as in- Applying Gausss theorem to Eq 14 and 15,
the local forms of the equation of motion and the ns 1 1(1k0) and n1 1 ns (Eq 21)
terface movement during solidification. Here, an
initial domain V 0 at time t including liquid and energy equation are obtained:
Here, is a dimensional function that is depen-
solid is considered, and C0 is an initial boundary
qu rij ,j qbi (Eq 16) dent on temperature:
for the body. DV and DC denote the increments
of volume and boundary during time period Dt.
Hereafter any material parameter v is assumed hi (T Ts)/ms
qe qc rij e ij (Eq 17) (Eq 22)
to be expressed by the mixture law using the xi (T Ts)/ms (T1 T )/m1
parameters of solid vs and liquid vl such that:
Substituting the Fourier law h k(grad T) where ml and ms are the gradients of the liquidus
v vsns vlnl (Eq 12) into Eq 17, one can obtain a heat-conduction and solidus temperature Tl and Ts with respect to
100 100 100

900 C 900 C 1100 C
= 0.01%/s = 0.001%/s = 0.01%/s
50 50 50
Stress (), MPa
Stress (), MPa
Stress (), MPa
0 0 0
Experiment
50 50 50 Perzyna
Perzyna + creep
Bodner
Superposition
100 100 100
1.0 0.5 0.0 0.5 1.0 1.0 0.5 0.0 0.5 1.0 1.0 0.5 0.0 0.5 1.0
Strain (), % Strain (), % Strain (), %
(a) (b) (c)
Fig. 9 Hysteresis loop of stress at (a) and (b) 900 C and (c) 1100 C
the alloying element on the phase diagram, re- must also be used. Since the viscoplastic strain placement rate ui different from vi. Then, the
spectively, and k0 is a distribution coefficient increment of the element at the kth time step may material-time derivative of any time-dependent
representing the segregation effect. When the be written by Taylors expansion: scalar, vector, or tensor function w(xi,t) is re-
segregation effect is assumed to be neglected, as duced to:
in this article, Eq 22 can be reduced to the simple
{Devp}k {evp}kDt hHk{Dr}kDt (Eq 25)
form: w w

w vi (Eq 29)
t xi
(T1 T)/m1
where h [0,1] and Hk ({e }/{r})k. Here,
vp
ns (Eq 23) the stress increment can be represented by:

(T Ts)/ms (T1 T)/m1 When the term of (w)/t in Eq 29 vanishes for
steady state, heat conduction Eq 18 is now re-
{Dr}k [De]{Dee}k [De]({De}k duced to:
which is called the lever rule.
{Devp}k {Dem}k {DeT}k) (Eq 26)
T T
Formulation of Numerical Analysis e
with the elastic stress-strain matrix [D ]. By sub-
qcVi
xi

xi
k
xi
rij evp
ij
stituting the stress increment in the form of Eq ns

This section considers formulations of finite- 25 into Eq 26, the elastic-viscoplastic stress- qlsVi 0 (Eq 30)
xi
element method in order to simulate the steady- strain matrix [Dvp] leads to:
and unsteady-state problems in the casting pro-
cess. The temperature in each element is expressed by:
Formulation of Finite-Element Method for [Dvp]k ([1] [De]hHkDt)1 (Eq 27)
Unsteady-State Casting. By using Gausss the- T [N]{T}e (Eq 31)
orem and a weighted residual method on the Using the variational principle, the finite-
heat-conduction equation (Eq 18) and boundary element equation for stress analysis finally can in which [N] is a trial function matrix. The finite
condition (Eq 20 and 21), one can obtain a sys- be obtained as: element formula of heat conduction equation is
tem of finite-element formulation in the weak obtained by allying the Galerkin method to Eq
form of Galerkin type: 30 with the boundary conditions (Eq 19, 20);
[K]{Du} {DFf} {DFvp}
thus, an integral form is obtained:
([Hk] [Hh] [Hf]){T}
[P]{T} {DFm} {DFT} (Eq 28)
T ns
{Qh} {Qf} {Qm}
where [K] is the stiffness matrix, and {DFf},

V
[N]T qcVi xi
rij evp
ij qlsVi
xi
dV
{Qn} {Qr} (Eq 24) {DFvp}, {DFm}, and {DFT} are the incremental
vectors of load included by body force, effect on k[G] [G]{T}dV
V
T T
C[N] qdC 0
where [P], [Hk], [Hh], and [Hf] are the matrices inelastic deformation and thermal expansion, (Eq 32)
related to capacity, conductivity, heat transfer, and phase transformation, respectively.
and heat radiation, respectively. {Qh}, {Qf}, Formulation of Finite-Element Method for
{Qm}, {Qg}, and {Qr} are the vectors of heat Steady-State Continuous Casting. In the where
transfer, heat radiation, latent heat, and heat sup- continuous-casting process, the material flows in
ply due to stress power by the increasing molten space, so that the fields of temperature and [G] []T[N] (Eq 33)
metal. Due to the time dependence in the finite- stress/strain can be generally described in a spa-
element equation (Eq 24), time discretization is tially fixed Eulerian coordinate system xi instead and []T is a differential matrix. The thermal
needed, and a differential scheme based on the of a Lagrangian coordinate Xi being moved with flow q can be calculated by Eq 19 or 20. From
Crank-Nicholson method is employed. the material with velocity Vi. In the case of cast- Eq 32, the formation for finite element analysis
With regard to the nonlinear solution of the ing, the material velocity Vi is assumed to be a is obtained:
thermal stress problem, an incremental approach sum of the casting speed vi and the small dis-
([P] [H]){T} {Qs} {Qh} {Qq} (Eq 34)
The first term of the right-hand side of Eq 34

V
represents the latent heat generation due to so-
V i = Vi+ V i V
lidification, and the second and third terms cor-
respond to the heat flows through boundaries Sh
and Sq, respectively. Here, there are two terms
dependent on the casting speed, which are gen-
i
Vi erally formed by:
i i
i+
Vi+ [P] e VV q]T xi [N]{m}dV (Eq 35)
Vi+
T
i + {Qs} e V qls i ns [N]{m}dV

(Eq 36)
x
When the vector of displacement rate {u} and

strain rate {e} in a finite element are interpolated
by the nodal displacement vector {u} in the
Fig. 10 Model considering growth of domain and solidified mushy zone forms:
[u} [N]{u
}e and {e} [B]{u}e (Eq 37) senting latent heat generation in the first approx- upper part is regarded to be time-independent or
imation. By use of the lever rule, the volume steady in the spatial coordinate fixed to the sys-
with the strain-displacement matrix [B] depen- fraction of solid ns is identified, and the term tem. In the first part of this section a steady-state
dent on coordinates, the system of stiffness equa- {Qs} is evaluated. The same iteration procedure heat-conduction equation with heat generation
tion in incremental form is derived from Eq 37 was repeated to obtain the converged distribu- due to solidification is formulated in a spatial
by applying the principle of virtual work as: tions of temperature and phase. The obtained re- coordinate system when considering the material
sult is applied to determine the displacement rate flow. A numerical calculation for the tempera-
[K]{u} {L b} {L T} vector {u} in Eq 37, and displacement ui, strain ture in the solidifying ingot as well as the simu-
{L m} {L v} (Eq 38)
eij, and stress rij can be evaluated by integrating lation of the location of liquid/solid interface is
the rate e ij , and r ij . Moreover, Eq 24 and 38 carried out by finite-element analysis.
The terms in the above equation are summed up derived in the previous section are nonlinear Most metallic materials at low temperature
with the element matrices generally shown as: with respect to the temperature {T} and dis- may be treated as an elastic-plastic solid. How-
placement rate {u}, respectively, and special at- ever, if they are heated beyond the melting point,
tention is necessary in solving the equations. the materials can be regarded as viscous fluid,
[K] e V [B]T[De][B]dV (Eq 39) Equation 34 has only one term for latent heat and they behave in a time-dependent inelastic
generation determined by volume fraction of manner at high temperature close to the melting
solid ns, thus, it employs the simple method of temperature. Therefore, a unified constitutive

{L b} e V [N] xi [N]{m}dV
T [b] (Eq 40) iteration.
As for stress analysis, on the other hand, the
model needs to be established to describe the
elastoplastic and viscoplastic behavior of the so-
nodal forces on the right-hand side of Eq 38 are lidified part of the ingot as well as the viscous
{L T} e V [B]T([ ]grad[N]){m}dV (Eq 41) the nonlinear functions of temperature T and
structural change ns being dependent on the rate
property of the liquid state. Taking into account
the effects of such phenomena, a modification of
{u}. Furthermore, in the region of molten state, Perzynas constitutive model as in other sections

e V [B]T[De][b](ns xi [N]{m}dV
a large strain rate is produced in spite of a small of this article is presented in the second part of
{L m}
variation of nodal forces. A modified Newton- the section, and some experimental results of the
(Eq 42) Raphson scheme, or initial method, was adopted viscosity appearing in the model are presented
to solve the nonlinear equation. for the aluminum-zinc type alloy employed. Us-
Here, the temperature and the volume fraction of ing the model, elastic-viscoplastic stresses are
solid phase at the central point of the element are calculated in the ingot to find the residual stress
used in calculation of these matrixes. Total ma-
Residual Stress Formation during distribution and are verified by the measured
trix [K] denotes a total stiffness matrix, and [De] Semicontinuous Casting data from the hole-drilling strain-gage technique.
represents the elastic stress-strain matrix, while Finally, results of numerical simulation are
{r} and {V} are the vectors of deviatoric stress Vertical semicontinuous direct-chill casting presented on the influence of operating condi-
and casting speed. Other vectors {}, {b}, and process is one of the most efficient methods of tions on temperature and stresses, such as ingot
scalar w are: producing ingots of aluminum alloys and other size, casting speed, initial temperature, and so
metals. It is beneficial for optimizing the oper- on, to give fundamental data for optimizing the
ating conditions to simulate the thermomechan- operating condition.
[]
[] [De]1{r} (Eq 43) ical field in the solidifying ingot. Many reports
T
have been published concerning such finite-
element analyses of the temperature distribution
Finite-Element Model and Casting

[b] [b] [De]1{r} (Eq 44) incorporating solidification, but a few papers Conditions
ns
treat the induced stress/strain field: simulations
of thermal stress in continuous-casting slab were The theory and the procedure developed as

1 ry discussed previously are now applied to the
x 1 (Eq 45) made using an elastic-plastic constitutive model,
2l (3J2)1/2 simulation of the vertical semicontinuous direct-
for example, Grill, Brimacombe, and Weisen-
berg (Ref 23) and Sorimachi and Brimacombe chill casting process shown schematically in Fig.
Algorithm of Numerical Analysis (Ref 8), and viscoplastic stresses were simulated 11. The material treated is an aluminum-zinc-
based on the solidification analysis by Williams, type alloy with 5.6% Zn and 2.5% Mg. A quad-
In the process incorporating phase transfor- Lewis, and Morgan (Ref 1). However, in their rilateral finite-element mesh pattern of 600 ele-
mation, the coupling effect between the fields of studies, the influence of casting speed was ne- ments with 1941 nodes illustrated in Fig. 12 is
temperature, microstructure of material, and glected, so that the numerical simulation along employed for both analyses of temperature and
stress/strain are essentially to be taken into ac- with the variation of casting conditions cannot stress fields.
count in the analysis. As stated in the previous be realized. In order to solve this problem, Ju The boundary condition for heat conduction is
section, however, the numerical analysis of and Inoue (Ref 2426) proposed a numerical assumed in such a way that the temperature of
steady-state temperature distribution coupled simulation method by Eulerian coordinate, and the meniscus of molten metal is prescribed to be
with solidifying phase change is made indepen- application to the continuous-casting process of w0, and that heat is insulated along the central
dently followed by stress analysis based on ob- steel slab was carried out. line and the bottom of the ingot as well as the
tained temperature field. Here, and assumption The aim of this section is to apply the coupled surface contacted with the refractory. The cyl-
is made on the velocity field in both analyses that method of temperature and stresses incorporat- inder facing to the mold is regarded as the
the casting velocity vi is large enough compared ing solidification to semicontinuous direct-chill boundary Sq on which heat flux is given, and the
with the displacement rate ui in the case of uni- casting of aluminum alloy. When the bottom other part of the surface Sh is given by a heat-
form casting, which follows that the velocity {v} block plate is located at the upper position and transfer boundary due to cooling of water. Figure
in Eq 35 to 42 is to be replaced by the uniform the length of the growing ingot is small, the tem- 13 depicts the measured heat flux q absorbed by
casting speed {v}. perature, liquid/solid interface, and stresses in the mold, and heat-transfer coefficient h depend-
Liquidus and solidus lines are determined by the ingot vary with time, both in the sense of ing on flow rate of water is shown in Fig. 14.
solving the finite element Eq 24 by neglecting space and of material. However, when the ingot Other data used for temperature calculation in-
the first term {Qs} on the right-hand side repre- becomes long enough, the physical field in the corporated with solidification are shown in Table
3. Characteristic results of calculated tempera- operating conditions such as casting velocity, perature, respectively. Figure 16 shows the data
ture and residual stresses for an ingot 1 m in size of the ingot, and cooling rate are also made. replotted to give the temperature change at the
length with the diameter of 240 mm are com- center and on the surface, while the circles rep-
pared with experimental data to verify the Results of Simulation resent the measured temperature by thermocou-
method. Simulations in other cases of different ples. The fact that the calculated temperature on
Figure 15 indicates a birds-eye view and an the surface coincides well with the measured
isothermal representation of calculated tempera- data may indicate the validity of the simulation
Molten metal ture distribution. The lines denoted by Tl and Ts method. Change of the volume fraction ns at four
Refractory in the figure are the liquidus and solidus tem- characteristic points along the distance from me-
niscus is represented in Fig. 17, which may give
the information on progressing mode of solidi-
Cooling fication and thickness of solidified shell.
water For the simulated results of temperature and
0.8 solidification mode presented above, stress anal-
Heat flux (q), cal/mm2 s C

Mold ysis was carried out for the entire area of the
0.6 ingot, including the molten metal, by use of the
Water flow
finite-element equation (Eq 28) based on the
elastic-viscoplastic constitution model (Eq 2).
0.4 The displacement mode is depicted in Fig. 18.
Billet Contour of radial, tangential, and axial stress dis-
tributions rr, rh, and rz are shown in Fig. 19.
0.2
The contours of stress distribution are repre-
sented in Fig. 20.
0 Examples of the calculated stress distribution
Bottom 0 40 80 120 by elastic-viscoplastic constitutive model and
block Distance from top of mold (d ), mm the one by time-independent elastic-plastic
Fig. 13 Variation of heat flux from top of the mold model are shown in Fig. 21. When compared
with each other, the viscoplastic stress analysis
gives smaller results, at least on the surface, than
Heat-transfer coefficient (h), kcal/m2 h C
elastic-plastic stresses. The stresses are found to

Withdrawal 1.6 generate at the location where the solidification
V
Wl = 145 l/min starts (see Fig. 19 and 20), and the radial distri-
Schematic of semicontinuous vertical direct- 115
Fig. 11 bution becomes steady going downward owing
chill casting 85 to the flatter temperature distribution. In order to
1.2
examine this effect, the stress distributions at
Refractory
several locations are given in Fig. 22, in which
the distribution at the very end of the ingot (Fig.
r 0.8 22d) can be regarded to be residual stresses.
Open-circle data points in the figure indicate the
experimentally measured residual stresses by a
hole-drilling strain-gage method (Ref 27). The
0.4 fact that the experimental data coincide well with
Mold 0 100 200 300 1000
the analytical results suggests the validity of the
Distance from top of mold (d ), mm
simulation procedure based on the viscoplastic-
Distribution of heat-transfer coefficient de- ity developed here. As seen from Fig. 22, the
Fig. 14 shear stresses are insignificant in the area of mol-
pending on discharge of cooling water
Table 3 Material properties of aluminum 7075

Heat conductivity, cal/(mm C) k1 0.0425; ks 0.0125 0.0583T
Density, g/mm3 q 2.8 103
Specific heat, cal/(g C) c1 0.015 0.00173T; cs 0.083 0.00267T
Latent heat due to solidification, cal/g ls 93.16
Casting speed, mm/min V 80.0
Liquidus temperature, C T1 638
Solidus temperature, C Ts 600
Gradient of liquidus line, C/% m1 3.69
Gradient of solidus line, C/% ms 9.09
Youngs modulus, MPa E1 500.0; Es 75000.0 76.3T
Poissons ratio m 0.33
Viscosity, MPa s l 3700.0 (T 346 C)
l 0.007178T 2 21.1698T 10160.7 (T 346 C)
Initial yield stress, MPa ry0 2.0 (T 346 C)
ry0 150.0 0.428T(T 346 C)
Hardening coefficient, MPa H 350.0 0.13333T (T 150 C)
z H 330.0 1.683 (T 150) (150 T 346 C)
H 0.132 (T 346 C)
Finite-element mesh pattern for semicontinu- Thermal expansion coefficient, 1/C 1 33 106; s 21.8 106 0.2T 107
Fig. 12 Dilation due to solidification b 7.5%
ous vertical direct-chill casting
ten state, and the normal stresses rr, and rz (see fect of temperature and stress distributions on the summarized in Fig. 28. The simulated stresses
Fig. 19 and 21) are regarded to be hydrostatic casting speed, size of the ingot, and cooling con- varying with the discharge of cooling water is
stresses, which means that the constitutive equa- dition. Figures 23 and 24 represent examples of also plotted in Fig. 29. The calculated results
tion employed here reveals modified deforma- temperature profiles for different casting speed shown above seem to simulate the characteristics
tion of the liquid. and the radius of ingots with various cooling of temperature and stresses depending on oper-
rates. The effect of discharge of cooling water ating conditions. If the data of such simulation
is accumulated at different operating conditions
Simulations for Other Operating on thickness of the mushy zone at the center is as shown in Fig. 23 to 27, it would be possible
Conditions summarized in Fig. 25. The effects of casting to optimize the design of the system.
speed and ingot radius on the stress rh are rep-
Let us apply the procedure to cases with other resented in Fig. 26 and 27, respectively, and the
operating conditions. Focus is placed on the ef- relation between stresses and casting speed is Residual Stress Formation during
Centrifugal Casting
From the viewpoint of the solidification mi-
TI crostructure, materials present various solidify-
Temperature (T ), C
Ts ing types: for example, solidification of pure me-

1000 dia and eutectic material should be a smooth
600
800 interface between liquid and solid (Ref 28, 29);
400 however, solidification of the alloy has no ob-
600 vious interface, but has been a mixture domain
200 mm
), of liquid and solid. Furthermore, as stated in the
400 cu s (z
0
m enis section Numerical Analysis Method of Ther-
Ra
om
40 e fr momechanical Problems in Centrifugal Cast-
anc
diu
200 Dist ing, solidification with growing domain is a

s (r
80
practical process, and it has many important ef-
), m
120 fects in some practical engineering problems

0
m
such as centrifugal casting, welding, and so on.

Fig. 15 Calculated temperature profile. V 80 mm/min It is necessary to consider the thermomechanical
process accompanied by heat supply due to in-
crement or input of the material as time goes on.
800 Because moving the total domain as well as the
Experimental boundary will cause an energy variation in the
Calculated 1.0 total system, this problem has general signifi-
r = 120 mm cance. However, because it is difficult to con-
Volume fraction of solid, s
600
sider the entire phenomenon, the beginning of
Temperature (T ), C
0.8
the study only considers a static problem involv-
400 0.6 ing a moving boundary due to increment of do-
Center main, and this section discusses an unsteady-
0.4 state solidification process. In order to describe
r = 0 mm the inelastic behavior using a unified mathemat-
200
r = 380 mm ical model, two aspects are emphasized. One is
0.2 r = 76 mm
Surface that the process is associated with a nonlinear
r = 120 mm
0 0 problem with a moving external boundary de-
0 100 200 300 400 80 100 120 140 160 pending on time and location, and the other is
Distance from meniscus (z ), mm Distance from meniscus (z ),mm characterized by the fact that it incorporates
phase transformation such as solidification based
Fig. 16 Temperature variations at the center and the Fig. 17 Volume fraction of solid along the distance on the mixture theory.
surface of the ingot. V 80 mm/min from meniscus. V 80 mm/min
For the numerical analysis of the solidification
and growth of domain, a finite-element scheme
proposed in the section on numerical analysis is
used. Here, heat input due to successively in-
creasing liquid metal was introduced into the
heat-conduction equation by adding the newly
Displacement (Ur), mm
developed elements in the finite-element

scheme. Moreover, latent heat generation due to
0.2 1000
solidification is also taken into account by vary-
800 ing fraction of solidified volume, which can de-
0.0
600 scribe the state of the mushy zone. Simulta-
0.2
m neously, a method of stress analysis based on the
400 ), m obtained temperature distribution is developed,
0 ter (z
cen where an elastic-viscoplastic constitutive rela-
from
Ra
40
200 nce
diu
a tionship capable of describing the viscoplastic

80 Dist
s (r
solid as well as viscous fluid is employed. Here,

120
), m
0 in order to simulate stress and deformation, one

m
assumes that the velocity along direction Vr is

Fig. 18 Displacement mode. V 80 mm/min small and has the same stress state on contacted
boundary. Examples of numerical calculation of

temperature with solidification and stress are
presented for some practical cases of centrifugal-
casting processes, and the validity of calculated
temperature field under several operating con-
ditions is discussed in comparison with the ex-
perimental results.
1000
Stress (r ), MPa
Analysis Models and Casting

100 800
Conditions
50 600
0.0 400 m Centrifugal casting is one of the most efficient

), m
40 cu s (z processes for producing pipes, tubes, cylinder
200 enis
mm sleeves, and so on. It is well known that the tech-
80 e fro
anc
0.0 Dist nique utilizes the centrifugal force generated by
a rotating cylindrical mold to fit the molten metal
on the mold wall and to form the desired shape,
as shown in Fig. 30. Many problems still remain
in the process regarding thermal and mechanical
behaviors, for example, progressive domains of
molten and solidified metals, moving interface
Stress ( ), MPa
1000
100 800 between both parts, and development of stresses
0.0 600 along the solidified field. Centrifugal-casting
100 400 methods have been developed to make many ma-
0 mm chine parts and structures. However, there are no
z ),
40 200 isc us (
men numerical analyses of the casting process, be-
m
80 e fro cause it is difficult to solve temperature field,
anc
0.0 Dist solidification, and residual stress field due to the
growing domain in the casting process. In order
to simulate the process, the authors applied the
above-mentioned analytical procedure to the
casting practice. In this section, centrifugal cast-
ing that produces rolled products and pipes are
1000 calculated.
Stress (z ), MPa
100 800 An axisymmetrical model as shown in Fig.

0.0 600 31(a) is employed for finite-element analysis for
100 400 the first model (I), where both ends of mold are
0 mm fixed during casting process and the casting roll
(z ),
40 200 is cus is long (L 5 m) with a large diameter (internal
m men
80
anc
e fro diameter of mold do 1270 mm). Moreover, in
0.0 Dist order to evaluate the distribution of temperature
Fig. 19 Contour of radial (rr), tangential (rh), and axial (rz) axial stress distributions. V 80 mm/min and stress fields in the end corner of a pipe, the
authors chose another model (II) with finite
length (L 1 m) as shown in Fig. 31(b).
0 In model I, the material used for the pipe is a
r z
nickel-chromium alloy, and the metal mold is
made of a carbon steel. The rotating speed and
200
the initial mold temperature is x 440 rpm and
T0 100 C, respectively. The initial tempera-
ture of molten metal was Ti 1330 C with

liquidus temperature Tl 1230 C and solidus
13.6 MPa
400
temperature Ts 1140 C. Since the heat is
Pa
MPa
2.76 MPa
transferred from the mold surface to air, the heat-

43.1 M
transfer coefficient is taken as h 2.78 103

Pa
.2
Pa
0M
10
cal/(mm2 s C).
1.02 MPa
98.7 M
49.5 MPa
5.
70.1 MPa
600 The materials of the metal mold and pipe of

7
MPa
model II are both 7075 aluminum alloy, as used

MPa
23.7 MPa
Pa
32.1 MPa
54.2
in the process described in the section Residual

M
40.5
MPa
6.0
Stress Formation During Semicontinuous Cast-

800
12
ing. The initial mold temperature and molten

167.2
metal temperature are chosen as T0 650 C

and Ti 680 C, and liquidus and solidus tem-
1000 perature are Tl 638 C and Ts 600 C. The
0 24 48 72 96 120 0 24 48 72 96 120 0 24 48 72 96 120
heat-transfer coefficient is chosen as h 5.56
103 cal/(mm2 s C). The rotating speed
Fig. 20 Isostress contours. Radial (rr), tangential (rh), and axial (rz) axial stress distributions. V 80 mm/min is kept to x 540 rpm, and the time period of
0.0
28.1 MPa
20 MPa
v = 70 v = 80 v = 95
200 mm/min mm/min mm/min
Distance from meniscus (z), mm 0
Mold refractory
Pa
6M
640 C
640 C
7.
400 640 C
Pa

6
79.5 M
MPa
MPa
Pa
.5
52
76.2
5M
600
1
Pa
1
27.8 MPa
250
124 M
MPa
Pa
Pa
164 M
M
.8
800
3
12
6
1
1000 82
85
0 24 48 72 96 120 0 24 48 72 96 120
110
Radius (r ), mm Radius (r ), mm
500
Fig. 21 Calculated stresses (rh) by (a) elastic-viscoplastic and (b) elastic-plastic models. V 60 mm/min 0 120 0 120 0 120
Radius (r ), mm
Fig. 23 Isothermal lines for different casting speeds
v = 70 v = 60 v = 35
mm/min mm/min mm/min
0.0
Mold refractory
660 C
660 C 660 C

640 640 640
200 200
Stress, (r, , z), MPa
100 100
400
110
0.0 0.0
100 100 110

110
200 200 500

0 24 48 72 98 120 0 24 48 72 98 120 0 150 0 250 0 300
(a) (b)
Fig. 24 Isothermal lines for different ingot radii
200 200
38
Thickness of mushy zone (ts), mm
100 100 v = 80 mm/min

36
0.0 0.0
34
r
100 100 z
32

rz
200 200 30
0 24 48 72 98 120 0 24 48 72 98 120 80 100 120 140 150
Radius (r ), mm Radius (r ), mm Discharge of cooling water (wt), l/min
(c) (d)
Fig. 25 Relation between thickness of mushy zone at
Fig. 22 Stress distribution in several sections of ingot. (a) z 121 mm. (b) z 400 mm. (c) z 850 mm. (d) z the center depending on discharge of cooling
1000 mm water
the pouring molten metal is 3 s. Mechanical pa- outer surfaces, where solid lines represent the development of solidification is represented in
rameters of the alloy as shown previously also results of coupled calculation that considered the Fig. 35. Compared with the data of volume frac-
are employed. heat supply of stress power, while dashed lines tion of solid shown in Fig. 34, stress in liquid
The same thermal radiation coefficient g are the uncoupled results without effect of stress state, in fact, vanishes, while drastic variation of
7.028 107 cal/(mm2 s K4) is used for two power. the stresses is observed in the mushy zone be-
models, and the radiation condition is situated The simulated temperature is compared with tween liquid end and solid front. Simulated re-
on the inner surface of pipe. In model I, heat experimental results represented by open circles sults of the residual stresses are plotted in Fig.
insulation condition is assumed on both sides of measured by radiation thermometer. Figures 33 36 when the cast region and mold cooled down
the model, while it is also imposed on the outer and 34 depict the distributions of density and to room temperature at t
.
surface of the mold in model II. volume fraction of solid in radial direction as the Results for Model II. Figure 37 shows the
parameter of time. From the results, it can be temperature distribution at different time steps.
Results of Numerical Analysis seen that the cooling rate on the inner surface Figures 38 and 39 represent the variation of den-
tends to be slow because of the latent heat gen- sity and volume fraction of solid. It follows from
Results of Simulation for Model I. As the eration due to solidification, while the rate be- the results that the variation of temperature, den-
result of temperature, lines in Fig. 32 show the comes larger after the solidification was com- sity, and volume fraction of solidus in the corner
temperature variations with time on the inner and pleted. The distribution stress associated with of model II is increased very rapidly due to cool-
v = 60 mm/min v = 75 mm/min v = 80 mm/min 50
Stress (z, ), in solid shell, MPa

0 r = 120 mm
45
w l = 115 mm

30.1 MPa
40
200
35
z
400 30
2.76 MPa
3.51 MPa
MPa
a
a
Pa
MP
MP
Pa
25
MPa
76.2 M
2.5
55 70 85 100
98.7 M
5.0
.2
5
83
600 Casting speed (v), mm/min

99.5
7
23.7 MPa
23.4 MPa
27.6 MPa
a
Pa
MPa
MP
Relation between stresses at the center of ingot

32.1 MPa
Fig. 28
Pa
31.6 MPa
.0 M
and casting speed

164 M
6.0
Pa
8
Pa
6
12
800
12
12
169.1 M
167.2 M
60
1000
Stress in solid shell, MPa
0 24 48 72 96 120 0 24 48 72 96 120 0 24 48 72 96 120

Radius (r ), mm Radius (r ), mm Radius (r ), mm 40 z
Fig. 26 Stress distributions (rh) for different casting speeds

20
w l = 112 L/min w l = 142 L/min w l = 245 L/min
0 0 0
0
70 90 110 130 150
Discharge of cooling water (wt), t/min
11.0 MPa
9.9 MPa
Fig. 29 Relation between stresses at the center of ingot

10.9 MPa
and discharge of cooling water. V 80 mm/

min. z 112 mm
57
2
55.
.7
500 500 500

Ladle
Molten pool
86
.5
35.4
10
1.7
4.0
Metal mold
10
129.0
80.7
126.0
113.0
35.7
46.7
82.5
1000 1000 1000 20 Bearing

0 150 0 250 0 300
Fig. 27 Stress distributions (rz) dependent on effect of ingot diameter and cooling water rate. V 80 mm/min Fig. 30 Schematic of centrifugal casting
ing from both ends. Figure 40 shows the devel- and fluid velocities in both liquid phase and solid in the section Inelastic Behavior and Unified
opment of equivalent stress in the growing do- phase. On the other hand, due to the symmetry Constitutive Theory of Metallic Material in So-
main under the solidification process. Residual to the central line, a half part of the model shown lidification.
stresses at the end of cooling are shown in Fig. in Fig. 42(b) is treated for the analysis.
41. Calculated Results of Material A
Analytical Models and Parameters
Simulated results of steady temperature dis-
Residual Stress Formation During tribution in both the strip and roll are shown in
Strip Continuous Casting by Twin- The procedure developed above is now ap-
plied to the simulation of the thin-slab casting Fig. 45(a) for the casting speed of 77.2 mm/s
Roll Method process under some operating conditions. The with T0 190 C on the meniscus, and Fig.
results are summarized as follows. Figure 43 45(b) depicts the volume fraction of solid phase,
Strip continuous casting by twin-roll method represents the finite-element discretization of the in which the line indicated by ns 1.0 shows
is a promising technology. Not only can the cast- whole region of the strip and roll. The approxi- the solid front. Measured temperature distribu-
ing method save energy, but it can also reduce mate velocity field based on the incompressibil-
production costs in the manufacturing of mate- ity condition and boundary conditions of veloc-
rial. However, it is difficult to control the quality ity due to rotation of roll is shown in Fig. 44.
of the strip because of the existence of the de- The roll surface as well as the boundary in con-
formation of the strip itself, due to thermal ex- tact with the roll and strip is assumed to belong
pansion or thermal stress. Here, there are two key to heat-transfer boundary and the surface of the 1200
points: first, if the solidification is completed be- strip to the heat-radiation boundary.
Temperature (T ), C
fore the liquid reaches the minimum clearance In order to verify the numerical analysis
point between the rolls, then the strip will incur method proposed in the section on numerical Measured
800
a fixed gap. Therefore, one key point is control- analysis, two kinds of casting material are taken Uncoupled method
ling solidification. Another key point is that the into consideration: one kind of material (material Coupled method
viscoplastic deformation incorporating material A) is a low-melting-point alloy (tin-bismuth al-
flow has to be considered in this thermomechan- 400
loy), and the other (material B) is SUS 304 steel
ical process. mentioned in the section Inelastic Behavior and
Unified Constitutive Theory of Metallic Material
0
Continuous Casting by Twin-Roll in Solidification. The casting speed is set at Vc 0 1000 2000 3000 4000
Method 77.2, 64.5, and 51.1 mm/s. The thickness of Time(t ), s
the slab is 3 mm. The initial temperature of the Fig. 32 Temperature distribution (model I)
The twin-roll continuous-casting system is molten metal is T0 190.0 and 185.0 C, re-
schematically illustrated in Fig. 42(a). In this spectively. The material coefficients of tin-
process, molten metal is sent between two rolls bismuth alloy are used for the temperature cal-
rotating in opposite directions with some angular culation and stress analysis. The initial 2010
velocity. The level of the molten metal is always temperature of rolls is chosen as Tm 10 C.
kept constant by overflowing the excess molten The liquidus temperature and solidus tempera-
1050
metal from the nozzle. As soon as the molten ture of tin-bismuth alloy are Tl 150 C and Ts
material is poured into the rolls, solidification 138 C. 103
takes place on the roll surface, which is cooled When the casting process of SUS 304 is con- 480
8.0
Density, (), g/mm3
by circulating water inside the roll. Therefore, sidered, the thickness of the slab is 1 mm, and
the problem then is to find this steady solidifi- two casting speeds are set: Vc 400 and 600
cation profile and the distribution of temperature mm/s. The properties of material can be found 7.5
t = 210 s
7.0
500 550 600 635
Radius (r ), mm
500 Fig. 33 Density distribution (model I)
2010
Metal
mold
6
850 mm
1050
114 mm
Additional
r = 108
510
element 1.0
r = 635
Additional 5.0
element
t = 210 s
0
500 550 600 635
(a) (b) Radius (r ), mm
Fig. 31 Finite-element division. (a) Model I. (b) Model II Fig. 34 Distribution of volume fraction of solid (model I)
tion by thermocouples along the central line and ure 53 shows that temperature distribution on the in some casting processes, which include semi-
surface of the strip are plotted by data points in slab surface at the roll outlet presents violent continuous casting, centrifugal casting, and con-
Fig. 46 and 47, while the solid lines indicate the fluctuations due to latent heat generation by so- tinuous casting by twin-roll method. A method
calculated temperature results. It may be sug- lidification domain. When the casting speed Vc to simulate solidification and temperature as well
gested from the figure that the simulations give is raised, the temperature fluctuation toward a as stress distribution in casting is formulated,
fairly good agreement with the experiment. small range is presented on the slab surface. and the implementation by finite-element cal-
The stress distribution is shown in Fig. 48, and The distribution of the horizontal stress rx
the results at several locations are given in Fig. from meniscus to the junction point at the roll
49. The distribution at the very end of the strip outlet is represented in Fig. 54. From these fig-
can be seen to grow up again, which may be- ures, the high-level stress field by rapid cooling 100
come the origin of residual stresses. Figure 50 is found to occur near the shell surface, and the
equivalent stress distribution on the slab surface Casted
gives the comparison of the measured data of the 50 region
Mold
thickness with the calculated results. at the roll outlet also presents violent fluctuations

due to the temperature fluctuation. The equiva- 0
lent stress analysis results based on several con-
Calculated Results of Material B stitutive equations are plotted in Fig. 55. In the
50
section of slab at the roll outlet, calculated equiv-
Simulated results of steady temperature field alent stress by three types of constitutive equa- r
in both the strip and roll are shown in Fig. 51(a) tions is approximated to the same distribution. 100
e
and (b) for the casting speed of 400 and 600 mm/ However, when casting speed is lower, the effect z
s. The fraction of solid phase in solidified region of creep strain is evident. 150
of the strip with liquidus and solidus temperature
Tl 1460 C and Ts 1399 C is depicted in 200
500 550 600 650 700 750 800 850
Fig. 52. Temperature distribution along the cen- Concluding Remarks
Radius (r ), mm
tral line is plotted in Fig. 53. In the early stage
of rapid cooling by the roll, the solidified shell This article provides a general discussion on Fig. 36 Residual stress distribution (model I)
is seen to grow gradually toward the central part. the framework of thermomechanical theory in-
The change in casting speed is known to affect corporating solidification, and a series of prac-
the distribution of temperature and shell thick- tical analytical schemes based on the finite-
Temperature ( ), C
ness. As the casting speed becomes faster, the element method are proposed. These schemes
position of liquid line moves downstream. Fig- are applied to simulate thermomechanical fields 700
400
0
100 t = 0.5 s
200
Di
st
a 300
pl nce
an fr
t = 450 s e om
( 400
), ce
z
m nt
m ra
l
108
Temperature ( ), C
112
700 Radius (r ), mm
Solid
r front
t = 300 s 400
t = 2.0 s
e
0
z
Liquid 100
end
200
Di p
t = 210 s
st lan
300
an e
ce (z
fro ), m
m m
400
ce
nt
t = 120 s
ra
l
108 104
Temperature ( ), C
112
700 Radius (r ), mm
400
t = 90 s
0
t = 4.0 s
20 Liquid 100
front 200
Di
st plan
t = 30 s 300
an e
0
ce (z
fro ), m
Casted 400
Mold
m m
region
ce
20
nt
ra
500 600 700 800 104

l
112 108
Radius (r ), mm Radius (r ), mm
Fig. 35 Stress distribution (model I) Fig. 37 Temperature distribution (model II)
culation is presented in this article as an example The unified inelastic constitutive equation 4. D.Y. Ju and T. Inoue, Metallo-Mechanical
of the application of theory and procedure de- may describe the stress and deformation in Simulation of Centrifugal Casting Process
veloped in the proceeding. A modification of the entire region of the solidifying process in- of Multi-Layer Roll, J. Mater. Sci. Res. Int.,
Perzynas viscoplastic constitutive relationship cluding liquid and solid states. Vol 2 (No. 1), 1996, p 1825
is proposed, which reflects actual liquid-solid In the simulation of stress field, the devel- 5. H. Matsui, D.Y. Ju, and T. Inoue, Inelastic
phase transformation during the casting process. opment of stresses with a following incre- Behavior and Unified Constitutive Equa-
The results of simulation are also verified by ment of molten metal is presented. On the tions of SUS 304 at High Temperature, J.
comparing with experimental data, and applica- other hand, when the effects of centrifugal Soc. Mater. Sci. (JSMS), Vol 41 (No. 466),
tion of the technique to other operating condi- force are considered, the residual stresses in 1992, p 11531159
tions is carried out to obtain the fundamental the casting process would occur with the 6. D.Y. Ju, T. Inoue, and H. Matsui, Visco-
data of optimal design of the system. compressive stress. Plastic Behaviour of SUS 304 Stainless
A new algorithm for solving the solidification Steel at Ultra-High Temperature, Advances
problem with growing domain has been pre- REFERENCES
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Density ( = 103), g/mm3
Rate Sensitive Plastic Materials, Arch.

Mech. Stos., Vol 20, 1968, p 499512
2.8 11. S.R. Bodner and Y. Partom, Constitutive

1.0 Equations for Elastic-Viscoplastic Strain
2.6
Hardening Materials, J. Appl. Mech., Trans.
2.4 ASME, Vol 42, 1975, p 385389
t = 0.5 s 0
100
400
Di 200
Equivalent stress (), MPa
st 300
an t = 1.0 s 400
300 Di
of ce st 200 t = 0.5 s
m fro a 300
ol m pl nce 0.3
l
m ra
d, b 400 an fr
m nt
m ott e om 0.2
), ce
m om ( 200
), ce
e om
108
z
m nt 100 0.1
m ra
an fr
112 l z
pl ce
(
2.8 0 100
an
Radius (r ), mm 1.0 112
st
108 104
Di
2.6 108
Radius (r ), mm
2.4 t = 1.0 s 0 Radius (r ), mm 112
100 400 t = 2.0 s
300 400
200 Di
Di st
st a t = 1.0 s 300
an 300 pl nce 200 1.0
of ce
l
an fr
m ra
e om
m nt
m fro ( 200
), ce
ol m ), ce
d, b 400
z
e om
m nt 100 0.5
m ott m ra
an fr
m om z
108 l
pl ce
112
(
100
an
0
1.0 108
112
st
104
Di
2.8 Radius (r ), mm 104

Radius (r ), mm 108
0
2.6 Radius (r ), mm 112
t = 2.0 s 400
t = 2.5 s
2.4 300 400
100 Di
st 300
a 200 t = 1.5 s
200 pl nce 10.0
l
m ra
Di an fr
m nt
st e om 200
), ce
an 300 (
of ce ), ce
e om
z
m fro m nt 100 5.0

an fr
m ra z
ol m l
pl ce
(
d, b 400 112
an
m ott 108 0 100

st
m om 104
Di
104 104
112 Radius (r ), mm 108
Radius (r ), mm Radius (r ), mm 112
Fig. 39 Variation of volume fraction of solid phase
Fig. 38 Variation of density (model II) (model II) Fig. 40 Equivalent stress at initial stage (model II)
Molten steel
Steel roll
Steel shaft
400
102 Free boundary
300
Stress (r), MPa
1.0 x o
l
m ra
+ +
m nt
200 b
), ce
0
e om
an fr
z ym
1.0 r
pl ce
(
100
an
Cooling water
st
104 Di
108 Copper roll sleeve
Radius (r ), mm 112
Steel pinch roll 0
Strip
400
102 Roll
Stress (), MPa
300 + + bo
2.0
l
m ra
200
m nt
0
), ce
Vo
e om
Free boundary
an fr
z
2.0 100
pl ce
(
Cast strip
an
104
st
Di
108 y
Radius (r ), mm 112 (a) (b)
Fig. 42 Twin-roll casting system (a) and model for simulation (b)
102 400
Stress (z), MPa
300
2.0
l
m ra
200
m nt
0
), ce
e om
an fr
z
2.0 100
pl ce
(
an
104
st
Di
108
112
Radius (r ), mm
Fig. 41 Residual stresses at the end of cooling (model II) 20
0
Distance from meniscus (y), mm
20
40
60 Detail of region A
A
80
100
50 40 30 20 10 0
Distance from center (x), mm
Fig. 43 Finite-element division for continuous casting

by twin-roll method
Fig. 44 Velocity field. Vb 77.2 mm/s
200
V = 77.2 mm/s V = 51.1 mm/s
20 20
190 C 190 C
Temperature (T ), C

0 179 0 V = 77.2 mm/s
178 150
170 169
167
162
20 20 140
1.1 V = 51.1 mm/s
14 142 13 100
40 18 40 17
21 20 108
111
60 25 60 25
92 50
28 95 0 20 40 60 80 100
30
80 80
Fig. 46 Variation of temperature along the central line

100 100 (material A). To 190 C
50 25 0 50 25 0
Distance from center (x ), mm Distance from center (x ), mm
V = 77.2 mm/s V = 51.1 mm/s

20 20
0 0
20 20
0.15 0.15
40 0.83 40 0.83
60 1.0 60 1.0
80 80
100 100
50 25 0 50 25 0
Fig. 45 Distribution of temperature (a) and volume fraction of solid (b) (material A). To 190 C
x y
0 0
0.0
20 0.0 20
20
8
30
200 12 4 MPa
40 40
4 MPa
Calculation
Temperature (T ), C
150 Experiment 60 60
40
V = 77.2 mm/s 4 50
100 80 80
5
V = 51.1 mm/s 18
50
0 20 40 60 80 100
100 100
Distance from meniscus (y), mm 25 20 15 10 5 0 25 20 15 10 5 0
Fig. 47 Variation of temperature on the surface of the
strip (material A). To 190 C Fig. 48 Isostress line in the strip (material A). V 77.2 mm/s
12. S.R. Bodner and A. Merzer, Viscoplastic Plastic and Viscoplastic Constitutive Equa- ing the Tensile Deformation of Austenitic
Constitutive Equations for Copper with tions (Part 2), J. Pressure Vessel Technol., Iron at Intermediate Strain Rates, Metall.
Strain Rate History and Temperature Ef- Trans. ASME, Vol 105, 1983, p 158164 Trans. A, Vol 6A, 1975, p 11971203
fects, J. Appl. Mech., Trans. ASME, Vol 15. P. Ackermann, W. Kurtz, and W. Heine- 20. C.E. Pugh and D.N. Robinson, Some Trends
100, 1978, p 388394 mann, In Situ Tensile Testing of Solidifying in Constitutive Equation Model Develop-
13. J.L. Chaboche and G. Rousseler, On the Aluminium and Al-Mg Shells, Mater. Sci. ment for High Temperature Behavior of
Plastic and Viscoplastic Constitutive Equa- Eng., Vol 75, 1985, p 7986 First-Reactor Structural Alloys, Nucl. Eng.
tion (Part 1), J. Pressure Vessel Technol., 16. T. Suzuki, K.H. Tacke, and K. Schwerdt- Des., Vol 42, 1978, p 269278
Trans. ASME, Vol 105, 1983, p 153158 feger, Influence of Solidification Structure 21. T. Inoue and S. Nagaki, A Constitutive
14. J.L. Chaboche and G. Rousseler, On the on Creep at High Temperatures, Metall. Modeling of Thermo-Viscoelastic-Plastic
Trans. A, Vol 19A, 1998, p 28572859 Materials, J. Thermal Stress., Vol 1, 1978,
17. T. Inoue et al., Benchmark Project on the p 5361
20 10 0 Application of Inelastic Constitutive Rela- 22. D. Kujawski and Z. Mroz, A Viscoplastic
0 tions in Plasticity-Creep Interaction Condi- Material Model and Its Application to Cy-
tion to Structural Analysis and the Predic- clic Loading, Acta Mech., Vol 36, 1980, p
40 tion of Fatigue-Creep Life, Part I, Proc. of 213230
Stress, MPa
20
Subcom. Inel. Anal. High Temp. Mater., 23. Grill, J.K. Brimacombe, and F. Weinberg,
JSMS, Vol 1, 1991, p 15 Mathematical Analysis of Stresses in Con-
20 0 18. P.J. Wray and M.F. Holmes, Plastic Defor- tinuous Casting of Steel, Iron Steel., Vol 1,
mation of Austenitic Iron at Intermediate 1976, p 3847
20
Strain Rates, Metall. Trans. A, Vol 6A, 24. D.Y. Ju, T. Inoue, and N. Yoshihara, Simu-
40
1975, p 11891196 lation of Vertical Semicontinuous Direct
20 19. P.J. Wray, Onset of Recrystallization Dur- Chill Casting Process of Cylindrical Ingot
40 0 of Aluminum Alloy, Trans. Jpn. Soc. Mech.
Eng. (JSME), Vol 55 (No. 513), 1989, p
20
12361243 (in Japanese)
40 200
Roll boundary 25. D.Y. Ju and T. Inoue, Simulation of Solid-
20 ification and Evaluation of Residual
Strip thickness (), mm
150 Stresses During Centrifugal Casting, Proc.

60 0
x Third Int. Conf. Residual Stresses, Vol 1,
y 20 Elsevier, 1991, p 220225
100
z 40 26. D.Y. Ju and T. Inoue, Simulation of Solid-
20 Experiment ification and Viscoplastic Deformation in
100 Calculation the Twin Roll Continuous Casting Process,
80 0
Trans. Jpn. Soc. Mech. Eng. (JSME), Vol
20 50 57 (No. 537), 1991, p 11471154 (in Jap-
10 5 0 0 20 60 100 anese)
Distance from center (x ), mm Casting speed (v), mm/s 27. S. Redner and C.C. Perry, Factors Affecting
Stress distribution at several locations (material
the Accuracy of Residual Stress Measure-
Fig. 49 Fig. 50 Computing and measuring results of strip thick- ments Using the Blind Hole Drilling
A). V 190 mm/s ness (material A)
Method, Proc. Seventh Int. Conf. Experi-
mental Stress Analysis (New York), Aug
1982, p 604616
200 200 28. A. Boley and J.H. Weiner, Theory of Ther-
mal Stresses, Wiley, 1960
100 100 29. L.I. Rubenstein, The Stefan Problem, Amer-
ican Mathematical Society, 1971
0 0
A A SELECTED REFERENCES
400 400
100 100 T.P. Battle and R.D. Pehlks, Mathematical of
C
Microsegregation in Binary Metallic Alloys,

1280
1470 C
1280 C
1470 C
1240 C
200 200 Metall. Trans. A, Vol 22A, 1991, p 957980

1240 C
1400
1200 C
1000 1400 R.M. Bowen, Theory of Mixture, Continuum

1200 C
1000
Physics, A.C. Eringen, Ed., Vol 3, Academic
300 300
Press, 1976
360 C 300 C M.C. Flemings, Behavior of Metal Alloys in
400 420 400 360 the Semisolid State, Metall. Trans. A, Vol
420 22A, 1991, p 957980
500 A 500 A H. Gouin, Variational Theory of Mixture in
600 600 Continuum Mechanics, Eur. J. Mech., B/Flu-
1.5 0
600 600 ids, Vol 9, 1990, p 469491
400 300 200 100 0 400 300 200 100 0 T. Inoue, in Thermal Stresses, R.B. Hetnar-
Distance from center (x ), mm Distance from center (x ), mm ski, Ed., Vol 3, Elsevier Science, North-
(a) (b) Holland, 1989
Fig. 51 Distribution of temperature (material B). (a) Vc 400 mm/s. (b) Vc 600 mm/s
D.Y. Ju and T. Inoue, A Thermomechanical
Model Incorporating Moving Liquid/Solid
200 200 100

Perzyna (n = 1)

100 100 Perzynna
Perzyna + creep

0 0
50
100 100
s = 0.1 s = 0.1
200 200
s = 1.0 s = 1.0
0
300 300 1.5 1.0 0.5 0.0
Distance from center (x ), mm
(a)
400 400
100
500 500 Perzyna (n = 1)

Perzynna
Perzyna + creep
600 600
400 300 200 100 0 400 300 200 100 0
Distance from center (x ), mm Distance from center (x ), mm 50
(a) (b)
Fig. 52 Distribution of solid fraction (material B). (a) Vc 400 mm/s. (b) Vc 600 mm/s
0
1.5 1.0 0.5 0.0
Distance from center (x ), mm
1500 (b)
Fig. 55 Dependence of constitutive relationships on

Center of slab stress distribution. (a) Vc 400 mm/s. (b) Vc
1300 600 mm/s
Surface of slab
Temperature (T ), C
1100 0 0
900
100 100
700
0 100 200 300 400 500 600 x = 1 MPa
x = 1 MPa
Distance from meniscus (y), mm 5

200 200
(a) 5 10
10
1500
Center of slab 300 0 300 0

1300
Stress (x ), MPa
Stress (x ), MPa
Surface of slab
Temperature (T ), C
1100 400 400
0 0
900 1.5 1.0 0.5 0 1.5 1.0 0.5 0
500 Distance from center (x), mm 500 Distance from center (x), mm
700
0 100 200 300 400 500 600
Distance from meniscus (y), mm 600 600
(b) 160 120 80 40 0 160 120 80 40 0
Distance from meniscus (x), mm Distance from meniscus (x), mm
Fig. 53 Temperature variation at center and surface of (a) (b)
slab (material B). (a) Vc 400 mm/s. (b) Vc
600 mm/s Fig. 54 Distribution of stress rx (material B). (a) Vc 400 mm/s. (b) Vc 600 mm/s
Interface and Its Application to Solidification Soc. Mater. Sci. (JSMS), Vol 41 (No. 464), D. Peirce, D.F. Shih, and A. Needlemen, A
Process, Proc. Sixth Int. Conf. Mechanical 1992, p 751757 (in Japanese) Tangent Modulus for Rate Dependent Solid,
Behaviour of Materials (Kyoto), JSMS, 28 J.B. Leblond, G. Mottet, J. Devaux, and J.C. Int. J. Comput. Struct., Vol 18, 1984, p 875
July 1991, Vol 5, p 119120 Devaux, Mathematical Models of Aniso- 887
D.Y. Ju, Y. Oshika, and T. Inoue, Simulation tropic Phase Transformation of Steels and T.L. Sham and H.W. Chow, A Finite Element
and Temperature in the Centrifugal Casting Predicted Plastic Behavior, Mater. Sci. Tech- Method for an Incremental Viscoplasticity
Process, J. Soc. Mater. Sci. (JSMS), Vol 40 nol., Vol 1, 1985, p 815822 Theory Based on Overstress, Int. J. Comp.
(No. 449), 1991, p 1218 (in Japanese) K. Miyazawa and J. Szekely, A Mathematical Mech., Vol 34, 1989, p 143156
D.Y. Ju, S. Takemura, and T. Inoue, Analysis Model of the Splat Cooling Process Using the O.C. Zienkiewicz, The Finite Element
of Coupled Mode of Solidification and Twin-Roll Technology, Metall. Trans. B, Vol Method, McGraw-Hill, 1977
Stresses the Centrifugal Casting Process, J. 20B, 1989, p 391390
Residual Stress Formation Processes

during Welding and Joining
W. Zinn and B. Scholtes, Universitat Kassel, Germany
KNOWLEDGE ABOUT FORMATION and

consequences of welding or brazing residual
stresses has increased considerably during the
past decades. A number of papers have made
fundamental contributions to this topic (Ref 1
3), and general aspects about origin and distri- Time t 0 = 0 s
butions of welding and brazing residual stresses
are now classified. Considerable interest in this
subject is based upon the fact that welding or
Temperature
brazing residual stresses have various impacts on

the behavior of joined components. In this con- Time t 1 > t 0
text, the most important viewpoints are:
High amounts of total stresses as a conse-
quence of superimposing loading and residual
stresses y x
Influence on local yield strength of compo-
nents, depending on sign and multiaxiality of
residual stress state
Formation of cracks without external loads
Increasing the risk of brittle fracture by high
local stress values and/or highly multiaxial
residual stress states
Influence of residual stress distributions on
x
loading modes of existing cracks
Influence on fatigue strength and fatigue life
Influence on elastic stability, for example,
buckling
Influence on stress corrosion sensitivity in the
case of corrosive environment
Consequences of existing residual stress dis-
tributions on distortion of joined components HAZ HAZ
Seam
Subsequently restricted to metallic materials, an Cold Hot Cold

overview is given about origin and assessment
of welding and brazing residual stresses. A focal
point is put on the basic principles of residual
stress development and the influence of impor-
Impeded longitudinal shrinkage
tant process parameters on amount and distri- High value of longitudinal residual stresses
bution of residual stresses. Low amount of shrinkage
Residual stresses are always consequences of
inhomogeneous elastic and/or plastic deforma-
tions on a macroscopic or microscopic scale (Ref
4). Consequently, all processes or process pa-
rameters of the welding or brazing operation that Transverse shrinkage not impeded
Low value of transverse residual stresses
introduce or influence inhomogeneous defor- Noticeable amount of shrinkage
mations have to be considered, if the origin of
joining residual stresses has to be outlined. In Shrinkage and impeded shrinkage as a consequence of inhomogeneous temperature distribution. HAZ, heat-
the following chapters, only macro residual
Fig. 1
affected zone. Source: Ref 6
stresses are considered, which are assumed to Residual Stresses Due to Shrinking Pro- perature. In the case of the weld seam, starting
have similar consequences on components as cesses. A very important origin of welding re- from the stress-free state of the melting pool, ten-
loading stresses (Ref 4, 5). sidual stresses is impeded shrinkage processes, sile thermal stresses build up during the cooling
which occur when heated and cooled regions are process, which reach the temperature-dependent
neighbored. The basic principle is that heated yield strength of the material. Consequently, at
Welding Residual Stresses volumes shrink during the cooling-down process the end of the cooling process, tensile residual
according to their coefficient of thermal expan- stresses exist in the weld seam. If the amount of
Welding residual stresses are the conse- sion and the existing temperature difference. It restricted shrinkage is high enough, they may
quences of the fluctuating inhomogeneous tem- is assumed that melted volumes do not exert reach the yield strength of the weld seam mate-
perature distributions arising in the course of the forces on surrounding volumes. Consequently, rial.
different welding processes in and around the weld seams and surrounding volumes that have Materials volumes that are at a certain dis-
weld seam. Heating, as well as the cooling pe- not been melted during the welding process ex- tance from the weld seam and are not melted
riod, is of importance. This section outlines dif- hibit different thermal and, thus, residual stresses during the welding process undergo impeded
ferent aspects and influencing parameters that (Fig. 1) (Ref 6). If shrinking is not impeded, ther- thermal strains during the heating period as well.
contribute to the amount and distribution of mal stresses relax completely and no residual It follows that compressive thermal stresses
welding residual stresses. stresses remain after cooling down to room tem- build up, yielding compressive plastic strains
when the compressive temperature-dependent
yield stress is reached. These volume shrinkages
build up tensile stresses when thermal contrac-
tion during cooling is impeded. The amount of
tensile residual stresses, in this case, is directly
related to compressive strains during the heating
process. For equilibrium reasons, longitudinal
residual stresses change sign over the width of
the plate (Fig. 2) and result in an inhomogeneous
distribution of longitudinal residual stresses (Ref
7).
Up to now, only longitudinal residual stress
components have been considered. But, as a con-
sequence of inhomogeneous longitudinal
stresses, inhomogeneous shrinkage in transverse
direction results as well. Because inhomoge-
neous shrinkage also means impeding of shrink-
age, residual stresses build up, also in the trans-
verse direction, even if no external forces impede
shrinkage in the transverse direction. However,
residual stress amounts in transverse direction
reach only about one-third of the values in lon-
gitudinal direction. On the other hand, transverse
residual stresses may also reach the yield
strength of the material, for example, after mul-
tipass welding.
Because the amount of restraint is usually
higher at repair welds compared to new con-
structions, residual stresses are typically more
severe and especially have to be taken into ac-
count.
Residual Stresses Due to Quenching Pro-
cesses. Particularly in the case of thicker plates,
considerable temperature differences build up
between the near surface and the core layers of
the plate during the cooling process. The result-
ing thermal residual stresses may exceed the
yield strength of the material, resulting in plastic
deformations. Obviously, these inhomogeneous
plastic deformations lead to residual stresses af-
ter cooling. If no other processes were active,
compressive residual stresses in near surface lay-
ers and tensile residual stresses in the core would
be expected. However, in most cases, by far,
quenching residual stresses develop together
with residual stresses due to shrinkage processes
and, if present, residual stresses due to phase
transformations.
Distributions of longitudinal and transverse residual stresses parallel and perpendicular to a two-pass welded
Residual Stresses Due to Phase Transfor-
Fig. 2 mations. Residual stresses as a consequence of
aluminum plate. TIG, tungsten inert gas; ry and rl, stresses parallel to the weld toe; rx and rt, stresses transverse
to the weld toe. Source: Ref 7 phase transformations during welding processes
Residual Stress Formation Processes during Welding and Joining / 393
In practice, this is not the case. Moreover,

Time = t 1 shrinkage and transformation processes overlap,
Transformation
and the amount as well as the sign of the result-
Temperature
t1 < t2
Temperature ing residual stresses strongly depend on the tem-
Time = t 2 perature range in which transformation takes
place. The consequences are schematically out-
lined in Fig. 4. It shows, as a function of tem-
y x
perature, the tensile or compressive yield
strength of a ferritic-pearlitic or a bainitic micro-
structure. Starting at high temperatures, tensile
stresses build up due to shrinkage processes and
ge ec n
Sh atio orm d
o
ted
te
according to the temperature-dependent yield
a ti
for rans ffec
Tra nent tion e
strength of austenite. If phase transformations
g
ka aff
a
mi ma ka
f
rin n
occur as a consequence of volume increase, ten-
Im sfor hrin
t x sile stresses rapidly decrease and change to com-

S
m pression. If, in the transformed volume, a ferri-

ns
n
Tra
tic-pearlitic microstructure develops, maximum

compressive stresses are limited by the respec-
tive compressive yield strength of the phases cre-
ated (Example 1 in Fig. 4). If a martensitic trans-
Fig. 3 Shrinkage and expansion in example of phase transformation of sufficient highly treated areas. Source: Ref 6 formation takes place, because of the high yield
strength, the highest compressive stresses can
develop. At the end of the transformation pro-
cess, compressive residual stresses decrease be-
cause of continuous temperature decrease along
Table 1 Materials data for the calculation occur if, during the cooling-down period of the with accompanying shrinkage (Examples 2 and
of brazing residual stresses heated weld seam, phase transformation pro- 3 in Fig. 4). Depending on Youngs modulus, E,
cesses connected with volume changes occur lo- the stiffness, S, of the component, the coefficient
Material E, GPa m ,106K1
cally (Fig. 3)(Ref 6). Inhomogeneity of transfor- of thermal expansion, , and the remaining tem-
ZrO2 210 0.3 10.6 mation processes, which is a necessary perature difference, DT, up to room temperature,
Si3N4 280 0.27 2.5
Ag 73 0.3 20.0 prerequisite for the formation of residual compressive or even tensile residual stresses re-
CK 45 188 0.3 14.0 stresses, may be attributed to different reasons, sult. Highest tensile residual stresses are ex-
for example, different peak temperatures during pected if the transformation process is finished
E, Youngs modulus; m, Poissons ratio; , coefficient of thermal expan- the welding process, different cooling velocities, at relatively high temperatures. In that case, the
sion. Source: Ref 12
or local changes of chemical composition. In the tensile yield strength of the ferritic-pearlitic mi-
case of steels, transformation from austenite to crostructure may be reached by the residual
ferrite, bainite, or martensite is connected with a stresses. From the schematic diagram in Fig. 5,
characteristic volume increase. Consequently, it can be seen that the lower the transformation
one would always expect compressive residual temperature, the more effective the conse-
stresses in transformed volumes, if transforma- quences of transformation processes on the re-
tions occur simultaneously and balance tensile sulting residual stresses will be. Consequently,
residual stresses in adjacent volumes. pronounced effects of transformation processes
Fig. 4 Interaction of impeded shrinkage and transfor-

mation for different cooling velocities. Example
1, low velocity; Examples 2 and 3, high velocity. Re, yield
strength; r, stresses; , coefficient of thermal expansion; E,
Youngs modulus; DT, temperature differences; S, stiffness. Fig. 5 Influence of heat input on transformation temperature, Tt, and resulting consequences on shrinkage tensile or
Source: Ref 6 transformation compressive residual stresses. RS, residual stress. Source: Ref 8
on the resulting residual stress distributions can perpendicular to the weld seam. In the case of seam. As a consequence, transformation-induced
be expected, for example, for steels with high low heat input (Curve 3, see also Fig. 4 and 5), compressive residual stresses are often observed
yield strength at high temperature or for ex- one can see that shrinkage and, especially, trans- with smaller amounts in surface layers compared
tremely high cooling rates. formation processes lead to a reduction of tensile with volumes near the core.
The diagram sketched in Fig. 6 shows the in- residual stresses or even compressive residual Summary. Welding residual stresses are a
fluence of increasing heat input on the distribu- stresses, resulting in a characteristic W-shape of consequence of the interaction of the following
tion of transverse residual stresses along a line the residual stress distribution. In the case of separate processes:
high heat input (Curve 1), one can expect that Impeded expansion and shrinkage as a result
immediately after phase transformation in the
of inhomogeneous temperature distributions
heated weld seam area compressive stresses exist Quenching effects
RS
and that cooling down to room temperature re- Phase transformations
sults in a buildup of high tensile stresses across
RS 1
the weld seam. Consequently, the algebraic sign and amount of
y
The influence of the chronological sequence residual stresses in the weld seam and the heat-
x of the transformation processes is especially pro- affected zone depend on the transformation tem-
x RS nounced in voluminous components. In this perature, Tt, which is determined by the time-
Weld toe case, a considerable time may elapse before temperature-transformation diagram of the
transformation processes in the fast-cooling material and also the cooling velocity. Obvi-
x HAZ
outer layers and the slow-cooling core volumes ously, the local chemical composition plays an
are finished. If transformation-induced stresses important role. In addition, the local tempera-
resulting from the inhomogeneous volume ture-dependent yield strength of the material and
RS the degree of stiffness of the construction is de-
changes lead to plastic deformations, after tem-
ut
cisive.
np
3
perature compensation residual stresses occur
ti
x One can see that the basic processes of the

ea
with positive sign in volumes having undergone

H
transformations first and negative sign in vol- development of welding residual stresses are
umes transformed last. In practical cases, how- widely understood. A prediction of welding re-
Influence of heat input on transverse residual ever, this effect always occurs in connection with sidual stresses in individual cases, however, is
Fig. 6 quite difficult because of the relatively great
stress distribution. RS, residual stress. Source: residual stresses due to pronounced temperature
Ref 9 gradients in directions perpendicular to the weld number of influencing parameters and their in-
terdependencies. To that end, further consequent
research and the correct inclusion of the experi-
mental experiences in appropriate finite-element
Brazing temperature Room temperature
(FE) models are necessary.
Brazing Residual Stresses
In modern structures, components are very of-

ten required to possess complex properties such
as sufficient ductility together with resistance
against abrasive wear and high temperatures.
These requirements cannot be satisfied by mono-
thA > thB
lithic materials alone. In these cases, brazed
Fig. 7 Distortion and residual stresses shown schematically in a brazed two-layer compound. Source: Ref 12 compounds have been demonstrated to be very
useful because materials of different properties
can be joined by this method. Very important
examples include cemented carbide tools and
2.0
brazed ceramic-metal compounds combining
Variations with hb (0 hb 0.3) mm hardness and chemical resistance with strength
Normalized thermal residual stresses
1.5 and ductility of appropriate metallic partners. In

the case of brazing, joining of two partners is
1.0
at the surface, MPa/K
achieved by a melted hard solder, while the ma-

0.5 terials joined remain well below their solidus
temperature. Special active solder materials have
0.0 been developed to meet the needs of economical
industrial applications. During the cool down
0.5
from joining temperature, brazed compounds de-
ZrO2 hc Si3N4 hb velop a complex residual stress state. The most
1.0
important influencing parameters are:
1.5 steel hs steel
The solidification behavior of the solder
2.0 The differences in the thermal expansion be-
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 havior of the joint materials
Elastic and plastic properties of the joint part-
hc/hs
ners
Influence of the thickness ratio hc /hs of the ceramic and the steel on brazing residual stresses in the outer surfaces Geometry of the joint compound
Fig. 8 Cooling down conditions (Ref 10, 11)
of the compound. hc, thickness of ceramic; hs, thickness of steel; hb, thickness of solder. Source: Ref 12
Residual Stress Formation Processes during Welding and Joining / 395
Thermal residual stresses during the cool down from brazing temperature, for which the brazing thickness with constant tensile residual stresses
from brazing temperature and residual stresses solder shows elastic behavior. In each compo- of about 250 MPa is observed. Measurements
after cooling may be detrimental for the com- nent, linear stress-depth distributions occur, re- using x-ray diffraction or hole-drilling tech-
pound and cause distortions or failure during the sulting from a superposition of bending and ten- niques confirm these distributions in near surface
manufacturing process or in service. Therefore, sion or compression loading. In Fig. 8 one can layers.
knowledge about residual stress states and their clearly see that tensile residual stresses in the In the meantime, more complex residual stress
variation with brazing and geometrical condi- ceramic surfaces decrease considerably with de- states in brazed components have also been an-
tions is of high importance in order to realize creasing thickness ratio. If hc /hs 0.5, com- alyzed. A characteristic example is the exami-
compounds optimized for practical applications. pressive surface residual stresses in the ceramic nation of joints of steel and cemented carbides
Characteristic Residual Stress Distribu- surfaces always exist. Because differences in similar to cutting tools (Ref 13, 14). The typical
tions in Brazed Components. Basic principles thermal expansion coefficients are smaller for geometry investigated is shown in Fig. 11. Ce-
of the development of brazing residual stresses SAE 1045/Zr02 compounds compared with SAE mented carbide tungsten-carbon containing 10
can be outlined with the aid of Fig. 7. It sche- 1045/Si3N4, amounts of brazing residual stresses wt% cobalt and 17.3 wt% titanium, tantalum,
matically shows a two-layer compound with lay- are also larger in the latter case. In most cases, and niobium was brazed into a slit of a steel
ers A and B and thermal expansion coefficients experimental residual stress determinations in block made of SAE 4140. Brazing was carried
thA thB (Ref 12). Starting from a stress-free brazed compounds are carried out by x-ray or out using copper as braze foil together with a
state, thermal stresses build up as soon as the mechanical methods. The results presented in nickel mesh in order to keep the thickness of the
solidified braze material leads to adhesion be- Fig. 9 confirm the calculations of Fig. 8. In this brazing gap constant during the brazing process.
tween the two layers, because of the differences case, x-ray measurements were carried out on the FE-calculations as well as experimental stress
between the thermal expansion coefficients. This outer surfaces of plates with the dimensions 20 analyses were carried out. Residual stresses near
is outlined on the right hand side of Fig. 7. In 20 mm2and the thicknesses indicated. the surfaces of the components are essentially
addition to a global bending of the compound, A considerable uncertainty of calculations ex- determined by local or global bending moments
local bending effects on the lateral surfaces also ists in the ignorance about plastic deformations due to different amounts of shrinkage during
can be detected. Consequently, a relatively com- in the brazed components during the cooling cooling and also influenced by the geometry of
plex residual stress distribution results. In this process, if thermal stresses exceed the tempera- the parts under investigation. One can see a
case and if similar thicknesses and elastic prop- ture-dependent yield strength. In a number of rather good agreement between measurement
erties of the layers are assumed, compressive cases, neutron stress analyses showed clear evi- and calculations. Such investigations are very
(tensile) residual stresses occur at the outer free dence of plastic deformations in brazed metallic helpful to assess strength or failure behavior of
surfaces of layer A (B). Near the joining face, components and also in the metallic part of ce- real components. Already during the brazing
residual stresses with opposite sign develop. ramic-metal joints (Ref 13). A typical example operation, thermal tensile stresses may produce
Consequences of important parameters on re- is presented in Fig 10. The diagram shows the cracks in brittle materials. In addition, location
sulting residual stress distributions and amounts distribution of residual stresses across the center of crack initiation as well as direction of crack
have been studied theoretically using analytical of a 19 19 mm2 brazed SAE 1045/WC-Co propagation under fatigue conditions is clearly
as well as FE models (Ref 12). In most cases, compound. In this case, a Cu-Mn-Co hard solder determined by existing residual stress fields (Ref
purely elastic behavior is assumed, which, how- was used. In the WC-Co cemented carbide, a 16).
ever, is not always justified. As an example, Fig. linear distribution of the residual stresses as a Summary. Brazing residual stresses play an
8 shows the influence of thickness ratio hc /hs (hc, function of the distance from the surface is ob- important role for the correct function of com-
thickness of ceramic; hs, thickness of steel) for served with a maximum tensile residual stress of ponents during service. Because of the different
compounds of steel Society of Automotive En- approximately 550 MPa immediately at the free thermal expansion coefficients and the tempera-
gineers (SAE) 1045 and Zr02 or Si3N4 ceramic. surface. Near the solder layer, compressive re- ture cycles involved during the brazing process,
The calculations are based on a three-layer plate sidual stress amounts of more than 600 MPa they are, in most cases, inevitable. Because of
with silver as braze material and the materials are found. In the steel plate, compressive resid- the number of influencing parameters, however,
properties listed in Table 1. The longitudinal re- ual stresses of about 250 MPa exist at the free strategies can be developed to avoid detrimental
sidual stresses, normalized to the temperature surface, which decrease linearly and change sign residual stress distributions, if the basic pro-
difference, DT, are plotted as a function of thick- at a distance of about 1.5 mm from the surface. cesses are well understood. In this context,
ness of the compound layers. The coefficient DT Near the solder layer, a layer of about 2 mm adapted geometries play an important role. Me-
is the temperature difference during cooling
Fig. 9 Examples of residual stresses determined in dif-

ferent brazed metal-ceramic compounds. Fig. 10 Depth distribution of residual stresses rxRS in the center of an SAE 1045/WC- Co compound determined by
Source: Ref 12 neutron diffraction. Source: Ref 13
Neutron diffraction Neutron diffraction

FE calculation FE calculation
(MPa)
(MPa)
a a
RS
RS
X
Y
RS RS
Y
X
y y
Cemented carbide
x x
z z
a b
Distance a, mm Distance a, mm 2a
a = 12.7 mm c
b = 5 mm
Neutron diffraction c = 2/3 a
FE calculation
Neutron diffraction
FE calculation a Steel
a
(MPa)
(MPa)
a a
RS
RS
X
Y
RS
X RS
y Y
y
x
x
z z
Distance a, mm Distance a, mm
Fig. 11 Calculated and measured residual stress distributions in a model tool geometry made of steel SAE 4140 and cemented carbide. Left, rRS
x component; right, ry component;
RS
above, residual stresses in steel; below, residual stresses in cemented carbide. Source: Ref 15
chanical as well as diffraction techniques for re- 6. H. Wohlfahrt, Consequences of Austenite the Residual Stress Distribution in Brazed
sidual stress analysis are available. Analytical Transformation for the Formation of Weld- Ceramic-Steel Compounds, Mater. Sci.
and FE-methods to predict brazing residual ing Residual Stresses, Harterei-Technische- Eng., A 177, 1994, p 5561
stress distributions and to assess the importance Mitteilungen, Vol 41 (No. 5), 1986, p 248 12. B. Scholtes, Recent Investigations on the
of individual process parameters are also well 257 (in German) Origin and Distributions of Residual
developed. 7. W. Zinn, Investigation of the Fatigue Be- Stresses in Ceramics and Metal-Ceramic
haviour of the Butt Welded Al-Alloys Compounds, Contraintes residuelles et nou-
AlMg3 and AlMg4.5Mn, velles technologies, CETIM, 1990, p 6171
REFERENCES Schweitechnische Forschungsberichte, 13. K. Bing, Residual Stresses and Distortion
Bd. 34, DVS-Verlag, 1990 (in German) of Different Metallic Materials Brazed with
1. E. Macherauch and H. Wohlfahrt, Origin of 8. T. Nietschke-Pagel and H. Wohlfahrt, The Steel SAE 1045, Ph.D. dissertation, Uni-
Welding Residual Stresses, Materialpru- Generation of Residual Stresses Due to versity Karlsruhe (TH), 1995 (in German)
fung, Vol 19, 1977, p 272280 (in German) Joining Processes, Residual StressesMea- 14. L. Pintschovius, B. Schreieck, and B. Ei-
2. H. Christian and F.-X. Elfinger, Residual surement, Calculation and Evaluation, V. genmann, Neutron, X-Ray, and Finite-Ele-
Stresses in Weld Seams, Der Maschinen- Hauk, H. Hougardy, and E. Macherauch, ment Stress Analysis on Brazed Compo-
schaden, Vol 51 (No. 3), 1978, p 124130 Ed., DGM Informationsgesellschaft Verlag, nents of Steel and Cemented Carbide,
(in German) 1991, p 121134 MAT-TEC 97, A. Lodini, Ed., ITT-Interna-
3. H. Wohlfahrt, Welding Residual Stresses, 9. T. Nietschke-Pagel, Residual Stresses and tional, Gournay sur Marne, 1997, p 307
Origin, Calculation, Assessment, Eigen- Fatigue Behaviour of Welded Fine-Grained 312
spannungen, E. Macherauch and V. Hauk, Steels, Ph.D. dissertation, University Kas- 15. K. Bing, B. Eigenmann, B. Scholtes, and E.
Ed., DGM-Verlag, Oberursel, 1983, p 85 sel, 1994 (in German) Macherauch, Brazing Residual Stresses in
116 (in German) 10. O.T. Janeu, D. Munz, B. Eigenmann, B. Components of Different Metallic Materi-
4. E. Macherauch and K.-H. Kloos, Origin, Scholtes, and E. Macherauch, Residual als, Mater. Sci. Eng., A 174, 1994, p 95
Measurement and Evaluation of Residual Stress State of Brazed Ceramic/Metal Com- 101
Stresses, Proc. Int. Conf. Residual Stresses pounds, Determined by Analytical Methods 16. B. Schreieck, B. Eigenmann, and D. Lohe,
in Science and Technology, Vol 1, Gar- and X-Ray Residual Stress Measurements, Residual Stresses and Failure of Brazed
misch-Partenkirchen, DGM-Verlag, Ober- J. Am. Ceram. Soc., Vol 73, 1990, p 1144 Joints of Cemented Carbide and Steel Simi-
ursel, 1986, p 326 1149 lar to Cutting Tools, in Joining Ceramics,
5. V. Hauk, Structural and Residual Stress 11. L. Pintschovius, N. Pyka, R. Kumaul, D. Glass and Metal, DVS-Berichte Band 184,
Analysis by Nondestructive Methods, Elsev- Munz, B. Eigenmann, and B. Scholtes, Ex- DVS-Verlag GmbH, Dusseldorf, 1997, p
ier, Amsterdam, 1997 perimental and Theoretical Investigation of 140144
Residual Stresses in Powder-Metal

Processing
P. Ramakrishnan, Indian Institute of Technology, Bombay, India
POWDER METALLURGY (P/M) is con- perature materials, and metal-matrix composites. formance parts that require advanced P/M pro-
cerned with producing metal and alloy powders The P/M process conserves energy and raw ma- cessing techniques, and those components in
and converting them to semifinished or finished terials, and minimizes machining and scrap which the P/M approach will lead to enhanced
parts for several consumer and industrial prod- losses, resulting in cost reductions. Thus, the mechanical properties and improved perfor-
ucts, including simple household appliances, process competes with traditional metalforming mance characteristics. Thus, in addition to the
computer disk drives, surgical implements, and processes such as casting, working, machining, widely used press-sinter method a variety of pro-
sophisticated components of satellites. Products rolling, forging, and so forth. Powder processing cessing techniques such as hot pressing, isostatic
of P/M include porous materials, self-lubricating involves a sequence of operations depending on compaction, powder rolling, powder extrusion,
bearings, filters, a variety of ferrous and nonfer- the end-product requirements as shown in Fig. powder preform forging, high-temperature sin-
rous structural parts, electrical contacts, tool 1. These include the traditional low-cost com- tering, hot isostatic pressing (HIP), injection
steels, cemented carbides, diamond tools, fric- ponents produced by the press-sinter technique,
molding, warm compaction, rapid prototyping,
tion materials, refractory-reactive and high-tem- another category of cost-effective and high-per-
and so forth, have been developed, and their use
is increasing in P/M processing. Powder metal-
lurgy has emerged as an advanced manufactur-
ing technology for the mass production of pre-
cision net-shape high-performance components
Metal powder production
for the automotive, general engineering, electri-
(Atomization, chemical, electrochemical, and mechanical processes) cal, electronic, and aerospace industries. Accord-
ing to the information released by the U.S. De-
Mixing
partment of Commerce, Bureau of the Census,
(additives and lubricants) the U.S. metal powder market in 1996 was of the
order of $1.9 billion and included iron, alumi-
num, copper, tungsten, molybdenum, titanium,
Warm compaction Compaction
tantalum, superalloys, precious metal, and other
nonferrous metal powders, paste, and flakes. The
Cold Hot North American P/M parts business is estimated
Die pressing Die pressing to be of the order of $2 billion, and is the largest
Isostatic pressing Isostatic pressing P/M market in the world, twice the size of Eu-
Rolling Rolling rope and Japan, each of which account for about
Slip casting Spraying $1 billion in sales of conventional P/M parts.
Injection molding Pressureless sintering During the 1998 Powder Metallurgy World Con-
gress and Exhibition in Granada, Spain, it was
reported that the metal powder shipments in-
Sintering creased almost 12% in 1997 to 440,843 metric
(Atmosphere, vacuum, high temperature)
tons. North American iron powder markets have
invested heavily in new capacity and new prod-
Solid phases Activated Liquid phase
ucts with iron powder production capacity ex-
ceeding 590,000 metric tons (Ref 1). Powder
metallurgy is reported to be a high-growth in-
Infiltration Rolling Finishing: dustry and a 21st century technology. It has a
significant impact on design viability and eco-
Repressing Extrusion Machining
nomics in key industries. In the aircraft industry,
Resintering Wire drawing Heat treatment the cost of a design using P/M components is
37% lower than a machined component. This has
Sizing Forging Rapid prototyping resulted in a market growth from a 0% share in
Fig. 1 General P/M process 1986 to nearly 50% in 1997. It has been reported
that new commercial jet aircraft engines made tion. One can expect the continuing influence of in 1998 in the United States. Powder metallurgy
by Pratt and Whitney and General Electric Com- the automotive industry on the fortunes of the high-speed steels are finding increasing usage for
pany contain a total weight of P/M superalloy P/M industry. According to the forecast of indus- cutting automotive gears, aerospace parts, tool-
extruded forging ranging from 680 to 1995 kg/ trial experts, the global car production will grow ing for injection molding, and P/M dies. The
engine (Ref 2). Powder metallurgy is the only from its 1994 level of 35 million units/yr to 40 world P/M tool steel market is of the order of
way to produce certain high-temperature alloys. million units/yr by the year 2005, thereby pro- 12,000 metric tons.
viding ample opportunities for P/M parts pro- Powder Metallurgy Parts Manufacturing.
duction (Ref 3). Furthermore, a typical 1998 The widely used press-sinter P/M steel parts
Powder-Metallurgy (P/M) American family vehicle contains 14.7 kg of P/M manufacturing process is shown in Fig. 2. Care-
Processing parts, about 5% increase over 1997. The forecast fully selected metal powders are mixed with suit-
indicated a family vehicle will contain 22.6 kg able additives and lubricants to get the desired
of P/M parts by the year 2000. Automotive ma- alloy composition, compacting the powder mix-
Ferrous P/M Parts jor growth areas for P/M include engine trans- ture in a shaped die under pressure at room tem-
mission, exhaust systems, and antilock brake perature so as to produce a green compact of
The use of high-performance sintered ferrous systems (ABS). Powder-forged connecting rod required density and strength. The compaction
materials has been increasing steadily in recent and steel bearing caps are recognized examples pressure will depend on the characteristics of the
years in the automotive sector because of the of reliability, innovation, and cost savings. The powder such as whether it is elemental or preal-
cost-effective manufacturing capability of P/M American automotive industry is seriously con- loyed, its particle size, shape, size and shape dis-
to produce products with improved structural sidering the use of P/M in pinions and pinion tribution, microstructure, phases present, chem-
and functional performance along with reliabil- carrier frames in automatic transmissions to im- istry, and residual stresses in the powder and the
ity. The commercial use of sintered iron bearings prove dimensional accuracy and reduce manu- size, shape, and green density of the compact.
as a less expensive substitute to the expensive facturing costs. The major material in the powder After the application of pressure through the
bronze bearings initiated by General Motors, blend would be steel, consuming about 81,700 punches, the compact has to be ejected from the
USA, during early 1930s. Germany developed metric tons, which represents about 24% of the die to produce the green compact. Carbon is usu-
sintered iron driving bands as a substitute to cop- total current shipments of iron and steel powder ally added as finely powdered graphite and 0.5
per during the mid-1930s. During World War II, annually for all applications in North America to 1% dry powdered lubricant such as wax, stea-
both Germany and the United States produced (Ref 4). It is expected that the pinion carrier ric acid, or metallic stearate to reduce the friction
limited quantities of large sintered iron bearings frame market will be an important new appli- during compaction. Green compacts are sintered
for machine components and war vehicles, cation for steel powder during the next decade. at elevated temperature below the melting point
thereby demonstrating the economic viability of The market for stainless steel products is in- of base metal in a sintering furnace with suitable
sintered ferrous products as a substitute for cast creasing because of the newer demand of ex- atmospheres. During sintering, the mechanical
and machined steel components. A major con- haust system flanges, sensor rings in ABS sys- bonds of the powder particles are converted to
sumer of P/M parts is the automotive market, metallurgical bonds, thereby leading to densifi-
tems, and so forth. The stainless steel powder
cation and improvement in mechanical proper-
accounting for about 70 to 80% of total produc- shipments are expected to grow more than 10%
ties. The dimensional changes during sintering
will depend on the composition of ferrous alloys
and the density of the green compact. Powder
metallurgy provides precise control of materials
Metal powders, additives, and lubricants and properties and permits wide variation in
physical and mechanical properties, at the same
time ensuring performance characteristics of
consistent uniformity. Practically any desired
metal, alloy, or mixture of metals, including
those combinations not available in wrought
form, can be processed through P/M.
Mixing A variety of controlled porosity products are
available, ranging from metal foams, filter, and
self-lubricating bearings to porous products to
diffuse the flow of gases or liquids. Powder met-
allurgy products permit quieter and smooth
Compacting operation by damping vibration and noise. An-
other advantage is the production of complex-
shaped parts and the capability to reduce the sub-
assemblies by a proper die design and tooling or
joining during sintering or infiltration. The ad-
ditional operations such as repressing and resin-
Sintering
tering and/or metal infiltration can provide an
increase in the density and mechanical properties
Infiltration of the P/M product. The physical properties of
the P/M steel part can be optimized by a post-
sintering heat treatment, which requires proper
Repressing selection of materials, heat treating parameters,
Sizing
and processing equipment. If necessary the parts
may be machined, heat treated, or densified by
infiltration, repressing, and resintering. Although
Resintering the P/M technology has been used to produce
net-shape products, occasionally some machin-
Finished part Finished part Finished part
ing operations such as tapping, threading, and
Fig. 2 Basic P/M process for steel parts transverse holes may be necessary. In such in-
stances, machinability of P/M parts can be im- selection of a particular method will depend on prealloyed powders, in which alloying elements
proved with appropriate treatments. Powder met- the desired characteristics and intended appli- are bonded by diffusion to iron powder particles
allurgy products may be subjected to mechanical cation of the powders and the economics of the in order to minimize powder segregation and
working as in the case of cast product or may be process. compositional variations in the individual sin-
directly processed from powders by rolling, ex- Iron and steel powders represent a major part tered components. Many ferrous alloy compo-
trusion, or forging with additional advantage. of the metal powders currently produced. sitions with copper, nickel, and molybdenum
Parts may be consolidated to full density by hot Among the steel powders, the stainless steel and have been developed (Ref 8, 9). The mixing of
pressing or by HIP as in the case of alloy steel tool steel powders share is relatively low, of the powders is influenced by the powder character-
powders. Other relatively more recent consoli- order of 5%; however, one can expect a high istics such as particle size, shape, size and shape
dation techniques include high-temperature sin- growth rate on account of their increasing usage. distribution, and composition. Often in the dif-
tering, warm compaction, and metal-injection Although a large number of methods are avail- fusion-alloyed powder, diffusion of alloying ele-
molding (MIM) and rapid prototyping. able for the production of iron powders, the re- ments during sintering is incomplete, leading to
duction of iron oxide and atomization of molten heterogeneous microstructures in the product.
Powder Characteristics metal dominated the market by virtue of their The mixed powders have some drawbacks such
The basic raw material for P/M processing is inherent technical and economic development as demixing, poor flow and die fill, dusting of
the metal powder, and successful processing will potential. The major difference in the two pow- fine particles, and relatively lower green strength
depend on the characteristics of the powders. A der production processes lies in the development after compaction. These problems have been
knowledge of the characterization of powders is of the crude powders (Ref 7). In the sponge iron solved by utilizing a new concept in which a
fundamentally important in many critical stages process, crude powder is porous and irregular, binder acts as a glue to bond the smaller particle
of the processes such as mixing, compaction, while in the atomizing process the particles are size alloying elements to the larger iron-base
sintering, and postsintering operations that will denser and more regular. The raw material iron particles (Ref 1012). Different alloying meth-
govern the final structure and properties of the ore or mill scale is reduced in one or two steps. ods for ferrous powders are shown schematically
products. However, the characterization of pow- The single-step reduction process consists of rein Fig. 3. Thus, the alloying method of ferrous
ders presents many challenges because of the duction of oxides by hydrogen in a belt furnace materials significantly influences the distribution
complexity of properties and the large number or in a fluidized bed, while in the two-step proof alloying elements, compressibility, and the
of variables involved (Ref 5, 6). Even for a single cesssuch as Hoganasthe iron ore or mill nature of porosity and microstructure of the sin-
particle, one can distinguish between the char- scale is first reduced to an intermediate product tered product.
acteristics of the material and the characteristics known as sponge iron in tunnel kilns. The Molybdenum and nickel are commonly used
introduced by the manufacturing method. The sponge is crushed and ground, and the powders in low-alloy P/M steel powders for increasing
material characteristics include chemical com- further reduced and annealed to the final iron the strength, hardenability, toughness, and fa-
position, theoretical density, melting point, and powder. tigue resistance. The oxides of these elements
structure. The characteristics introduced by the In the atomization process, a high-carbon (4% could be reduced during the annealing treatment
manufacturing method include particle size, C) iron is air atomized and annealed for decar- of the water-atomized powders. However, these
shape, microstructure, density, reactivity, and burizing the particle core and reduction of the alloying elements are more expensive, and ef-
surface conditions. Since the powders generally particle surface oxide. Another method consists forts are being made to replace them with less
consist of a large number of particles with vary- of shotting or atomizing high-purity pig iron into expensive manganese and chromium. In P/M
ing characteristics, it is essential to distinguish rather coarse particles, which after ball milling steels, these elements are generally maintained
the characteristics of a mass of powder, includ- are treated in a reduction annealing process to below 0.3% because of the difficulty in reducing
ing size and shape distribution, surface area, ap- remove carbon and oxygen, as in the case of the oxides during annealing (Ref 13). However,
parent density, tap density; flow and friction con- Quebec metal powder process. In the Domfer this problem can be solved by mixing the base
ditions of the powders; size, shape, and process, the shots are ball milled and mixed with iron or prealloyed powders with higher-carbon
distribution of porosity and microstructure fine mill scale and then annealed to make iron ferrochrome and ferromanganese and sintering at
within the powders; and internal stresses and powder. Direct-water atomizing a molten steel 1250 C for the reduction of chromium or man-
compressibility. Thus, there are large number of to the desired particle size distribution and then ganese oxides. Sintered parts containing chro-
variables and properties, and the general char- annealing was subsequently adopted by the lead- mium and manganese have a tendency to pro-
acteristics of the powders depend on the manu- ing manufacturers throughout the world. For P/M duce larger dimensional changes, and the same
facturing method and treatment of the powders. structural parts, iron powder or alloyed iron have been overcome with the addition of nickel
Powder Production. Important methods for powder is mixed with copper, graphite, nickel, (Ref 14). Oxygen pickup of manganese- and
the production of powders can be classified into other elemental additives and a lubricant before chromium-containing steels can be reduced by
(1) atomization of molten metal, (2) chemical compaction. Recent advances are in the devel- using oil as the atomizing medium instead of wa-
reactions, (3) electrochemical methods, and (4) opment of highly compressible powders, alloy- ter. Further oil atomization can be used for car-
mechanical processing of solid materials. Sev- ing methods, and mixing technology of the con- bon-containing (6% C) rapidly quenched pow-
eral techniques are available in each category; stituents. der with low oxygen content (Ref 15). Iron
for example, the atomization of molten metal can To improve the homogeneity of steel powders, powder as well as high-alloy steel powders are
be achieved by liquids such as water, oil, differ- prealloyed powders have been developed by produced with an oxygen content lower than 100
ent gases, vacuum, ultrasonic, and centrifugal melting alloying elements with iron and then at- ppm (0.01%) by oil atomization (Ref 16).
methods. Chemical methods are reduction of omizing the melt. These powders have similar The P/M stainless steel sector is an important
metal oxides and other compounds with carbon chemical characteristics but a reduced compress- and growing part of industry because of their
or other gases, decomposition of metal hydrides ibility, and this reduction in compressibility is oxidation and corrosion resistance and good
and carbonyls, condensation of metal vapors, proportional to the type and amount of alloying physical and mechanical properties. Powders are
and precipitation of metals from salt solutions. elements. However, the loss in compressibility produced by water atomization with irregular
Electrolytic deposition can be from aqueous so- can be made up by techniques such as repeating characteristics, while gas atomization using ni-
lutions or fused salts. Various types of milling the basic compaction and sintering stages or by trogen or argon will provide spherical shape.
and machining methods are used in the mechan- hot pressing, HIP, or by powder forging. The Considerable progress has been made in the at-
ical processes. In addition, a variety of tech- compressibility of prealloyed steel powders omization techniques including real-time visu-
niques are used to produce ultrafine and nano- could be improved with a small addition of mo- alization (Ref 17, 18). Commercial grades in-
powders with special characteristics. The lybdenum. Another development is the partially clude AISI 410, 440C, 446, 304L, 304, 347,
316L, 316, and 317. Tool steel powders are also bility and the formation of metastable or glassy strate of 10 lm to submicron thickness have a
produced by either water atomization, or gas at- alloys. In principle, the latter case represents solidification rate of the order of 106 to 1010 K/
omization with argon or nitrogen. These pow- zero segregation since the liquid state is pre- s (Ref 19). A variety of centrifugal atomizing
ders have uniform composition and fine micro- served to room temperature with minor changes processes have been developed to produce pow-
structure, resulting in excellent hardness with in the atomic rearrangement. The dendrite arm ders of finer particle size. Gas dissolution in
less distortion during heat treatment. The P/M spacing as a function of solidification rate for metal melt and gas atomization have been de-
approach also enables production of newer tool metals is shown schematically in Fig. 4. Ingots veloped to produce steel powders of less than 20
steels with higher alloy content but without the and large castings have a solidification rate of 10 lm in size (Ref 20). The growing interest in
segregation of alloying elements. to 103 K/s; subsonic gas atomization induces MIM has increased the demand for finer iron and
Rapid solidification is another possibility in solidification at about 10 to 102 K/s, water at- steel powders. Iron micropowders produced by
the case of atomization of molten steels. This omization at 102 to 104 K/s, and ultrasonic gas decomposition of carbonyl iron process have
will reduce the micro- and macrosegregation atomization at about 103 to 105 K/s. Metallic spherical particle shape, fine particle size, and
continuously with increasing solidification rate. substrates of 20 lm have a solidification rate of average size in the range of 4 lm or lower with
Other advantages include increased solid solu- about 104 to 106 K/s, while finer metallic sub- good sinterability (Ref 21). Improvements in the
commercial atomization process has enabled
production of steel powders with mean particle
size in the range of 4 lm for MIM (Ref 22).
Extremely fine iron powders of the order of 50
A have been prepared by the evaporation and
Fe Fe
Fe Fe
condensation method (Ref 23).
Although mechanical processing is generally
used for the production of powders of hard and
brittle materials, the milling process is com-
Fe Fe monly used as a secondary operation in the pro-
Fe Fe duction of iron powders from spongy cakes of
oxide-reduced, sintered, or agglomerated, at-
(a) (b) omized, and electrolytic powders. Milling is also
used for producing powders from cast iron scrap,
cryogenic milling, or hydrogen embrittlement of
steel swarf (Ref 24, 25). Different types of ham-
Fe
mer, disk, rod, ball, vibratory, and fluid-energy
Fe
mills are used for this purpose. For making finer
powders or solid-state alloying, high-energy
mills such as attrition, vibratory, or large-diam-
Fe eter tumbler mills are used. There is an increas-
Fe ing use of high-energy mills for producing alloy
and composite powders having unique micro-
(c) (d) structures through mechanical alloying. The
technique is used as another nonequilibrium pro-
Fig. 3 Schematic distribution of alloying elements in different alloying methods. (a) Admixed. (b) Partially alloyed. (c) cessing such as rapid solidification for reproduc-
Binder bonded. (d) Prealloyed ing a wide variety of materials such as solid so-
lutions, intermetallics, amorphous, and
nanocrystalline materials (Ref 26). Hard steel
materials have been fabricated with matrix of
103 chromium carbide by mechanically alloyed pow-
ders containing 30 to 50% Cr and 2.3 to 4.8% C
Casting
with better wear resistance than Stellite (Ref 27).
100 Mixing and Blending of Powders. Iron and
steel powders of the required characteristics are
Gas atomization
Dendrite arm spacing, m
to be produced by blending different size frac-

Water atomization tions of the metal powders to obtain the desired
10 apparent density and flow of the powders for die
Ultrasonic/centrifugal
atomization filling. Powders of different constituents are to
be added to produce the desired alloys during
Gun splat
sintering. Lubricants are to be added to assist
1
compaction, reduce wear, and increase the die
life. Depending on the mixing devicesuch as
rotating drum, double cone or twin shell, screw
0.1 mixer, or a blade mixerthe mechanisms of
mixing may be predominantly diffusion, con-
vection, or shear. Double-cone and twin-shell
mixers, with or without internal intensifier
0.01
103 101 10 103 105 107 109 1011
blades, are used for dry mixing of iron and steel
powders. In forming processes such as injection
Cooling rate, K/s
molding (Ref 28), powder-binder feedstock have
Cooling rates and secondary dendrite arm spacing of metal powders/substrates for different atomization tech- to be prepared with uniform distribution of
Fig. 4 binder and ferrous powder particles throughout
niques
the feedstock. The binders may be thermoplastic properties are related to the level and uniformity Class III: components have two levels and are
mixtures of polymers, waxes, oils, lubricants, of the as-pressed density known as green den- termed external- and internal-flanged com-
and surfactants. Thermoplastic binders are sity. Compaction cycle for a single-level part is ponents and require double-action compac-
mixed at intermediate temperatures where shear shown in Fig. 5. A desired amount of mixed iron tion.
is dominant by using screw or plunger extruders powders is automatically gravity fed into the die Class IV: components have three or more lev-
or sigma blade mixers. The powder binder mixes along with core rod to produce a hollow shape els.
and subsequently granulates before injection from the hopper through a feeder shoe and com-
molding. For injection molding, fine steel pow- pacted with the help of upper and lower punches These are multilevel parts of different thickness
ders in the micron-size range are used to produce at a pressure, depending on the density require- and contour, and they have to be pressed with
intricate shape and improved sinterability with ments of the part. The upper punch is withdrawn, multiple forces from two directions. A variety of
the binder in the range of about 40 vol%, de- the lower punch ejects the pressed compact, and compacting presses are available with wide-
pending on the packing characteristic of the the feeder shoe slides the part away from the die ranging pressing capacities and production rate
powders. cavity. The cycle is automatically repeated by capabilities. Compacting presses are mechani-
charging, powder filling of the die. Compaction cally or hydraulically driven, but can incorporate
cycle can be classified as single, double, or mul- a combination of mechanically, hydraulically, or
Compaction in Rigid Dies tiple action depending on the complexity of the pneumatically driven systems.
part to be produced. Movement of only the upper The tool design should take into consideration
Unidirectional compaction is the most widely punch is usually termed single action, while rela- the nonuniform transmission of pressure to the
used manufacturing method for structural steel tive motion of two memberseither both mass of powder in the die, limited lateral flow,
components. Powder pressing is carried out in punches with stationary die or upper punch and as well as the ejection of the compacted part
rigid steel or carbide dies under pressures of the die with lower punch stationaryis termed dou- from the die in the direction of pressing. The
order of 150 to 900 MPa. Lower pressures are ble action. Multiple action utilizes several tool density within the green compact decreases with
used for porous ferrous bearings, and the pres- members arranged in order to support each level increasing length of the compact since the pow-
sure gradually increases with increasing density of the component separately. Depending on the ders do not behave like liquids under pressure
such as low-density, medium-density, and high- complexity, P/M components can be classified and the applied pressure is not uniformly trans-
density products with less than 10% porosity. into one of the four classes (Ref 29): mitted. Double-action compaction can improve
The compacts maintain shape by cold welding Class I: components are single level with sin- the pressure distribution, but generates a lower-
and interlocking of powder grains within the gle shape and low length-to-diameter ratio density region in the middle of the compact.
mass. The green compacts must be sufficiently that will allow single-action compaction. Therefore, length-to-diameter ratios exceeding 3
strong to withstand ejection from the die and Class II: compounds are single level with to 1 are not generally recommended. Normally
subsequent handling and transport to the sinter- higher length-to-diameter ratio and require reentrant grooves, reverse tapers, and lateral
ing furnace. The final shape and mechanical double action. holes are difficult to incorporate in the compact
because of the difficulty of ejection and, thus,
machining. Efforts have been made to overcome
this limitation by designing flexible die assem-
Upper punch blies. Bevels requiring feather-edged tools that
are fragile should be modified to a small flat end.
Parts with abrupt changes in section should be
Powder avoided as they introduce stress raisers that may
from lead to crack formation as a result of the stresses
hopper induced by the elastic expansion or springback
during ejection of the part from the die. The size
Die
of production rate of the part will depend on the
press capacity, complexity of the part, and the
number of punch motions required during com-
paction.
Core Lower The double-action tooling system is used to
rod punch produce class I and II parts. Force is applied to
the top and bottom of a part simultaneously. In
Cycle start Charging-powder Compaction begins
die filling this case, the die is stationary and the punches
have the same travel rate. The floating-die tool-
ing system can also give a similar effect in which
Green the die is mounted on a spring or a yielding
compact mechanism using hydraulic or pneumatic cylin-
ders for an adjustable resisting force. When the
upper punch enters the die and starts to compact
the powder, friction between the powder and die
wall causes the die to move down, which will
have the same effect as an upward movement of
the lower punch. When the compaction is com-
plete, the die moves upward to its powder fill
position, and the lower punch ejects the part
from the die. Multiple-motion die-set process
can produce complex P/M parts using floating
Compaction Ejection Recharging die die and withdrawal tooling methods. For very
completed of part high production rates of simple parts of the order
Fig. 5 Compaction cycle for a single-level part of 60,000 to more than 100,000 pieces/h, me-
chanically driven rotary presses or anvil presses trolled atmosphere so as to produce sintered or quenched; the process chosen will govern the
are used. parts with the desired microstructure and me- mechanical properties of the final product.
chanical properties. Sometimes loose powders Sintering Furnaces and Atmospheres. Dif-
are also sintered to consolidate them for certain ferent types of continuous production furnaces
Isostatic Compaction applications, such as porous filters and elec- are used for sintering. These include the mesh
trodes or for model experiments to study sinter- belt conveyer furnace, the pusher furnace, roller
Some of the constraints of rigid-die compac- hearth furnace, and walking-beam furnace. In
ing. Sintering is a key operation for the devel-
tion such as long thin-wall cylinders and parts addition, different batch-type furnaces and
opment of sintered ferrous alloy components
with undercuts, and so forth, can be overcome vacuum furnaces are also used. The longitudinal
intended for structural applications. It is a ther-
by isostatic compaction. In cold isostatic press- section of a muffle-type continuous production
mal treatment of the powder or a compact at a
ing, water or oil is used as the pressure medium. furnace is shown in Fig. 6. The first section of
temperature below the melting point of the main
The powder is contained in a flexible mold such the furnace is the preheat or delubrication/burn-
constituent to increase its strength by bonding
as polyurethane and is compacted with the same off zone, into which, after loading, the green
the particles together. A variety of physical,
pressure in all directions through the fluid pres- parts enter and the compacting lubricant is re-
chemical, and metallurgical transformations oc-
surizing medium (Ref 30). Pressure ranging moved from the green P/M compact. Next is the
cur during sintering, and these are influenced by
from 200 to 400 MPa or more of the order of sintering zone, in which the parts are sintered at
sintering conditions such as temperature, time,
800 MPa can be used. When the elastomeric a specific temperature and time in a suitable at-
atmosphere, and cooling rate as well by the
mold along with the powder can be removed mosphere. This is followed by a short, slow-
chemical composition of the powder mass. Dur-
from the pressure vessel, the technique is known cooling zone to reduce the thermal shock and
ing sintering, atomic diffusion takes place, and
as wet bag tooling, while the technique in which develop the microstructure and a final cooling
the neck formed among the powder particles as
the elastomeric mold is fixed to the pressure ves- zone with water cooling and a protective atmo-
a result of bonding will grow, leading to im-
sel is known as dry bag tooling. Since the pres- sphere to a sufficiently low temperature so that
provement in mechanical properties. In the case
sure is applied isostatically over the entire sur- oxidation does not occur when the sintered parts
of atomized prealloyed powder particle, the mi-
face of the part, more uniform density is are unloaded.
crosegregation within the powder particle, if any,
achieved through the entire part than in the case In a continuous mesh belt conveyor furnace
will be eliminated. The reaction between the sin-
of rigid die pressing. Isostatic pressing is used sintering is carried out at 1120 C. The function
tering atmosphere and the surface oxides or ad-
in the manufacture of 30 cm cylinder liners (Ref of the sintering atmosphere is to control the
sorbed gases on the powder particles will clean
31), P/M tool steels, stainless steels, and alloy chemical reactions between the ferrous materials
the surface, thereby promoting the diffusion pro-
steels. Other compaction processes include tri- being processed and the furnace surroundings.
cess. When the alloying additions are in the form An atmosphere may be used as source for one or
axial compression by simultaneous isostatic and
of elemental powders, the diffusion process will more chemical elements as in the case of addi-
uniaxial compression, high-energy-rate compac-
lead to the beginning of alloying. As the sinter- tion of carbon to iron in a carburizing furnace
tion, explosive forming, slip casting, and vibra-
ing proceeds, recrystallization and grain growth atmosphere. The atmosphere may also prevent
tion compaction (Ref 32, 33). Compaction in
may follow, the pores tend to become rounded, loss of alloying elements present in the materi-
rigid dies at very high pressures of the order of
and the total porosity decreases, resulting in den- als, or the atmosphere may be used to remove
3 GPa have also been carried out using T15 high-
sification. Depending on the constituents and na- the decomposition products of the lubricants
speed steel dies and punches. These steels are
ture of initial powder mass, the lower-melting- from the furnace, thereby preventing their dep-
manufactured by HIP of inert-gas-atomized
point constituents melt with the formation of osition in the furnace interiors. In the case of iron
powders with a composition weight percentage
liquid phase, or the liquid phase may be eutectic and steel components, the atmosphere will aid
of 12 W, 5 V, 5 Cr, 5 Co, and 1.6 C. The process
or transient, which will facilitate rearrangement the reduction of the oxides on the surface of the
known as cold sintering (Ref 34) or high-pres-
and diffusion resulting in faster pore elimination metal particles in the compact and control the
sure consolidation at ambient temperature has
and densification. Alloying additions such as carburization and decarburization. The oxidation
been used for processing T15 high-speed steel
copper and phosphorus in iron will result in the and decarburization are caused when oxygen,
and 410L stainless steel with improved proper-
formation of liquid phase during sintering at a water vapor, and carbon dioxide are present in
ties. Full-density fine iron nickel powder com-
lower temperature than those of silicon, iron, or improper proportions with respect to the hydro-
posites with 80 vol% VC and Cr3C2 have been
tool steels. As the sintering continues with in- gen and carbon monoxide content in the sinter-
successfully consolidated by cold sintering.
creasing temperature, there is likely to be more ing atmosphere. Iron oxides are reduced by hy-
densification and more homogeneous alloying. drogen, carbon, and carbon monoxide, while
Sintering After sintering, the sintered mass is cooled to carburization is caused by hydrocarbons such as
room temperature. Depending on the composi- methane or by carbon monoxide.
Green ferrous parts produced by compaction tion of ferrous alloys and cooling rate, the re- Typical atmosphere compositions, atmo-
are sintered at elevated temperatures in a consultant structure may be annealed, normalized, sphere functions, and corresponding tempera-
Slow cooling Hanging Hanging

zone curtains curtains
Loading Preheat, lubricant Sintering zone Cooling Final cooling Unloading

green parts burn-off zone zone zone sintered parts
Fig. 6 Schematic presentation of a continuous mesh-belt sintering furnace

tures for sintering steel are shown in Fig. 7. The give high strength due to the combined effect of such as nickel molybdenum, copper, and so
most frequently used sintering atmospheres are copper causing precipitation strengthening and forth through enhanced diffusion at higher
endothermic gas, exothermic gas, dissociated increasing hardenability of steel, but they lack temperatures; the increase in diffusion rate
ammonia hydrogen, and vacuum. The composi- toughness. Sintering of alloy steel will depend also results in better densification and spher-
tion of principal furnace atmosphere constitu- on the type of alloying such as elemental, preal- oidization of porosity
ents, such as conventional and synthetic nitro- loyed, diffusion alloyed, or a hybrid mix. Mixing The formation of liquid phase at higher tem-
gen-base atmospheres, along with the chemical elemental powders provides high compressibil- peratures further helps in the densification of
requirements, such as the ratios of various at- ity, but for homogenization and uniform com- the product.
mospheric constituents for different furnace position good diffusion rates must be maintained
operationsfor example, reduction of surface during alloying. During sintering, partially al- However to take full benefits of high-tempera-
oxides, carburization, decarburization, and burn- loyed steels containing nickel, molybdenum, and ture sintering, the critical processing steps must
ing lubricant vaporsare given in Tables 1 and 2. copper will form numerous nickel-rich areas of be identified and controlled (Ref 36, 37). These
Now consider sintering a green compact made austenite, sometimes surrounded by high-carbon include the variations in sintering parameters
out of elemental powders of iron, copper, graph- martensite because of the slow diffusion of such as time, temperature, and atmosphere, as
ite, and lubricant. The product should be free nickel and faster diffusion of copper and molyb- well as their influence on the sintered product.
from soot and the admixed graphite should be denum. High-temperature sintering has been used as a
uniformly diffused into iron particles as com- High-Temperature Sintering. High-tem- means of reducing the oxygen content in powder
bined carbon, resulting in an optimal pearlitic perature sintering is currently used to sinter at preform forging, although the process was not
microstructure during cooling with minimum temperatures above 1120 C, which is difficult adopted for the production of sintered steel until
carbon loss. After melting, copper should be uni- to handle in the conventional belt furnaces. De- 1970. This is mainly due to the lack of devel-
formly distributed over all particle surfaces in pending on the alloy system and processing con- opment in high-temperature sintering furnaces,
the part. Good bonding between the particles and ditions, typical temperatures for high-tempera- higher cost of production for making compo-
relatively rounded pores are required for structure sintering of ferrous alloys are in the range nents in batch-type high-temperature sintering
tural integrity. At least five stages are required of 1180 to 1350 C. The advantages of high- furnaces, and inadequate knowledge on high-
to complete the sintering process, which will oc- temperature sintering include: temperature sintering of ferrous alloys. Subse-
cur in five different zones of the furnace, out- quently, interest in high-temperature sintering
lined in Fig. 7 and summarized in Table 2. The use of reactive elements such as man- revived with improvements in furnace technol-
While sintering iron graphite powder, the tem- ganese, chromium, silicon, and so forth, ogy for processing full-density tool steels and
perature has a profound effect on the amount of which would otherwise oxidize at conven- specific ferrous alloys with improved properties.
combined carbon formed for a given sintering tional sintering temperatures Stainless Steels. Corrosion resistance of pow-
time. Furthermore, the cooling rate after sinter- Possibility of extending the sintering tech-
der metallurgy stainless steels is inferior to that
ing also influences the strength and hardness. niques to new alloy systems and materials of the wrought alloys of the same composition,
Sintering of iron-copper involves bonding of structures that are not possible at lower sin- and so there is a need to investigate and improve
iron to iron, iron to copper, melting of copper, tering temperatures, such as full-density tool the properties of these sintered products. High-
solution and diffusion of copper in solid iron, steels, stainless steel with improved corrosion temperature sintering in appropriate atmospheres
and solution and precipitation of iron in liquid resistance, and metal-matrix composites with controlled cooling rate can produce sintered
copper. Iron-copper-carbon sintered products Improve the distribution of alloying elements
stainless steels with higher density and mechan-
ical properties and improved corrosion resis-
tance. Studies of stainless steel indicate that
higher sintering temperature of 1350 C reduces
425625 C 625 1040 1120815 C 815 C the deleterious interstitial elements and increases
1040 C 1120 C to ambient sintered density, strength, and corrosion resis-
tance. Nitrogen in the sintering atmosphere pro-
vides alloy strengthening; however, nitrogen
control is important for corrosion resistance.
Rapid cooling from the sintering temperature of
Preheating Slow cooling the order of 200 C/min or faster is required to
zone zone
prevent the absorption of excess nitrogen with
Unloading the formation of Cr2N. The formation of chro-
Loading green Delubrication Hot zone Water cooling sintered
compacts zone zone products
mium oxide or nitride reduces the corrosion re-
sistance. It has also been reported that the poor
corrosion resistance of 316 stainless part with
Atmosphere Convey heat Reduce Copper Carbon Cooling
functions quickly and surface melting control
5100 ppm nitrogen, 3000 ppm oxygen, and
uniformly oxides coating, or 0.12% C can be improved by sintering in 75H/
infiltrating 25N atmosphere for 30 min at 1205 C followed
by fast cooling. The oxygen content is found to
Burn and Carbon Bonding Cooling Prevent oxidation
sweep out diffusion rate or controlled be 3000 ppm, while nitrogen content reduced to
Carbon 2100 ppm and carbon to 0.07%. Excessive car-
lubricants to control light oxidation
control
front exit bon is generally caused by residual lubricant,
Atmosphere Lightly Highly Reducing Reducing Slightly reducing
while high oxygen content is due to the high
composition oxidizing reducing or neutral or dewpoint of the atmosphere. Low dewpoint gas
slightly oxidizing atmosphere of 40 C or vacuum sintering is
Neutral Neutral to Neutral to required for optimal corrosion properties. Pre-
to carbon carbon carbon cipitates of chromium nitride or carbide will not
preferred preferred
only reduce the amount of chromium available
Fig. 7 Schematic of typical furnace condition for sintering steel to form a protective oxide film, but will also
change the chemical potential of the matrix de- amounts of the eutectic by the diffusion of iron MC and M6C carbides in this process are finer,
pleted of chromium from the remaining material (Ref 40). The shrinkage and the sintered density of the order of 1 to 2 lm. However, these billets
to form a protective oxide film and results in a is a function of boron content and is strongly require extensive finish machining to produce
galvanic couple, thereby accelerating intergran- affected by the carbon content. In the iron-silicon the end products. The water-atomized powders
ular corrosion. Sintering studies based on rela- system, sintering is promoted by a transitory liq- are irregular and can be die pressed or cold iso-
tive contribution diagrams of 316L stainless uid phase that disappears at higher temperatures. statically pressed to green compacts of 70 to
steel filters have shown that corrosion resistance However, the sintering is activated by the pres- 75% density followed by vacuum sintering at
will depend on the average pore size (Ref 38). ence of silicon, which stabilizes the ferrite phase about 1240 to 1330 C to full density. This
Filters produced by sintering at higher tempera- where diffusion is higher. Other ferrite promot- method can produce near-net-shape components,
ture are found to have better corrosion behavior ers such as tungsten and molybdenum improve but the use of higher sintering temperatures re-
in NaCl, although they had the same extent of the density. However, the ferrite formation does sults in coarser carbides of the order of 2 to 15
sintering as measured by the final porosity. The not allow heat treatment, but hardening can be lm. Hot isostatically processed components are
improved corrosion resistance is attributed to the achieved by the formation of molybdenum and more expensive, but will have superior proper-
healing of fine pores, which are detrimental. Im- tungsten carbides. ties and performance as dies and cutting tools
proved corrosion resistance with increased sin- Tool Steels. Many of the problems related to particularly for complex broaches and gear hobs.
tering temperature of some stainless steels is re- the conventional cast and wrought high-speed The general application of P/M tool steels can
ported in Fig. 8 (Ref 39). steels can be overcome by adopting P/M meth- be classified as: high-speed cutting and machin-
Liquid-phase formation as a result of high- ods. In this approach, powders of the required ing operations, cold working, processing and
temperature sintering will lead to more complete composition are produced by gas or water at- molding of engineering plastic, hot (warm)
alloying, improved densification, and even atomization of the molten metal. The gas-atomized working, die casting, and precision wear parts.
tainment of full density. Theoretical density can powders are spherical and are densified by can- The selection of a particular P/M tool steel for
be achieved in the Fe-0.5B-0.6C, wt% at 1300 ning followed by HIP or hot extrusion in the a given application depends on a number of fac-
C, because of the formation of increasing solid state at about 1100 to 1150 C. The primary tors such as the service life required, the oper-
Table 1 Composition of principal furnace atmosphere constituents

Key ratios(a)
Air-to- Dewpoint Nominal composition, vol % Carbon Hydrogen
AGA natural Hydrogen monoxide to to carbon
Atmosphere class gas ratio C F Nitrogen Hydrogen Water Carbon monoxide Carbon dioxide Methane to water carbon dioxide monoxide
Lean exothermic 101 9.0 20(a) 68(b) 84.7 1.2 2.5 1.4 10.2 0.5 0.1 0.9
Rich exothermic 102 6.0 20(a) 68(b) 69.8 12.2 2.5 10.2 4.9 0.4 4.9 2.1 1.2
Endothermic 302 2.5 5 40 38.2 40.4 0.8 19.8 0.3 0.5 51 66 2.0
Associated methanol 15.5 60 65.6 1.7 32.4 0.4 39 81 2.0
Associated ammonia 601 50 60 25.0 75.0 0.004 19,000
Hydrogen 60 80 100 0.001 100,000
Nitrogen 60 80 100 0.001
Note: For nitrogen-base atmospheres, composition, dewpoint, and key ratios can be synthesized over a broad range, depending on which of the above generated atmospheres is blended with the high-purity nitrogen gas. (a)
Control carburization or decarburization, oxidation or reduction, or combination of these. (b) Dewpoint is 6 C (10 F) above temperature of cooling water; dewpoint may be reduced to 5 C (40 F) by refrigeration or to 45
C (50 F) by absorbent tower dehydration. Hydrogen-to-water changes accordingly. Source: Ref 35
Table 2 Furnace zones, sintering phases, and atmosphere requirements to sinter an iron, 2% copper, 1% graphite, and 1% lubricant part
Atmosphere composition (a), %
Temperature
Furnace Time, Sintering Sintering Atmosphere Hydrogen
zone C F min phase subphases requirement (b) Methane Water Flow Circulation
1 delube 425650 8001200 1030 Delubing Lubricant vaporizing, Fast, uniform heat 27 00.1 0.51.5 High toward Highly
vapor burning, transfer, slightly entrance desirable
flushing vapors to oxidizing
entrance
2 preheat 6501070 12001960 515 Elimination Oxide reducing, Highly reducing to 515 0.10.3 0.010.03 High toward Desirable
of particle graphite diffusing, surface oxides, neutral entrance
surface copper melting, and to carbon fast, uniform
oxides coating particle heat transfer
surfaces
3 high 10701150 19602100 1030 Particle Copper diffusing, neck Neutral to carbon 38 0.20.5 0.010.02 Medium Desirable
temperature bonding (bond) growing, reducing toward
pore rounding entrance
4 slow cool 1150815 21001500 515 Carbon Carbon transferring, Uniform slow cooling, 27 0.31.0 0.010.02 Medium Highly
restoring homogenizing slightly carburizing toward desirable
entrance
5 cool down 81550 1500120 3090 Cooling Pearlite forming, part Slightly reducing or 02 00.1 0.010.02 Low to Highly
down, cooling down, neutral (optionally medium desirable
optionally preventing oxidation oxidizing) to iron, partially
oxidizing or controlling light uniform fast cooling toward
oxidation exit
(a) Balance is essentially nitrogen with or without small amounts of carbon monoxide and carbon dioxide. (b) Hydrogen can be derived from hydrogen storage vessel, dissociated ammonia, endothermic gas, or dissociated
methanol. (c) If slightly oxidizing atmosphere is required, water is relatively higher or a small amount of air is introduced along with nitrogen in water-cooled section at a selected location. Source: Ref 35
ating conditions anticipated, compatibility with ing temperature is raised to solidus, a certain clusion in the steel by improved refining. In a
coating operations, materials availability, and amount of the carbides will dissolve, thereby re- high-alloy high-speed steel such as ASP 30
cost. Some of the P/M high-speed steel com- ducing the interference from the carbide disper- (8.5Co, 6.4W, 5Mo, 4.2Cr, 3.1V, 1.28C), inclu-
positions are reported in Table 3 (Ref 41). sion, leading to grain growth and densification. sion control is achieved by employing a totally
Processing of P/M tool steels requires con- The required structure with small austenite closed system, from atomizing molten-metal
trolled high-temperature sintering for obtaining grains and finely dispersed carbides can be pro- tundish to encapsulation of the powders, in order
full-density products with controlled microstruc- duced only by getting the correct amount of liq- to prevent the dust contamination and by the ox-
ture. The temperature range available for sinter- uid phase and by controlling the temperature and ygen inclusion refining to an active slag treat-
ing to full density is extremely narrowof the time of sintering. High-speed tool steel T15 has ment by the electroslag heating (ESH) tundish
order of 3 to 5 Cnecessitating uniform tem- a wider sintering temperature range than M2 process. These improvements in the P/M pro-
perature distribution in the furnace (Ref 42). Ac- steel because of the differences in the chemical cessing of high-speed steels have resulted in in-
tual sintering temperature will depend on the composition and carbides predominantly M6C in creasing the mechanical properties. Substantial
chemical composition, but may be between 1180 the case of M2 and MC for T15 steel. Optimi- improvements in fatigue properties could be
and 1300 C. The linear shrinkage for full den- zation studies on the vacuum sintering of a T15 achieved by electroslag heating of tundish. In
sification can be of the order of 10%. The for- steel (1.55C, 4.41Cr, 0.14Mo, 2.24Co, 4.27V, conventional high-speed steels (M2), when sur-
mation and sustenance of the liquid phase play 12.80W, 0.094O, balance Fe) with a Fisher sub- face defects from tool preparation are eliminated,
an important role in the density and desired mi- sieve particle size of 13.6 lm have shown their individual carbides and stringers act as stress
crostructure of the sintered tool steel (Ref 43 optimal microstructure and bend strength could raisers. In the P/M high-speed steels (ASP 30),
45). A rise in the critical sintering temperature be achieved by sintering at 1265 C for 30 min inclusions act as stress raisers and directly affect
of the order of 5 C can lead to rapid austenite (Ref 45). the microchipping resistance. Minimization of
grain growth of continuous carbide films MC or Another important development is the attain- the unfavorable inclusions through the modified
M6C, depending on the composition of steel, be- ment of enhanced properties in high-speed steels process improves the microtoughness of P/M
tween adjacent grains. While sintering at lower through improved cleanliness (Ref 46). Knowl- steels (Ref 47). A reduction in the number of
temperature below the solidus, the carbide dis- edge about the role of oxide inclusions on the inclusions with critical size is important in many
persed in the structure will interfere with the functional properties of high-speed steels has applications. Molds for optical lenses, medical
grain growth and densification. When the sinter- initiated considerable measures to control the in- parts, compact disks, and encapsulation of inte-
grated circuits may not permit nonmetallic in-
clusions as small as 15 to 20 lm, as the presence
of these will result in the rejection of the molds.
The newer P/M tool steels have a significant
positive effect on both manufacturing properties,
such as electrodischarge machining ability, pol-
ishability, and mechanical properties. They have
also exhibited improved tool performance in ap-
plications such as cutting tools, molds requiring
high surface finish fine blanking tools, powder-
compacting tools, and highly stressed cold-form-
ing tools.
Treatment of Sintered P/M Parts
Although sintered parts can be used as such,

some of the parts are sized or repressed in order
to maintain closer tolerances or higher densities.
Certain sintered products require additional
treatments such as infiltration, oil impregnation,
machining, joining, steam treatment, plating, and
other corrosion-protection treatments and heat
treatment.
Infiltration is a process of filling the pores of
P/M parts with a metal or alloy of lower melting
point to increase the density, strength, hardness,
ductility, or impact resistance of the component.
The properties of sintered iron P/M parts have
been improved with the infiltration of copper. It
is important to control the infiltration tempera-
ture for developing proper microstructure and
hence the mechanical properties (Ref 48).
Joining P/M components can be used to pro-
duce complex shapes or to produce products
with different properties by joining P/M parts
with different materials, including conventional
components. Joining can be achieved by sinter-
ing, infiltration, or by projection welding, arc,
Corrosion resistance of various P/M stainless steels. Hours of immersion by open beaker method in 5% NaCl resistance, or electron beam welding. Sintered
Fig. 8 P/M parts can also be brazed with special braz-
solution until 1% of surface is covered by rust or stain. Source: Ref 39
ing materials. Other joining methods include changes to sintered products has dominated most optimize the physical and mechanical properties
gluing, press fitting, upsetting, riveting, and bolt- of the investigations, and these additives have of the product. These heat treatments include an-
ing. included lead, bismuth, tellurium, selenium, nealing, through hardening, and case hardening.
Oil impregnation will provide the part self- CaO, MoS2, and MnS. Although porosity is nec- While heat treating P/M parts, special consid-
lubrication, as in the case of bearings, or greater essary for certain applications such as self-lubri- eration needs to be given to the density, com-
resistance to corrosion. Impregnation can be ac- cants, it has a detrimental effect on machining, position, quenching or cooling method, tempera-
complished by soaking the parts in an oil bath leading to interrupted cut and acceleration of tool ture, atmosphere, and the equipment-related
or by a vacuum process. wear and poor surface finish of the product. In variables such as temperature uniformity and at-
Machining is minimal in P/M components this context, studies on the machinability and en- mosphere control.
and is limited to operations such as undercuts, hancing additives are very significant for in- The response of a P/M part to a particular heat
cross holes, or threads. Frequently, machining creasing the application range of sintered prod- treatment will depend on its thermal conductiv-
operations such as tapping, threading, drilling, ucts. ity, which is related to the density of the sintered
or surface grinding are necessary for sintered P/ Sintered materials are more susceptible to at- part. High-density P/M parts and wrought ma-
M parts. Since the sintered materials are porous, mospheric corrosion than solid materials be- terial parts have high thermal conductivity, en-
it is necessary to keep the cutting tool sharp. The cause of the porosity that will not only increase suring rapid heating and cooling, while parts
factors affecting the machinability of P/M steels the reactive surface, but will also provide favor- with low density take longer to heat and cool,
are composition, porosity, microstructure, pro- able sites for condensation of liquids that may thereby necessitating special quenching or cool-
cessing conditions, inclusions, and machining cause corrosion. The extent of corrosion depends ing methods. Another factor to take into consid-
parameters (Ref 49). The effect of various mach- on porosity, which is governed by the sintered eration is hardenability, which decreases with in-
inability-enhancing additives or composition density of the material. The porosity can be creasing porosity. During case hardening, case
closed by resin impregnation or steam treatment. depth may increase with increasing porosity, as
For impregnation resins such as polyester, resin shown in Fig. 9 (Ref 51). Another factor to be
diluted with styrene is found to be suitable, and considered is the surface morphologythe
the impregnation is carried out in an autoclave amount of open porosity at the surface. The
followed by hardening the resin using heat treat- amount of surface open porosity increases with
ment. Resin-impregnated sintered components decreasing density. Accordingly, decisions have
are also useful for pressure-tight applications. to be made about the type of quenchant, the type
These components can also be plated with cop- of equipment (such as salt bath) to be used, and
per, nickel, chromium, cadmium, zinc, and so so forth for hardening. The micrograph in Fig.
forth for improving surface corrosion or the ap- 10 shows the effect of surface morphology on
pearance of the sintered parts.
the ability to carburize FC-0202 (0.2C, 2Cu) ma-
Steam treatment is another method to close the
porosity of sintered parts and/or to increase the terials (Ref 51).
corrosion resistance and mechanical properties Alloying elements have a direct influence on
(Ref 50). Steam treatment is carried out in spe- the hardenability of ferrous P/M materials. The
cial furnaces with overheated steam at around compositions of some P/M structural steels are
550 C for 1 to 2 h. This treatment will provide given in Table 4. The alloying elements are car-
a black iron oxide (Fe3O4) layer of about 5 lm bon, copper, nickel, and molybdenum. As the
thick on the surface that is hard and wear resis- alloying content increases the eutectoid of the
tant. steel generally shifts to a lower carbon content
Effect of density on the hardenability of P/M Heat Treatment. Sintered steel components in the phase diagram, while the critical cooling
Fig. 9
steels are often subjected to heat treatment in order to rate is reduced and the transformation nose of
Table 3 Nominal compositions of P/M high-speed steels

Designation Composition, wt%
Tradename(s) AISI UNS JIS Werk. No. C W Mo V Co Weq Hardness, HRC
Wear-resistant high-speed steels containing 34% V
ASP23, APM 23, CPM M3, Micromelt M3, FAX 31, DEX 20, KHA 32 M3 T11323 SKH53 1.3344 1.3 6.25 5 3 16.25 6567
CPM M4, Micromelt M4, Isomatrix S690, HAP M4 M4 T11304 SKH54 1.4 5.75 5 4 15.75 6567
Heat-resistant and superhigh-speed steels containing 512% Co and 26.5% V
CPM M35 M35 SKH 55 1.3243 1 6 5 2 5 16 6567
CPM Rex 54 1.5 5.75 5 4 5 15.75 6668
ASP30, APM30, CPM Rex 45, Micromelt HS 30, Isomatrix S790, 1.3 6.25 5 3 8 16.25 6668
FAX 38, DEX 40, HAP 40, KHA 30
CPMT15, Micromelt T15, FAX 55, DEX 61, HAPT15, KHA 50 T15 T12015 SKH10 1.3202 1.6 12 5 5 12 6668
CPM Rex 76, Micromelt HS 76 M48 T11348 1.5 10 5.25 3 8.5 20.5 6769
HAP 50, DEX 62 1.5 8 6 4 8 20 6769
Isomatrix S390 1.6 11 2 5 8 15 6668
ASP60, APM60, KHA 60 1.3241 2.3 6.5 7 6.5 10.5 20.5 6769
DEX 80 2.1 14 6 5.5 12 26 6870
HAP 70 2.2 12 9 5 12 30 6971
Cobalt-free superhigh-speed steels
CPM Rex 20 M62 T11362 1.3 6.25 10.5 2 27.25 6668
CPM Rex 25 M61 T11361 1.8 12.5 6.5 5 25.5 6769
Note: All of the P/M high-speed steels contain about 4% Cr for hardenability in large sections. Silicon, manganese, and sulfur contents are typically 0.50%, 0.30%, and 0.03% maximum, respectively. For select applications
requiring improved machinability, sulfur contents are increased to 0.10 or 0.22% with corresponding increases in the manganese contents. Source: Ref 41
the continuous-cooling curve shifts to the right. brine due to improved distortion control and that improve surface properties such as the case
Increasing the carbon content tends to increase minimized cracking. Fast oil with improved heat hardening methods of carburizing, carbonitrid-
the tensile strength. Maximum strength occurs at transfer characteristics is preferable. Since the P/ ing, nitrocarburizing, and nitriding; tempering;
a carbon level between 0.8 and 0.9%. However, M part can absorb oil, proper care should be and annealing.
above the carbon level of 0.77%, the austenite taken during cleaning. In addition to oil, water, Carburizing is carried out on P/M parts with
that forms at the grain boundaries results in a brine, or aqueous polymer solutions can be used relatively large cross-sectional thickness to ob-
brittle structure. The addition of copper also with improved rate of heat transfer, but accel- tain maximum fatigue and impact properties.
strengthens and helps to sinter harden some low- erate the part corrosion on account of the residual Parts with more than 15% porosity are not rec-
alloy steels. Copper has a strong influence on quenchant that can be trapped in the surface of ommended for carburizing. Carburizing materi-
dimensional change, and precise control of cop- pores. For hardening and case hardening, the als generally contain nickel, molybdenum, and
per and carbon is required to maintain consistent temperature must be high enough to fully aus- copper with a combined carbon level of 0.3 to
dimensional change. Addition of nickel to 2% tenitize the material so that it will quench to a 0.35% for a porosity of 10 to 15% and the com-
and in certain cases up to 6% improves the heat martensitic structure. A higher austenitizing tem- bined carbon is reduced to 0.15 to 0.25% for
treated properties of the steel. Nickel lowers the perature is required for oil quenching than for porosity of less than 10%. These steels are gen-
austenitizing temperature and increases harden- water or brine quenching. Tempering and steam erally gas carburized at about 900 to 930 C for
ability. Molybdenum additions in the range of treating are performed below the austenitizing shorter cycles with a higher carbon potential than
0.5 to 1.5 are useful since it has a higher diffu- temperature, a uniform distribution and dissipa- for wrought material.
sion rate than nickel. However, more care should tion of heat are needed to ensure consistency of Carbonitriding is a gas-carburizing process in
be taken in the heat treatment of molybdenum- the end product. With increasing carbon and which about 10% ammonia gas is introduced
containing steel, and the molybdenum carbide nickel content, the austenitizing temperature is into the gas-carburizing atmosphere at about 800
formed during tempering can provide secondary decreased, while other alloying elements slightly to 850 C. The ammonia dissociates, and the ni-
hardening. Powder metallurgy parts may be oil increase the austenitizing temperature and time. trogen formed diffuses into the steel surface si-
quenched, which is less severe than water and More than double the soaking time is required multaneously with carbon, thereby retarding the
for less-dense P/M products than for wrought critical cooling rate on quenching, leading to a
material because of the lower thermal conductiv- more consistent martensitic transformation. Care
ity. Considering the atmosphere of endothermic should be taken to avoid excessive nitrogen dif-
gas, a nitrogen/methanol atmosphere or a nitro- fusion, which will lead to embrittlement. Car-
gen-base atmosphere can be used as long as the bonitriding, because of its lower operating tem-
carbon potential is controlled to prevent oxida- perature, provides better control of distortion
tion or reduction. During case hardening, the at- than carburizing.
mosphere should be neither carburizing nor de- In plasma nitriding, an ion discharge or
carburizing to the materials. The amount of plasma of positive ions and electrons is set up
additive gases such as methane, propane, and/or between two electrodes in a vacuum chamber
ammonia should be a function of density and containing low-pressure nitrogen gas. The ions
degree of open porosity in the part. Sintered steel bombard the P/M part that forms the cathode,
parts with low density and with highly open sur- heating to temperatures of the order of 470 to
face will have less uniform case depth and less 570 C, cleaning them by dislodging surface at-
well-defined interface between case and core. oms and depositing active nitrogen, which is cre-
These defects can be minimized by controlling ated by ion collision with nitrogen molecules in
the relative amounts of additive gases. Important the gas.
heat treatments of P/M steel parts include hard- Induction hardening is recommended for
ening by austenitizing and quenching; processes those parts requiring a hard and wear-resistant
Table 4 Composition of P/M structural steels

Composition limits (b), %
Description MPIF (a) designation C Ni Cu Fe Mo
P/M iron and carbon steels F-0000 00.3
F-0005 0.30.6
F-0008 0.60.9
Iron-copper and copper steels F-0200 00.3 1.53.9 93.898.5
F-0205 0.30.6 1.53.9 93.598.2
F-0208 0.60.9 1.53.9 93.297.9
Iron-nickel and nickel steels FN-0200 00.3 1.03.0 02.5 92.298.0
FN-0205 0.30.6 1.03.0 02.5 91.998.7
FN-0208 0.60.9 1.03.0 02.5 91.698.4
FN-0405 0.30.6 3.05.5 02.0 89.996.7
FN-0408 0.60.9 3.05.5 02.0 89.694.4
Copper-infiltrated steels FX-1005 0.30.6 8014.9 82.591.7
FX-1008 0.60.9 8014.9 82.291.4
FX-2005 0.30.6 15.025.0 72.484.7
FX-2008 0.60.9 15.025.0 72.184.4
Low-alloy steels FL-4205 0.40.7 0.350.55 95.90.85 0.500.85
FL-4405 0.40.7 96.398.9 0.701.00
FL-4005 0.40.7 1.702.00 94.597.5 0.400.80
Fig. 10 Influence of surface effect on the ability to car- FLN-4205 0.40.7 1.352.50(c) 93.9597.75 0.500.85
burize on FC-0202 (0.2C, 2Cu) material. Top
to bottom open surface, closed surface, core. Closed sur- (a) Metal Powder Industries Federation. (b) Other elements total by difference equals 2.0% max, which may include other minor elements added for
faces allow for more uniform absorption and diffusion of specific purposes. (c) At least 1% of the nickel is admixed as elemental powder.
carbon. Etchant: 2% nital
surface such as cams, bevel gears, spur gears, 1120 C followed by tempering at 177 C. Dur- rates are normal precipitation at grain boundaries
and so forth. Since the inductance of P/M ma- ing accelerated cooling from the sintering fur- is reduced, while rapid cooling such as water
terials, because of porosity, is lower than in nace, these parts transform to martensite. Al- quenching suppresses the precipitation of car-
wrought materials of similar composition, a though the sinter-hardening process may not bides and nitrides, thereby providing maximum
higher power setting is required to reach a given produce complete transformation to martensite, ductility.
depth of hardening. Further rapid transfer to the the resultant microstructure/property relation-
water-quench solution containing some rust-pre- ship provides considerable flexibility to the P/M Hot Pressing
ventive additive to avoid internal corrosion is fabricator. The incomplete transformation pro-
also required. vides a tensile strength of the order of 70 to 80% The majority of sintered parts are made by
Nitrocarburizing is carried out within the fer- of tempered martensite, and the remaining mi- cold compaction in rigid dies followed by sin-
ritic region at about 570 to 600 C, involving the crostructure consists of porosity, bainite, and tering. Since metals are softer at elevated tem-
addition of nitrogen and carbon to the surface of pearlite. The economic advantage of the process peratures, it is possible to achieve higher densi-
P/M parts. Nitrogen forms a thin layer of hard includes the elimination of a separate heat treat- ties using hot pressing or pressure sintering. The
and wear-resistant e-iron nitride on the surface. ment step such as quenching and tempering, powder or green compact is subjected to heat and
The atmosphere usually consists of a 50:50 mix- thereby providing a cleaner process with better pressure. Resistance sintering under pressure,
ture of endothermic gas and anhydrous ammo- dimensional uniformity and yield. Depending on electrically activated pressure sintering, and
nia, and the metal powder should have a density the variations of belt speed and cooling system, spark sintering are the variations of hot pressing.
of more than 90%. Nitrocarburizing improves re- the percentage of martensite can be altered from The die material in hot pressing may be alumina,
sistance to sliding wear and fretting and also in- 28 to 84% with corresponding hardness values silicon carbide, superalloys, refractory metals
creases the strength and reduces the notch sen- of 16 to 36 HRC (Ref 52). and their alloys, or graphite, and the latter can
sitivity of P/M parts. It is essential to heat treat P/M tool steels to be heated by direct resistance or by external re-
Annealing is used in cases such as P/M forg- develop their properties. Powder metallurgy tool sistance or induction heating. Depending on the
ing to improve machinability. Forgings are aus- steels use the same heat treatments as those used die materials, temperatures as high as 2200 C
tenitized at a temperature appropriate for carbon for conventional tool steels, but the former re- and pressures of the order of 160 MPa can be
content, followed by rapid cooling to an isother- spond more rapidly because of the uniform mi- used. The atmosphere may be reducing, inert, or
mal transformation temperature determined by crostructure and finer carbide size. The heat vacuum.
the TTT diagram for the steel. A combination treatments include preheating, austenitizing, Investigation on the hot pressing of iron pow-
atmosphere and vacuum continuous heat-treat- quenching, and tempering; the optimal heat ders between 100 and 1000 C indicates that the
ing system is shown in Fig. 11 (Ref 51). Typical treating temperatures depend on the composi- compaction rate is larger during -c transfor-
ferrous P/M applications include hardening, car- tion, and the recommendations by the manufac- mation than at temperatures just below or above
burizing, carbonitriding, and tempering of auto- turers should be followed (Ref 53). Powder met- the transformation. Furthermore, the compaction
motive transmission and drive-train components, allurgy grade tool steels are segregation-free, rate is much larger below the Curie point than
hydraulic valves, cams, and actuators. and hence the variations in dimensional changes above (Ref 54). High-carbon steel powder con-
Sinter hardening allows P/M parts to be hard- after heat treatment are smaller than those in containing 1.89% C produced by nitrogen gas at-
ened in the sintering furnace while cooling from ventional tool steels. Cooling rates have a pro- omization has been vacuum hot pressed at 700
the hot zone. The material should be selected found influence on the properties of P/M aus- C to more than 99% of theoretical density at 0.9
with sufficient alloy content so that it is air har- tenitic stainless steels. With very slow cooling, ks at 160 MPa and for 7.2 ks at 100 MPa (Ref
denable. Parts made out of nickel, molybdenum, precipitation occurs preferentially at grain 55). The analysis of densification showed the su-
and low-alloy steel powders with blended addi- boundaries, resulting in an increase in strength perplastic flow of each powder plays an impor-
tion of 2% Cu and 0.8% C have been found to and loss in ductility. The carbide precipitation is tant role in the densification process.
develop satisfactory properties by sintering at detrimental for machinability. When the cooling Hot Isostatic Compaction. Some of the lim-
itations of hot pressing such as problems in pro-
ducing higher length-to-diameter ratios, com-
plex shapes, and larger components can be
overcome by HIP. The temperature of HIP varies
from 400 to 3000 C and pressures of the order
of 20 to 300 MPa, depending on the material.
Heating elements such as graphite, tungsten, tan-
talum, platinum, molybdenum, kanthal, and ni-
chrome are used, and the pressurizing medium
can be inert gas such as nitrogen, argon, helium,
or vacuum. A typical HIP unit consists of a pres-
sure vessel, gas storage, handling system, power
supply, controls, and instrumentation (Ref 56).
Schematic representation of the section of a HIP
pressure vessel with furnace is shown in Fig. 12.
Since the equipment must be able to withstand
high isostatic pressures at elevated temperatures,
a cold pressure vessel with an internal furnace is
preferred. The powder to be consolidated is
packed in a gastight sealed preshaped container
or cold isostatically pressed. The container ma-
terials may be glass, ceramic, or a metal or alloy
and should not react with the powder materials,
Combination atmosphere and vacuum continuous heat treating system. Typical ferrous P/M applications
but should be able to transmit the load to the
Fig. 11 powder at elevated temperature. The heat is sup-
include hardening, carburizing, carbonitriding, and tempering of automotive transmission and drive-train
components, hydraulic valves, cams, and actuators plied by the furnace, which is kept inside the
pressure vessel. The powder-filled container is idation press, and an axial load is applied to the by the pot die inner surface, thereby applying
hot degassed and sealed under vacuum. The re- ceramic grain by moving the ram mechanically pressure to the powder from all directions. High-
quired gas pressure is generated either by pump- or hydraulically. The preform experiences axial speed tool steel milling cutters have been pro-
ing the gas to an intermediate pressure to the and lateral forces, resulting in deformation and cessed by this technique to fully dense, near-net
workpiece, followed by heating to obtain the fi- full densification with the correct processing shape with very fine microstructure resulting in
nal temperature and pressure or by heating the variables. The consolidated part is ejected along superior performance in comparison with a
workpiece to the required temperature while with the granules from the die and separated coarse-grained sintered product with some resid-
maintaining a low pressure of the order of 7 MPa from the ceramic granules. Preforms of alloy ual porosity (Ref 59).
followed by pressurization that is hot loading. steels have been consolidated to full density by The STAMP process is an integrated one in
Pressure-assisted sintering is another method this process, and the surface finish of the product which the molten metal poured from a tundish
in which the P/M parts density could be in- is influenced by the size and shape of the ceramic is horizontally atomized with nitrogen or inert
creased to near-theoretical density at pressures grains. The process is simple, and economic ad- gas (Ref 60). The powders, after sieving, are her-
of the order of 2 to 12 MPa. This will reduce the vantages include inexpensive tooling when low metically sealed in a sheet metal container by
equipment cost of pressure vessels and associ- dimensional tolerances are adequate. Products welding. These are then heated to about 1100 C
ated facilities, gas consumption, and sintering such as low-alloy steel ratchet wrenches have and transferred to a hydraulic press and consoli-
time, thereby reducing the operating cost sub- been produced economically by this technique. dated to about 95% theoretical density. The billet
stantially (Ref 57). Initially, the sintering is car- Rapid omnidirectional compaction is another weight may range from 50 to 2500 kg. These
ried out to attain closed porosity, followed by isostatic compaction method in which a powder- billets are then hot worked to final shape. Low-
the application of pressure at or near the sinter- filled cavity is surrounded by a mass of fluid die alloy steels, stainless steels, and tool steels have
ing temperature to produce a full-density prod- material, such as AISI 1020 steel or a Cu-10Ni been consolidated. The process is energy effi-
uct. alloy, which is capable of plastic flow at tem- cient and economical with improved hot work-
Since the HIP equipment and process is ex- peratures of the order of 1000 C and pressures ability of the billet on account of its microstruc-
pensive, alternate approaches have been devel- of the order of 800 MPa. This consolidation tural homogeneity.
oped, such as Ceracon process, rapid omnidirec- pressure is applied to the fluid die from a uni-
tional compaction, and STAMP process. In the axial ram of a compaction or forging press and Roll Compaction
Ceracon (CERAmic CONsolidation) process, a tooling. The pressure is transmitted to the pow-
granular ceramic medium is used to transfer the der through the fluid die in an omnidirectional Direct rolling of powders into a compacted
pressure, instead of a gas, on HIP (Ref 58). The way as in the case of isostatic compaction. The green strip with sufficient strength for handling
preform is prepared by cold compaction and then thick fluid elements permit consolidation of is achieved in roll compaction. In this process,
heated in a controlled atmosphere to the consol- complex shapes, including holes, reentrant an- the powder from the hopper is carried toward the
idation temperature. At the same time, the ce- gles, and irregular shapes. The powder is filled roll gap under the roll nip with its apparent den-
ramic granules are also heated and charged into in the welded die assembly, evacuated and sity, depending on the powder characteristics in
the die. The heated preform is inserted into the sealed, and then heated to the consolidation tem- the static condition forming the incoherent pow-
ceramic medium so that the preform is com- perature, placed in a pot die and subjected to der zone. Under dynamic conditions when the
pletely surrounded by the ceramic grains. The uniaxial ram force. The ram force is transmitted rolls are rotating, the friction between rolls and
heated assembly is then transferred to a consol- through the plastic fluid die elements and reacted powder and interparticle friction along with
gravity will carry the powder into the roll gap,
and it will be compacted into a green strip when
using a horizontal mill (Ref 61). The incoherent
powder zone extends over an angular distance
and on the entry side of the rolls with diameter
R and is continuous with the compacted strip on
the exit side of the rolls (Fig. 13). Powder rolling
is used initially for single-layer strip with differ-
ent porosity. Tooling has been added to guide
powders into the roll compaction zone, and con-
trol blades have been designed to regulate the
End closure flow rate of the powder into the mill. Other mod-
Wire-wound vessel ifications include a system of side entrants at the
Furnace insulation
ends of the rolls to prevent the powder from
W spilling out of the compaction zone and a system
o W mantle
r o for continuously dressing the surface of the rolls
k Temperature- r Furnace heater
controlled k to maintain a steady-state friction condition be-
l tween the rolls and powder. Multilayer strip is
o hot zone l
a o also being produced by simultaneously feeding
d a
d separate streams of powders with different layers
into the roll gap. By modifying the powder feed-
Support and bottom ing system, a vertical mill can also be used for
insulation
roll compaction. Considering the principle of
Thermocouple
feedthrough metal powder compaction in general, it may be
noted that in the case of compaction, in rigid dies
Power feedthrough friction inhibits the compaction process, while
in roll compaction friction assists the compac-
tion.
In addition to direct roll compaction of steel
powders, efforts have also been made to produce
Fig. 12 Hot isostatic pressure vessel and furnace a porous billet by sintering followed by different
mechanical working operations such as rolling, crostructure and mechanical properties, along Conventional forging requires few dies and
cold or hot rolling to produce sheets, or forging with improved yield of the tubes (Ref 66). A forging steps, while powder forging can usually
and extrusion to produce seamless tubes or cold typical example of the use of these stainless steel produce a fully formed component with a single
extruded products. The conventional way of pro- tubes is in the lift tower of the Grande Arche at forging step. Powder forging is energy efficient
ducing thin steel from rough ingot to the final La Defence, Paris (Ref 67). More than 150 tons and utilizes maximum materials with minimum
coiled strip is capital and energy intensive with of P/M grade stainless steel tubes ranging in di- scrap. The actual savings in materials will de-
considerable losses in the materials through edge ameter from 60 to 244 mm were used because pend on the complexity of the product. Powder
trimming, reheating, and pickling. Direct roll of their special surface finish, allowing freedom forging consumes less energy and provides
compaction of powders followed by sintering from maintenance. longer tool life. The properties of the powder-
and hot and cold rolling as shown in Fig. 13, will forged component depend on a number of pro-
reduce the cost of capital and energy with sub- Powder Forging cessing parameters such as powder characteris-
stantial improvements in the materials utiliza- tics, compaction, sintering, or forging
tion. Another method is a slurry process in which Powder forging is a hot densification process parameters such as forging temperature, pres-
a slurry is made out of the steel powder, which in which an unsintered, presintered, or sintered sure, speed of press, chilling of the preform by
is deposited on a suitable substrate followed by preform made out of powders is forged to higher the tooling, and the amount of material flow. A
roll compaction and sintering followed by hot densities. It has the advantage of powder met- variety of iron and steel parts have been powder
and cold rolling (Ref 62). Evaluation of the allurgy such as dimensional accuracy and mini- forged, and their number is increasing because
large-scale production of mild steel sheets and mum materials waste, along with the high of the economic advantages (Ref 68). A large
tubes including seamless tubes and extruded strength of forging. Plastic deformation and vol- number of powder-forged components are pro-
steel parts have shown that the process is very ume change of the sintered powder materials is duced for automotive applications for transmis-
attractive and economical. Hot extrusion of pow- different from those of the conventional cast ma- sions, engines, and differentials. These include
ders to full density utilizes a combination of hot terials because of the porosity in the former case. connecting rods for engines, valve seats, stator
pressing and hot mechanical working (Ref 63 In powder preform forging, the preform design cams, chain saw sprockets, gears, and so forth.
65). The hydrostatic forces along with the uni- has a significant effect on the metal flow, struc- The increasing demand for light weight, low
directional forces cause the compact to flow ture, distribution of the stresses in the material, cost, close control of balance, weight, improved
through the die. Microstructural control of the and properties of the final product. The mode of material properties, and endurance limits by the
product is achieved by the manipulation of ex- densification during powder forging will depend automotive industry has resulted in the introduc-
trusion variables such as temperature, extrusion on the repressing or upsetting conditions. During tion of powder-forged connecting rods. Powder
ratio, and so forth. The frictional forces produce repressing, the extensive flow of the materials in metallurgy offers homogeneous microstructure
a shear component, and the energy expended in the lateral direction is prevented by die-wall con- without any material textures and anisotropic
shear presents almost half of the energy needed straints as the outside diameter of the preform is properties. Powder forging in closed dies with-
for extrusion. Different methods of powder ex- close to the outside diameter of the forged part, out lateral flow results in high density and
trusion are extrusion of loose powder through a and with the approach of full density a hydro- strength levels. Premixed powders such as Fe-
die, extrusion of cold or hot pressed compact, static condition prevails. A spherical pore be- Cu-C or prealloyed powders such as Fe-Cr-Ni-
and extrusion of powder in a sealed container, comes ellipsoidal on collapse, with the long axis Mo-Mn with additional amounts of free carbon
canned powder extrusion. Seamless P/M stain- close to that of the original pore diameter. The and heat treatment enable generation of cus-
less steel tubes are commercially manufactured limited lateral flow of the repressed part restricts tomer-tailored properties with preferable micro-
by hot extrusion. In a typical case, gas-atomized anisotropic properties, while in upsetting forging structures. Strength levels more than 1500 MPa
stainless steel powders of composition 22Cr- considerable lateral flow of the materials takes can be achieved by powder forging, and hence
5Ni-3Mo-0.015N-0.003C, balance Fe, are place. The stress state around a pore is a com- individual alloy design offers the possibility of
loaded into a mild steel can to a density of about bination of normal stress and shear stress, and lightweight connecting rods. Chemical compo-
70% and sealed. The can is cold isostatically the spherical pore becomes flattened and elon- sitions of some of the ferrous alloys used for
compacted to a density of about 85% and then gated in the direction of lateral flow. This can powder forging are given in Table 5.
hot extruded to full density at about 1200 C us- result in some amount of anisotropy in upset The production sequence of the powder-forg-
ing glass lubricant. Technical and economic ad- forging that is much less than that in wrought ing process is shown in Fig. 14 (Ref 70). The
vantages of this process include improved mi- material. prealloyed powders are compacted on an eight-
axis computer-numerical-controlled (CNC) ser-
vohydraulic multiplaten powder press to a den-
sity level of 6.4 to 6.6 g/cm3. A sophisticated
Powder tool concept allows close control of the move-
ments of the individual compacting punches and
Hopper guarantees a homogeneous distribution of sec-
tional densities and therefore also determines the
R Compaction total and balance weight of the components at
rolls minimum weight scatter. A subsequent balance
system then provides a 100% weight check and
guarantees close tolerances and balance weights.
Compacted strip The highly precise weight control system guar-
Hot rolling Cold rolling antees consistent properties of the component as
well as optimal conditions and tool endurance
for the following precision net-shape forging in
closed dies. The preforms are then positioned by
a robot pick-and-place system directly onto the
conveyor belt of the sintering furnace or into an
Sintering intermediate buffer-system in order to provide
Coiler flexibility for tool changes or maintenance work.
Fig. 13 Rolling of metal powders to strip Sintering is carried out at 1120 C for 15 min,
Table 5 Chemical composition requirements for powder forged parts

Composition, wt%
Element P/F-10xx P/F-10Cxx P/F-11xx P/F-11Cxx P/F-42xx P/F-46xx P/F-44xx P/F-49xx
Ni (max) 0.10 0.10 0.10 0.10 0.400.50 1.752.00 0.10 max 0.10 max
Mo (max) 0.05 0.05 0.05 0.05 0.550.65 0.500.60 0.800.95 1.41.6
Ma 0.100.25 0.10.025 0.300.60(a) 0.300.60(a) 0.200.35 0.100.25 0.080.18 0.080.18
Cu 0.30 max 1.82.2 0.30 max 1.82.2 0.15 0.15 0.15 0.15
Cr (max) 0.10 0.10 0.10 0.10 0.10 0.10 0.10 0.10
S (max) 0.025 0.025 0.23(a) 0.23(a) 0.03 0.03 0.03 0.03
Si (max) 0.03 0.03 0.03 0.03 0.03 0.03 0.03 0.03
P (max) 0.03 0.03 0.03 0.03 0.03 0.03 0.03 0.03
C (b) (b) (b) (b) (b) (b) (b) (b)
O (c) (c) (c) (c) (c) (c) (c) (c)
Fe bal bal bal bal bal bal bal bal
(a) Covers manganese sulfide additions of from 0.3 to 0.5 wt%. The manganese content in solution is similar to P/F-10xx or P/F-10Cxx, i.e., 0.100.25 wt%. (b) Carbon content specified by the purchaser. (c) When required,
maximum oxygen content shall conform to the amount specified by the purchaser. Source: Ref 69
and the process parameters such as temperature,

belt speed, dewpoint, and so forth are monitored
and registered. A second robot system transfers
the sintered hot parts under a protective atmo-
Automatic sphere of nitrogen into the forging cavity of the
100% handling CNC hydraulic forging press.
weighing Sintering Forging is done in a manner similar to the tool
concept of compaction in fully capsulated closed
dies when any lateral material flow and the pos-
Compacting
Buffer
Automatic sibility of generating flashes or burrs are
handling avoided. This compaction step therefore only
provides a reduction of the component height so
that all geometrical features and weight accuracy
of the green part are transferred into the forged
preform. The specified densities of more than 7.6
or even 7.8 g/cm3 are achieved in the most
stressed transition zone from gudgeon pin end to
shank section. Consistent forging results are ob-
tained through the control of uniform tool tem-
Shot-peening Signing Protective perature and proper lubrication. The tooling con-
atmosphere Forging
figuration for powder forging of the connecting
Fig. 14 Production route of powder-forged connecting rods rod is shown in Fig. 15. After ejection, the forged
connecting rods will be cooled down to room
temperature under controlled conditions in a pro-
tective atmosphere. Shot peening is performed
to remove the connecting rod forging pale. Den-
Powder Ejecting sity and sectional distribution as well as carbon
filling
and oxygen content are analyzed at regular in-
Compacting tervals. All dimensions are checked on a statis-
tical process control (SPC) base and recorded.
An assessment of the cost of manufacturing con-
necting rods by different manufacturing tech-
niques indicates a minimum cost for powder
forging. Besides reduced energy and fluid costs
for machining, the environmental aspect due to
drastically reduced removal of chips and ma-
Forged
connnecting rod
chining coolant volume gains more importance
Preform under modern ecological management audit
inserting Ejecting
schemes. Powder-forged connecting rods have
reduced engine weight and improved engine per-
Forging formance on account of their improved weight
control and dimensional control along with re-
duced component weight. Furthermore, powder
forging has proved to be competitive in relation
to conventional forging, resulting in an overall
cost reduction. Millions of powder-forged con-
necting rods are currently in use by leading auto
manufacturers throughout the world, and their
Fig. 15 Tooling configuration for powder forging of connecting rods number is steadily increasing.
Metal-Injection Molding these ferrous powders include soft magnetic ma- time. Other debinding techniques depending on
terials, low-alloy steels, stainless steels, and tool the binder system include wicking, solvent ex-
Metal-injection molding (MIM) has been es- steels. The prominent binder categories are ther- traction, vacuum extraction, and air drying. After
tablished over the past decade as an emerging moplastic, thermosetting, water-based, inor- removing the binder, the brown parts are sintered
technology for the manufacture of small, preci- ganic, and gelatin systems. The binder systems at suitable temperature, time, and atmosphere to
sion components of complex shapes in both consist of a binder, a plasticizer to reduce the obtain metallurgical bonding and densification.
small and large volumes. Metal-injection mold- viscosity of the binder, and surfactants to lower Since the debound brown parts are porous, large
ing components are finding new applications in the surface energy for mixing. Wax polypropyl- shrinkage occurs, and the sintering atmosphere
industries such as automotive, business equip- ene system is a typical binder system for MIM. and temperature must be closely controlled to
ment, computer hardware, chemical, biomedical, The ratio of metal powder to binder or the solids retain the composition and shape of the product.
aerospace, and armaments. Specific components loading determines the viscosity, debinding rate, The density of the sintered part is usually greater
include airbag components and other automotive dimensional control, and shrinkage. The mixing than 97% and approaches theoretical density.
parts, micro-electronic packages, computer disk should result in a homogeneous powder/binder The properties of the sintered parts can be im-
drives, orthodontic brackets, firearm compo- mixture free from segregation, and the binder proved by postsintering. Metal-injection mold-
nents, camera and business machine parts, cut- constituents should fill all the interstitial spaces ing has now become a mass-production technol-
ting tools, wire bonding and other assembly between particles, at the same time forming a ogy for small net-shape parts of about 25 g
tools, wristwatch cases, jewelry, thread guides, thin layer around each particle. The mix is gran- weight, exhibiting design and economic benefits
spray nozzles, wear components, oxygen sen- ulated into solid pellet feedstock that can be over cast and wrought components in such fields
sors, surgical tools, biomedical implants, radia- stored or fed into the injection molding machine. as electronic equipment, machine tools, watches,
tion shields, cutters, clippers, connectors, tur- The rheological properties of the feedstock are cameras, and medical equipment. Recent devel-
bochargers, and valves. The important steps important; the viscosity at the molding tempera- opments in binder systems and instrumentation
involved in the MIM process are shown in Fig. ture should allow the feedstock to flow smoothly for injection molding and sintering equipment
16. Ferrous powders of suitable characteristics into the die cavity without segregation, and the have resulted in the expansion of MIM products
are hot mixed with a binder and granulated to mix should become rigid on cooling. The feed- to larger parts such as a 2 kg boat propeller and
form the feedstock, which is molded somewhat stock is extruded into the die cavity and is heated newer areas such as automotive engine parts
similarly to those used in plastic-injection mold- with careful control of the nozzle and die tem- (Ref 71, 72.)
ing. The molded part is then subjected to de- perature of the injection molding machine.
binding and sintering to form the product. The Molds with multiple cavities can produce several Spray Forming
powder particle size and shape distributions are parts during each injection, thereby reducing the
important for injection molding, as spherical or unit cost of the parts. This is a potential manufacturing process for
near-spherical shapes will provide a high pack- The parts are subjected to debinding by heat- producing semifinished and finished engineering
ing density while fine powders sinter more reading the green compact, and this will lead to the components economically. In this process, mol-
ily than coarser powders. Generally, a mean par- melting, decomposing, and/or evaporation of the ten metal or alloys are atomized in an inert gas
ticle size of less then 20 lm is preferred. Such binder. This process will take several hours, de- atmosphere at high pressure to give a spray of
powders are produced by carbonyl process or by pending on the section thickness of the product. liquid particles that is directed onto a substrate,
water or gas atomization. The applications of Catalytic debinding could reduce the debinding where they impinge, flatten into thin disks or
splats, coalesce, and solidify to produce a co-
herent deposit. The process gives a short route
from a melt to a product with fine grain size,
Steel freedom from segregation, and enhanced me-
powder Binder chanical properties. The product can be a strip
that can be subsequently hot and cold rolled, a
shape that can be forged, or a billet that can be
extruded or deposited on a cool substrate that can
be withdrawn as a continuous tube. The process
Premixing
offers a reduced number of operations and in-
Granulation creased material yields, resulting in significant
economic benefits (Ref 73). Many metallurgical
benefits are possible through rapid solidification
such as fine grain size, no segregation, and low
oxygen content for high-alloy materials. Spray
Hot mixing
deposition is also attractive for new alloy com-
Granules position, special products such as laminates, and
metal-matrix composites.
Debinding Mold
Spray forming in the Osprey mode has be-
come a viable technology for the production of
near-net-shape preforms. Scientific knowledge
has been utilized in process control and optimi-
Hot plunger
zation of spray forming. The process is being
Molding
developed commercially for the cost-effective
fabrication of tubular and billet-shaped products
from stainless steels, cast iron, and tool steels.
The alloys fabricated by spray forming fre-
quently exhibit improved mechanical properties
over ingot metallurgy products (Ref 74).
Sintering Sintered parts
High-quality seamless stainless steel tubes,
Fig. 16 Metal-injection molding process high-speed steels, and other high-alloy materials
with superior properties have been processed by the attainment of higher densities with reduced Residual Stresses in P/M Processing
spray forming. Efforts are also being made to pressing force, increased green strength, more
produce billets up to 400 mm in diameter and homogeneous density distribution, better dimen- Residual stresses are of considerable interest
1200 kg in weight by spray forming of D2 (1.5C, sional control, improved static and dynamic and importance to both basic and applied studies
12Cr, l.0Mo, 1.0V, wt%) cold-work tool steels. properties, and good hardening and machining because of their influence on the geometrical
Other tools steels such as T15 high-speed steel characteristics. The results of warm compacted conditions, processing parameters, and service
(1.5C, 4.5Cr, 12.5W, 5V, 5Co, wt%) and H13 Densmix powders heated to 130 C and com- behavior of products. They contribute over a
hot-work tool steel (0.4C, 1.5Si, 5Cr, 1.5Mo, pacted in heated tooling could achieve in pro- wide range from inhomogeneous microlevel
1V, wt%) are also being evaluated (Ref 75). duction scales of complex parts densities in the such as the lattice imperfections to homogeneous
Spray forming appears to offer a route for the range of 7.2 to 7.4 g/cm3 with 10 to 15% im- micro- and macrolevels. Many processes such as
manufacture of billet products with structures provement in mechanical properties (Ref 78). mechanical, thermal, chemical, or any combi-
equivalent or superior to remelted materials and The usefulness of warm compaction has been nation of these treatments can lead to the origin
comparable to P/M products. It is also expected demonstrated in the production of automotive of residual stresses. A variety of techniques such
that these materials will have enhanced forge- hubs for high-performance engines, helical as x-ray diffraction, ultrasonic, acoustic emis-
ability to convert the billet to final form. gears, gears with complex forms, spiral gears, sion, photoelasticity, nuclear magnetic reso-
lock components, and so forth. The warm com- nance (NMR) imaging, neutron diffraction, and
paction technology offers both technical and so forth have been used to evaluate residual
Warm Compaction economic possibilities to fill the gap between stresses. The Versailles project on Advanced
conventional single pressing and double pressing Materials and Standards (VAMAS), technical
Powder metallurgy end users are demanding
and extends the use of P/M into new applica- working area, has taken up residual stress mea-
densities higher than the traditional values of less
tions. surement using neutron diffraction. It is reported
than 7.1 g/cm3 and improved mechanical prop-
erties for ferrous P/M parts. Traditionally, that this is the only technique currently available
higher-density cores are obtained by copper infor nondestructive measurement of residual
filtration, double pressing and double sintering, Rapid Prototyping stresses deep inside components due to the high
high-temperature sintering, or by powder forg- penetration depths of neutron beams (Ref 80).
ing. However, these techniques involve second- More details about residual stresses, their origin,
Rapid prototyping (RP) processes allow for
ary processing and a significant increase in the measurements, and their contribution to various
the production of prototypes directly out of
cost of production. Relative costs of P/M pro- properties are reported in the literature (Ref 81,
three-dimensional computer-aided design
cesses versus part density is shown in Fig. 17 82) as well as in different sections of this hand-
(CAD) data. Complex shaped parts, including
(Ref 76). Warm compaction is a technique by book.
those with undercuts or hollow inserts, can be
which higher densities and improved mechanical In powder processing, residual stresses can be
manufactured without the use of molds or tools
properties are achieved by single compaction, generated during metal or alloy powder produc-
within hours. The three-dimensional description
using heated powders and tooling in the range of tion, blending, compaction, sintering, mechani-
of the object can be CAD design, computer to-
75 to 150 C, in a standard compacting press. cal working operations such as powder rolling,
mograph, finite-element analysis, or from the
When the powder is heated, the compressive forging, and extrusion, machining, heat treat-
digitization of a master pattern. The develop-
yield strength of the powder is reduced substan- ment, and special treatments such as coatings to
ment of stereolithography (SLA) has enabled use
tially, depending on the temperature, resulting in improve the performance of the product. An un-
of the digital information to create a part directly derstanding of the contribution of residual
higher densities at lower compaction pressures. from the CAD solid model. The file of the part
Since the powder and tooling are heated to 130 stresses is of considerable importance since these
is sectioned by a software program into thin hor- can influence the dimensional stability, distor-
to 150 C, special lubricants have to be devel- izontal slices. With the introduction of appropri-
oped to perform at these temperatures. However, tion, and properties during processing and end
ate process parameters, the part is manufactured uses resulting in adverse functioning of the com-
the enhanced lubricity of the lubricant at ele- by the RP machine. Subsequent to the introduc-
vated temperatures results in a lower amount of ponent and its reliability during service life.
tion of SLA process, other RP processes were The capability of powder metal processing for
lubricants of the order 0.6% instead of the tra- developed that convert powders into objects by
ditional 0.75% in conventional compaction, re- making production rates of finished and semifin-
using machine movements determined by algo- ished parts with good dimensional tolerances is
sulting in the attainment of higher green and sin- rithms that systematically section a computer
tered densities (Ref 77). Among the advantages considered to be one of the prominent economic
rendering of a part. The commercial RP pro- advantages. The effect of traditional P/M pro-
of warm compaction, mention may be made of cesses produce parts in layers using free-forming cessing at various stages on the dimensional sta-
material. Among the established RP processes, bility is shown in Fig. 18. It is evident that stages
mention may be made of laser sintering, selec- such as heat treatment decrease the dimensional
tive laser sintering (SLS), direct metal laser sin- stability, while stages such as sizing provide im-
tering (DMLS), laser cladding three-dimensional proved tolerances to the product. Furthermore,
printing, and multiphase jet solidification (MJS) as the number of processing steps increases from
(Ref 79). Most MIM powder materials can be the top to the bottom of figure the mechanical
processed by MJS. Excellent properties for 316 properties also increase. Although residual
stainless steel, where yield strengths double that stresses may originate and contribute to the di-
of wrought annealed bar with no sacrifice in duc- mensional stability and properties of P/M prod-
tility are routinely achieved by laser-based di- uct, relatively limited published literature is
rect-fabrication processing. A chromium/mo- available, and there is considerable scope for re-
lybdenum hot-work die steel, H13, was directly search and development in this underexplored
deposited for three-dimensional components, as area.
the material is commonly used for the die-cast-
ing tooling industry (Ref 80). This process can Powder Production
reduce the time for die production by about 40%.
Relative cost versus ferrous part density of sev- The advantages of RP include reducing the prod- Residual stress can originate during the pro-
Fig. 17 uct cost and development time for a new product. duction of metal and alloy powders by different
eral P/M processes
techniques. These include thermal gradients dur- stresses and reduce the apparent and tap densi- will have severe flow, and eventually the smaller
ing atomization of liquid metals, evaporation and ties, thereby creating problems during compac- particles will contain less severe flow and are
condensation, nucleation, and growth processes tion, uncontrolled dimensional change during more likely to withstand the severe strain re-
leading to micro- and macrolevel structural in- sintering, and hot consolidation, and may give quired for welding. These powders will have
homogeneties. The magnitude of microlevel rise to residual micropores in the final product, considerable residual stresses due to strain hard-
residual stresses in powders will increase in non- resulting in inferior fatigue and fracture proper- ening during the process and the heterogeneity
equilibrium processes such as rapid solidifica- ties of the product. in the microstructure of the composite powders.
tion or due to environmental interactions with Many commercial methods of production of Oxide-dispersion-strengthened iron-base alloys
oxygen, moisture, and so forth. The effects of ferrous powders by electrolytic and chemical for high-temperature applications are processed
cooling rates and secondary dendrite arm spac- methods require some amount of size reduction by mechanical alloying. A typical example is the
ing for production of metal powders for different by milling. In addition, high-energy milling Inconel alloy MA 956 with composition Fe-
atomization techniques are given in Fig. 4. Dif- operations are used to produce alloy and com- 20Cr-4.5Al-0.5Ti-0.5Y2O3, processed by me-
ferent techniques such as gas, water, ultrasonic, posite powders by nonequilibrium process such chanical alloying in bar, plate, sheet, tube, and
or centrifugal atomization can increase the cool- as mechanical alloying. Mechanical alloying is wire form (Ref 83).
ing rate from 10 to 106 K/s, thereby reducing the carried out in the solid state to synthesize alloy In addition to powder production, stages such
dendrite spacing from several microns to less powders of very different melting temperatures, as blending and mixing to prepare powders of
than 0.1 lm. This will have an effect on the nanocrystalline and amorphous materials, and a desired characteristics in terms of apparent den-
macro- and microsegregation as well as on the variety of metal and nonmetal composite pow- sity, or addition of lubricants and/or alloying
homogeneous micro- and inhomogeneous resid- ders. The process is carried out using elemental constituents such as carbon and other elemental
ual micro stresses in the powders. The level of or alloy powders with other constituents in high- powders prior to compaction can also introduce
residual stresses in powders is also influenced by energy mills such as large-diameter horizontal internal stresses to the powders. A longer mixing
the powder characteristics such as size, shape, ball mill, planetary mill, SPEX shaker mill, or time in an appropriate mixer device can lead to
internal porosity, surface conditions and reactiv- attritor. During the process, the collision of mill- more power consumption, cause excessive wear
ity of powder. More details about powder char- ing balls with powder particles and the container and tear of the equipment, and introduce internal
acteristics and powder production methods have and impeller results in the fracturing and welding stresses in the powder through strain hardening,
already been discussed in the earlier sections of of the particles. The repetitive deformation, frac- and the latter will adversely affect the compac-
this article. Now the defect porosity, which is turing, and welding of the particles during me- tion of the powders.
very much detrimental to the P/M processing, is chanical alloying produce an equilibrium com-
considered. Many factors during powder manu- posite powder structure in which the oxide or Compaction of Metal Powders
facturing such as alloy composition, reactivity, other added dispersoid and/or naturally occur-
melt temperature, viscosity and surface tension ring oxide films is about the same as the welded Residual stresses play an important role dur-
of the molten metal atomizing media, pressure, interlamellas. The laminated structure is further ing compaction in widely used P/M structural
design geometry of the atomization nozzle, flow, refined as fracture takes place and the thickness steel parts production. The compaction cycle for
surrounding atmosphere, and quenching rate can of the lamella is decreased. Schematic of varia- a single-level part is shown in Fig. 5. Application
contribute to the formation of porosity of pow- tion of properties with processing time during of pressure is followed by die filling with the
ders. Furthermore, the porosity in the powder in- mechanical alloying is shown in Fig. 19. As the upper and lower punches, and the powder par-
creases with particle size. The porosity in the processing time increases, initially welding pre- ticles will initially undergo rearrangement fol-
powder particles will increase the residual dominates in ductile materials with an increase lowed by elastic and plastic deformation. With
in the particle size, followed by size reduction the increase of pressure, the powder packing is
and a decrease in particle size. The lamellar improved, resulting in a decrease in porosity and
spacing decreases, while the hardness of the an increase in strain hardening of the powders.
Dimensional stability powder particle increases due to strain hardening The work-hardened materials undergo fragmen-
Decreasing Medium Increasing and improved distribution of dispersoids. The tation, resulting in further densification and bulk
mean strain at fracture of the particle initially deformation of the compact. After compaction,
Pressing decreases rapidly as the larger particles initially the upper punch is removed and the lower punch
Sintering
Welding
predominates
Heat Grinding predominates
treatment Sizing
Hardness
Variations in properties
Heat
treatment Resintering
Mean strain at fracture

Sizing
Particle size
Heat Lamellar spacing

treatment
Processing time
Fig. 18 Effect of P/M processing on the dimensional
stability Fig. 19 Schematic representation of variation of properties with processing time during mechanical alloying
is used to eject the compact, and the cycle is a sound green compact (Ref 86). Another factor compaction of powders based on the particle
repeated. During compaction, the powder parti- to be considered is the deflection in compaction modeling in three-dimensions, incorporating
cles undergo plastic and elastic deformation, and tooling. A better understanding of the densifi- plastic deformation of particles and experimen-
the component is constrained in the radial direc- cation of the powder and the resulting stress and tally measured interparticle friction. Simulations
tion by the die cavity. During ejection, more and deflections in the tooling will provide a means have been carried out for various types of com-
more of the component is freed from the die cav- of balancing deflection and springback, thereby paction such as closed-die isostatic and three-
ity, thereby the radial constraint is removed, avoiding some of the compaction defects. This dimensional compaction (Ref 90). Although the
leading to the springback to relieve the elastic is particularly important because of the tendency pressure/density relationship obtained agrees
deformation. When the compact is emerging to produce high-performance parts with higher qualitatively well with the experimental obser-
from the die cavity, it will expand in the hori- green densities where the density gradients and vation and also with the prediction of yield sur-
zontal direction due to internal elastic strain re- springback problems become increasingly com- faces, there is still much to be done to develop
lease accompanied by the weakening of the in- mon. Although the defects in the compacts are a realistic interparticle force low in the simula-
terparticle bond. If these stresses exceed the due to many causes and are interrelated in a com- tion to quantify with the experimental observa-
green strength of the compact, then the compact plicated way, the solution to quality problems tions. Generally, the optimization of the tool ge-
will develop cracks perpendicular to the pressing must be addressed in a simple relationship with ometry and the die sequence in net-shape powder
direction. The effect of strain hardening during leading causes. In this respect, tool stress moni- compaction is currently carried out incremen-
compaction of iron powder has shown three toringparticularly during pressure release and tally and empirically. Efforts have been made to
characteristic regions: an initial stage of rapid the ejectioncan provide useful information for develop a physically based micromechanical
densification, followed by an almost linear vari- identifying the main causes of cracks in the model of powder compaction to allow for the
ation in slope, and the third stage in which the green compact (Ref 87, 88). A majority of the computer-based design procedures. The volume
slope decreases rapidly. By incorporating the cracks originate primarily during consolidation density of the compact D is defined as a ratio of
strain hardening of the materials, the second prior to sintering, although some cracks may not solid volume to the total volume, and the defor-
stage of compaction behavior can be accurately become evident until sintering has occurred. mation of powder is viewed as the material in-
predicted, while the third stage is concerned with These defects can be eliminated if most of the dentation of powder particles. During the first
a mechanism incorporating the closure of micro- causes of cracks in green P/M components are stage of compaction when the density is less than
scopic defects and pores (Ref 84). In iron pow- properly understood and addressed. 0.8 D, the contacts between particles are as-
der, consolidation is promoted by the presence Nonuniform densification of metal powders sumed to be independent, and the plastic dissi-
of porous fines that deform readily and bind the during die compaction is a problem to be ad- pation by frictional sliding or by plastic flow is
larger particles. The irregular particle shape dressed for a better understanding of the process. small relative to the work done by indentation
causes a symmetrical loading between particles, Lower green strength may result from incom- (Ref 91). A contact law has been proposed for
creating shear stresses, interparticle sliding, and plete compaction or the development of residual the normal frictionless indentation of dissimilar
consequent frictional welding. The green stresses that may cause either compact failure on rigid viscoplastic spheres based on a self-similar
strength is developed by a combination of me- unloading or difficulty in subsequent handling. deformation and within the infinitesimal strain
chanical interlocking and frictional welding. Variations in densities may also interfere with regime (Ref 92). Further investigations have in-
During compaction, the transition from first subsequent processing through inhomogeneous cluded the effects of elasticity and finite defor-
stage to second stage occurs when the pressure sintering, infiltration, or deformation during mation. During the second stage of compaction
exceeds the bulk yield stress of the material, forging. The rate-independent models for pow- when density is greater than 0.8 D, the compact
which is when the plastic flow becomes homo- der compaction require a yield function to rep- is viewed as a porous body. In a recent study on
geneous instead of local. Hence the model of resent the transition from elastic to inelastic be- the micromechanics model of powder compac-
compaction assuming homogeneous plastic flow havior. The experimental results suggested that
tion, finite-element calculations have been used,
can become valid at the beginning of second the current yield functions characterized by an
taking into consideration the effects of die-wall
stage. In the case of gas-atomized spherical pow- elliptical shape in pressure-derivatic stress space
friction and the effect of material and friction
ders, plastic deformation occurs at the point of may be incorrect and that a yield function rem-
parameters on the final density distribution of a
interparticle contact, and the particle shape iniscent of granular behavior may be more ap-
syncor-hub and a valve guide (Ref 93). For a
changes from spherical to polyhedral with the propriate. Furthermore, the two state variables
compaction pressure below the yield stress of the density and interparticle cohesionare neces- highly constrained geometry of the valve guide,
material, indicating the first stage of compaction. sary to characterize yield (Ref 89). Simulation the relative density quickly reaches the value D
The plastic deformation and strain hardening of of compaction processes to predict the density 1 in the vicinity of sharp corners as a result
the powders during compaction have been con- distribution in compact and/or shape of the com- of shearing. A die wall friction of 0.3 leads to
firmed by x-ray diffraction and microhardness pact through constitutive equations has been at- the competition between sliding and shear yield-
analysis (Ref 85). In spite of the plastic defor- tempted. The two-dimensional simulation of ing near the wall. The top portion of the material
mation, the powders exhibited inadequate com- compaction behavior of powder by particulate is fully densified, and when the frictional resis-
paction and green strength on account of limited modeling has been improved by three-dimen- tance of the material becomes larger than the
interlocking, sliding, and frictional welding be- sional simulation that incorporates plastic defor- shear yield stress of the compacted material, the
cause of the spherical powder characteristics mation and actually measures interparticle fric- latter shear within in a thin layer and stick to the
leading to little or no shearing. tion. The constitutive equations applied to wall surface, leaving debris on the die wall. Be-
In rigid-die compaction, with the movement simulation of powder behavior in forming pro- cause of the less-confined geometry of the syn-
of punches in the vertical direction the green cesses using continuum approach could provide cor-hub, a high friction of 0.3 does not cause this
density within a compact decreases with increas- useful information on microscopic behavior of phenomenon. In addition, the variations in the
ing length of the compact, since the transmission powder assemblies such as density distribution, relative density of the syncor-hub are small in
of stress through the mass of powder will not be stress state, and shape of the compact during or the top wide portion and is of the order of 0.84
uniform. With increasing complexity of the after compaction process. However, the effect of to 0.86 of D, while the variation is larger in the
product, the die design and punches with mul- particle characteristics such as friction and co- thin outer cylinder. The final density distribution
tiple levels and motions will be more involved, hesion cannot be investigated, as these consti- is extremely sensitive to the choice of friction
and the problems related to residual stresses and tutive equations are not related to the particle coefficient, is moderately sensitive to the initial
their contribution during compaction also in- characteristics. The development of computers density D start and is insensitive to the reference
crease and should be tackled carefully to obtain has attracted further studies on the simulation of density Do and the elastic modulus.
Although computer simulation of die compac- in response to concentration gradient. Eliminat- of pores. However, this shrinkage can be influ-
tion has been investigated in the past, the coming the problem of shrinkage during sintering of enced by other factors such as entrapped gases,
mercial possibility has been explored seriously metallic powders in the solid state will be pos- which may expand resulting in an increase of
only recently. Finite-element analysis can be ap- sible with a better understanding of creep phe- volume. Other factors influencing the expansion
plied successfully to simulate powder die com- nomenon, viscous plastic flow, internal friction, include hydrogen reduction of surface oxides,
paction. However, the simulation of the com- and diffusion. and oxidation as a result of poor atmosphere con-
paction stage must account for the complex In the case of liquid-phase sintering, three trol. Shape changes can also occur due to vari-
mechanical behavior of the powder, as well as stagessuch as the rearrangement of the parti- ations in green densities of a component.
frictional interaction between the powder and cles of the residual solid phase by viscous flow Finer powder generally provides higher
tool set, including complex tooling motion in the in the liquid phase, dissolution and reprecipita- shrinkage than coarser material during sintering,
case of multilevel part geometry. In the relaxation processes, and coalescencecan be distin- but the apparent powder density and green den-
tion stage, the springback of the part is small, guished. A typical ferrous system of commercial sity of the former are lower than the latter pow-
but the simulation must also account for the importance in which liquid-phase sintering can ders. However, the atomic process in the fine
complex material behavior and friction, since lead to interesting dimensional changes is the powders takes place more rapidly during sinter-
this can lead to further densification of the pow- iron-copper system. During the sintering of iron ing because of larger surfaces, grain boundaries,
ders or green part failure as a result of cracking powder, shrinkage takes place at about 1150 C, and lattice distortions during compaction. The
or end capping. During this stage it is also nec- but the addition of about 2% Cu powder to iron initial stages of sintering at constant temperature
essary to take into account whether the part is powder will eliminate the shrinkage. At the sin- for a compacted nanometric iron powder of
within the die, since as it emerges from the tool tering temperature, the copper melts, enveloping mean particle size of 30 nm, giving a self-dif-
set radial straining takes place. All of the above the iron particles by the rearrangement process, fusion coefficient of D 6.1 1024 m2 /s at
stages are interdependent, and hence it is essen- which is accompanied by solution of iron from 325 C, provided an activation energy of 59 kJ/
tial that a fully integrated model is developed to convex parts of the surface and reprecipitation mol, which is four times smaller than the one
represent the complete process, which will enon the concave neck surfaces. The other process traditionally used for sintering microscopic pow-
able the industry to make products with consis- is the solution of copper into the c-iron, causing ders, that is, 239 kJ/mole (Ref 95). Thus, even
tent and improved properties. the expansion of c to leave small pores at the if surface diffusion is important and shrinkage
sites of copper and expansion of the compact. experiments cannot take this process into ac-
Sintering of Metal Powders Increasing the copper content from 2% to 8% count, mass flux between grain boundary and
the limit of solid solubility of copper in c-iron neck surface is an important process in the ini-
Some aspects of sintering including furnaces, at about 1150 C will allow maximum expansion tial-stage sintering of ultrafine powders.
atmospheres, and systems such as stainless steels of the compact to take place. This expansion of For a better understanding of the process, sin-
and tool steels, and other related high-tempera- the compact can be controlled by the addition of tering may be subdivided into three stages. The
ture consolidation techniques have already been 1% graphite, which will result in the formation first stage consists of solid-state sintering when
reported. This section emphasizes the material of ternary Fe-Cu-C eutectic liquid phase at a interparticle necks are formed by surface and
transport mechanisms, dimensional changes, the temperature lower than the sintering tempera- grain-boundary diffusion. In the second stage,
role of stresses, and process modeling. ture, leading to shrinkage and thereby counter- the particles are still connected by isolated con-
The materials transport during sintering of acting the expansion of the compact. In Fe-10Cu, tacts with open pore space, and the diffusion
powders is brought about by a combination of it has been reported that swelling of the compact field of the necks now overlap. With further den-
processes of surface, grain boundary, and vol- can take place by melt penetration. The addi- sification, the three dimensionally interlinked
ume diffusions. Since the diffusion rates are ex- tional melt in prior contact areas and at prior pore channels close at the narrow sections with
ponentially rated to temperatures, high-tempera- grain boundaries in the interior of the iron par- a transition to the third stage, which is charac-
ture sintering is being used for high-alloy steels, ticles caused dilation leading to microscopic terized by closed and isolated pores. The densi-
stainless steels, and tool steels to produce high- swelling (Ref 94). However, the melt penetration fication in the third stage is accompanied by
performance parts. Although changes in pore along grain boundaries can be suppressed if car- grain coarsening.
shape can occur very much faster by surface dif- bon is present in the alloy. During compaction, the powder particles are
fusion than by volume diffusion, the former can- During sintering of a green component, an- subjected to strain hardening and the extent of
not contribute much to the changes in pore vol- nealing, stress relieving, recovery, chemical re- strain hardening increases with increasing com-
ume and to the overall densification of the actions to form new phases or compounds, compaction pressure. In the initial stages of sintering
compact. Densification proceeds by a combina- position homogenization, shrinkage, and grain at lower temperatures, the particles will relieve
tion of volume and grain-boundary diffusion, growth may take place. On coolingdepending the strain hardening through recrystallization as
and significant reduction in pore size occurs on the systemchanges such as precipitation a result of annealing. However, the high shrink-
when the pores are connected to grain bound- hardening, or other phase transformation, chem- age rates of real compacts in the initial stage of
aries, suggesting that grain boundaries act as ical reaction, or the introduction of residual solid-state sintering cannot be explained with
sinks for vacancies. Thus, for high rate of sin- stresses in the product may be expected. In the diffusion as the elementary materials transport
tering the initial grain size can be reduced by initial stages of sintering atomic diffusion takes mechanism. This stage is characterized by the
reducing the particle size, but the chances of con- place, the particle contacts formed during com- existence and formation of high densities of vari-
tamination and bulk flow characteristics of loose paction grow, residual stresses are relieved, re- ous types of defects as well as high rates of den-
fine powders may restrict their utilization. Dur- crystallization and grain growth may follow, the sification. The quantitative defect analysis made
ing sintering, when the pores reach a limiting pores tend to become rounded, and the total po- on the basis of positron lifetime measurements
size they are unable to contribute to the grain- rosity decreases, resulting in densification. Con- demonstrates the existence of vacancy clusters
boundary migration resulting in grain growth, siderable emphasis is laid on sintering to obtain and dislocations as well as their time-related
and a reduction in densification will take place. maximum density, resulting in shrinkage, but density change and interaction (Ref 96). There
In multicomponent alloy systems, the reactions one of the advantages of P/M lies in the pro- is a drastic decrease of the mean defect density
to sintering depend on the relative surface en- duction of finished components requiring little and considerable shrinkage as well as a high rate
ergies, diffusion rates, and solubility of the con- or no machining. There are many factors influ- of shrinkage. The excess vacancies originating
stituents. When the constituents are extensively encing the dimensional change of a component in the course of restructuring the mechanical
soluble in one another, Kirkendall effects be- during sintering. The decrease in dimensions as contact into a high-angle boundary agglomerate
come significant and give rise to vacancy fluxes a result of densification is due to the elimination into clusters in the contact region. They interact
with dislocations introduced by pressing and pare different powders, alloys, and manufactur- fied formalism has been proposed, and an
newly formed dislocations in such a way that the ing processes to find the most efficient alterna- adapted numerical tool developed, integrating
viscosity of contact substance is lowered, and a tive to achieve the best dimensional precision of different models that can be compared among
cooperative materials transport mechanism will P/M parts. each other and tested against industrial practice
take place. On the basis of dislocation flow, this (Ref 102). These studies indicate that the con-
process should be assumed to allow the entire stitutive equations on numerical simulation
particle to move along with the softened contact Pressure Sintering and Hot Isostatic should be more precisely analyzed, and more ex-
boundary region, or if this mechanism is ex- Pressing perimental and theoretical investigations are
hausted then the contact substance flows into the necessary to improve the mechanical behavior of
pores in a dislocation viscous state. Studies on Hot pressing, hot isostatic pressing (HIP), and metal powders at high temperatures.
the solid-state sintering assume the transport other hot consolidation processes are potential
mechanisms of grain boundary and surface dif- methods for the manufacture of high-quality, Heat Treatment of P/M Steel Parts
fusion have developed constitutive equations us- high-strength steel, stainless steel, and tool steel
ing finite-element simulations of the sintering components. During hot pressing or pressure sin- Special consideration has to be given during
process for the three stages. Although some of tering of powder compacts, the stress gradients the heat treatment of sintered steel components
the predictions of the models are confirmed by and the stress level present are much higher than because of the presence of porosity. The harden-
experiments, particularly the dependence of the during pressureless sintering. The external pres- ability of wrought steel is primarily influenced
bulk viscosity on the density, the sintering stress sure applied may be in the range of a few to by the chemical composition and grain size,
and the ratio of the shear to bulk viscosity could several hundred MPa and will alter considerably while in P/M steel the hardenability is signifi-
not be predicted (Ref 97). the stress state caused by curved free surfaces of cantly influenced by the interconnected porosity,
Modeling of sintering phenomena has been coarse powders in the 100 lm range. These al- degree of sintering, graphite segregation, and so
developed from finite difference calculations of tered high stresses yield accelerated material forth. When a P/M steel part is quenched from
geometric details of necks between two particle transport by major mechanisms, which are active the austenitic range, the external surface may ex-
models to finite-element simulation of shrinkage during pressureless sintering and can provide ad- perience higher cooling rates than the interior,
of compacted powders. Earlier work on simula- ditional transport mechanisms as plastic defor- resulting in mixed microstructures and inconsis-
tions could explain some of the deviations be- mation and power-law creep. A volume reduc- tent hardness values. These variations are also
tween idealized and more realistic neck geome- tion of 30 to 40% may make the part susceptible related to the quantity and type of porosity
try and other deficiencies of analytical solutions to nonuniform shrinkage and nonhomogenous size, shape, open, or interconnectedand the
for describing neck growth and shrinkage. Later microstructural development and also can cause complexity of the P/M part. When the porosity
came the development of sintering diagrams in considerable differences in local deformation. In is eliminated by forging of P/M parts, the heat
which dominating mechanisms for neck growth HIP the powder is packed in a thin shell con- treating practice will be the same as for those of
and shrinkage were outlined as a function of tainer in the form of a preform, the gas pressure conventionally processed steel of similar com-
temperature and neck radius or time (Ref 98). is applied, and the temperature is raised. During position.
However, the predictions from these simpler ge- this operation, the densification is not uniform The heat treatment of full-density P/M prod-
ometries were found to be deviating when quan- because heat diffuses into the powder, the hotter ucts including tool steels and problems related
titatively applied to real experimental results surface layer sinters faster than the interior, giv- to dimensional change and distortion is consid-
where particles of different sizes, irregular ing a denser skin. Heat is conducted through this ered next. The quenching may experience large
shapes, and of heterogeneous packing character- dense layer faster than through the less dense temperature differences between surface and in-
istics. Furthermore, the data collected from sim- interior, thereby further adding to the tempera- terior and between light and heavy sections,
ple and independent experiments will differ from ture difference between the surface and interior. which can create shape distortion because of the
those of the powder particles with considerable This will result in a densification front propa- thermal and mechanical stresses produced by
lattice defects and surface contamination. Sev- gating inside, leading to large changes in the martensitic transformation. This problem is ag-
eral groups are working on the development of shape. A simple one-dimensional model for cou- gravated if the hardenability of steel is so slow
advanced numerical models for simulating solid- pled heat flow to a hydrostatic pressure gas has that a fast cooling rate is required to get the full
and liquid-phase sintering (Ref 99). However, it been successfully developed (Ref 101). How- hardness. For controlling the distortion of the
is necessary to check the physical soundness of ever, modeling of the densification of three-di- part, special quenching procedures such as mar-
analytical and numerical approaches before their mensional bodies during HIP when rapid den- tempering and austempering may be useful. If
application to industrial practice. These studies sification of one part of the body may constrain permissible, localized methods of heating and
have already led to the prediction of distortion the remaining part in a way that inhibits densi- quenching such as flame hardening, induction
of sintering parts with complex shapes on the fication, leading to unexpected changes of shape, hardening, electron beam, or laser hardening will
basis of appropriately fitted parameters in the is yet to be worked out. The mechanisms that be helpful to reduce the distortion.
constitutive equations. contribute to the different stages of densification The presence of retained austenite in heat
The demand for better-quality P/M compo- have been identified and studied. However, it is treated tool steel can slowly transform and pro-
nents with minimum dimensional scatter is in- necessary to check and refine the calculations. duce distortion if the materials are subsequently
creasing, and secondary operations such as siz- Furthermore, the materials properties are so vari- heated or subjected to stresses. Tool steel prod-
ing will increase the production cost. able that a refining process in which equations ucts such as gages and blocks must retain their
Furthermore, it is difficult to carry out the sizing are to be calibrated to the results of real industrial exact size and shape over long periods. If the
operation on high-strength P/M components be- HIP process. composition of tool steel provides the required
cause of their high hardness. The requirement of The HIP process is expensive, and it is very hardness after tempering at relatively high tem-
lowest cost coupled with high strength makes it difficult to predict the shape and density of the perature, then it is possible to reduce the amount
necessary to improve the dimensional tolerance final product. Finite-element calculation of the of retained austenite and the internal stresses by
for P/M parts after sintering. The dimensional thermodynamic behavior of the powder has multiple tempering. The first tempering reduces
scatter on P/M component can be estimated by proved very useful to optimize the process and the internal stresses and conditions the retained
using a mathematical model that includes the may result in important savings on energy and austenite so that it can transform to martensite
variations in mix composition and important materials. Theoretical and experimental work on cooling from the tempering temperature. A
compacting and sintering variables (Ref 100). has been carried out using appropriate constitu- second or third tempering is carried out to reduce
By using the model, it is now possible to com- tive equations for numerical simulation. A uni- the internal stresses set up by the transformation
of retained austenite. In plain carbon and low- brazing, welding, and so forth prior to heat treat- pressive surface residual stresses on the green
alloy steel that must be tempered at low tem- ment. These are removed by a stress-relieving compacted gear. A slightly higher residual-stress
perature to achieve the required hardness, single treatment in which the material is heated, and the value obtained after sintering is attributed to the
or repeated low temperature treatment below steel will yield plastically when the hot yield limited oxidation registered at the end of sinter-
martensite finish (Mf) temperature can cause strength is equal to the residual-stress level. ing. A more pronounced increase in residual
most of the retained austenite to transform to The P/M processing of steels, stainless steels, stress is evident after carburizing the gear. It is
martensite. The low-temperature treatment is and tool steel is discussed in other sections of concluded that x-ray diffraction is a useful tool
carried out in a commercial refrigeration unit at this article. Powder metallurgy steels, are pro- for strict control at different production stages of
about 70 to 90 C, either before or after the duced from water- or gas-atomized alloy steel P/M technology (Ref 104). Special attention is
first temper. If the tool materials tend to crack powders by compaction, sintering, high-tem- to be paid during heat treatment to minimize the
because of the additional stress induced by di- perature sintering, extrusion, forging, or HIP. percentage of residual austenite and the compo-
mensional expansion during low-temperature Powder metallurgy tool steels have significantly nent geometry, as the latter can influence thermal
treatment, it is preferable to carry out the treat- improved toughness and grindability over con- shrinkage during quenching of the gear. The re-
ment after the first tempering of the tool. When ventionally processed tool steels. Powder met- sidual austenite and thermal shrinkage can influ-
the low-temperature treatment is applied after allurgy tool steels are free from macrosegrega- ence the surface residual stresses to a great ex-
the first temper, the amount of retained austenite tion and porosity and are characterized by tent.
that transforms the treatment may be consider- uniform distribution of extremely fine carbides. Although P/M technology has been used to
ably less than that desired because some of the Microstructures of P/M T15 and conventional produce net-shape products of various sizes and
austenite might have been stabilized by temper- T15 high-speed tool steels are shown in Fig. 20 shapes, frequently it is necessary to use second-
ing prior to low-temperature treatment, and in (Ref 103). The conventional tool steel (b) micro- ary machining operations to obtain the final
such cases the tools must be retempered after structure consists of coarse carbides and carbide product as discussed earlier. Some of the P/M
return to room temperature following low-tem- segregation while the P/M microstructure (a) is products are also resin-impregnated in order to
perature treatment so as to reduce the internal characterized by finer carbides with uniform dis- seal the porosity for specific applications. These
stresses and to increase the toughness of the tribution. These characteristics are favorable for resin impregnated products have improved
newly formed martensite. It is desirable in some providing deeper hardening, less distortion, machinability, but not much information is
tools to retain a small percentage of retained aus- higher hardness, and faster response to heat treat- available regarding the level of residual stresses.
tenite for improving toughness and providing a ment and are particularly useful for molybde- Investigations have been carried out by con-
num-containing high-speed steels, which tend to ducting drilling experiments to compare the re-
favorable internal stress pattern that will help the
sidual stresses in P/M products with and without
tool withstand the service stresses, and in such decarburize rapidly at the austenitizing tempera-
resin impregnation (Ref 105). Residual stresses
cases it is necessary to avoid the full stabilizing ture. The out-of-roundness of heat treated con-
were measured by using an advanced x-ray stress
treatment. ventional AISI M2 and P/M ASP 30 tool steels
analyzer based on solid-state linear image sensor
Distortion of the tool steel can also occur due are shown in Fig. 21 (Ref 103). It is evident from
technique that enables conversion of x-rays di-
to a higher austenitizing temperature or due to the figure that the out-of-roundness distortion of rectly into electrical signals. The basic system
surface chemical reactions. Higher-temperature P/M tool steel is substantially lower than that of consists of a goniometer and is capable of mea-
austenitizing of tool steel will lead to grain the conventional tool steel. Powder metallurgy suring residual stresses in metallic materials
growth and more stabilized austenite. These con- also enables production of grades that are diffi- without conducting 2h scanning of the detector.
ditions, along with larger thermal gradients dur- cult to produce by the conventional method and The x-ray tube has a maximum output of 2 kW
ing heating and quenching, will result in irreg- also newer grades with more alloying additions and can measure residual stresses in microareas
ular dimensional changes of the products. to provide improved properties. by means of a small focal spot size capability.
Surface reactions such as carburization and de- Surface hardening by carburizing is used to An integrated PC-based control system is used
carburization can change the surface temperature enhance the fatigue strength and tribological for measurement, data collection, analysis, and
and subsurface transformation, causing com- properties of P/M steel gears. The surface-hard- display of results. The analysis of the results in-
pressive or tensile stresses leading to cracking or ened layers are characterized by microstructural dicates that the magnitude of residual compres-
distortion. Residual stresses can also originate and microhardness evaluation along with resid- sive stresses increases with resin impregnation,
from mechanical or thermal treatments such as ual-stress measurement by x-ray diffraction. The and the machining of resin-impregnated parts
forming, grinding, and machining, or during results of the analysis indicate moderate com- produces even greater residual compressive
stresses compared to nonimpregnated machined
parts. These findings are of significant value in
understanding machinability and mechanical
properties of sintered steels.
Fig. 20 Microstructures of high-speed tool steel. (a) CPM T15. (b) Conventional T15. Carbide segregation and its Fig. 21 Out-of-roundness measurements on test disks
detrimental effects are eliminated with the CPM process, regardless of the size of the products. Source: Crucible after hardening. (a) Conventional, AISI M2. (b)
Material Corporation P/M high-speed tool steel ASP 30
Other P/M Processes sification of injection-molded M2 tool steel, tak- terest, as in the case of the coarsening of coherent
ing into consideration sintering densification, precipitates. The equilibrium morphology of a
Dimensional changes, defects, and residual distortion, and microstructure coarsening (Ref coherent precipitate is dictated by the interfacial
stresses are also important in P/M processes 107). During heating, solid-state sintering occurs free energy and the elastic strain energy. Com-
such as metal infiltration, spray forming, warm initially, followed by liquid-film formation and putational technique has been used to analyze the
compaction, MIM, and rapid prototyping. How- spread on the grain boundaries, resulting in rapid elastic state associated with arbitrarily shaped
ever, very limited investigations have been car- grain growth. A time-temperature sintering win- precipitates whose elastic constants are different
ried out in the area of residual-stress evaluation. dow is computed for full density without exten- from those of the matrix phase. Earlier ap-
Metal infiltration of ferrous materials is carried sive carbide coarsening or shape distortion. The proaches failed to describe the coherency strain
out using copper-base alloys. The infiltrant is simulation compares favorably with distortion accurately. Recently, a new technique termed the
placed in contact with the green ferrous compact and densification findings of this steel, and is discrete atom method (DAM) has been devel-
and sintered at a temperature above the melting characterized by a narrow sintering window. oped to examine the general coherency problem,
point of the infiltrant. The sintering of iron par- The problems related to the dimensional based on chemical statistical mechanics and lin-
ticles is promoted by the infiltrant drawn into the changes and stress levels in warm compaction ear elasticity (Ref 109). The DAM appears to be
ferrous compact by capillary action. Infiltration are of a different magnitude in relation to cold an answer for the study of predicting micros-
can also be carried out as a second step after the compaction. The expansion of the green compact tructural evolution in many stressed alloy sys-
sintering of the green ferrous compact. The po- for equivalent density is lower for warm com- tems.
rosity can be partly or completely eliminated by paction, because lower compaction pressures are The phase decomposition behavior from d to
infiltration, resulting in improved density and required to achieve the same density. However, (d c) phases at elevated temperature has been
mechanical properties of the product. However, as the green density increases, since the final investigated in the two-phase stainless steel
as discussed in the sintering of the iron-copper green densities of the warm compacts are higher powder of Fe-24Cr-8Ni alloy, associated with
system, care should be taken to avoid the growth than cold compacts, with the increased density the amount of strain stored through mechanical
as well as the possibility of surface erosion of the tooling load will increase, resulting in greater alloying. Mechanical alloying was carried out in
the compact. Adequate measures should be taken expansion of the product. Again, with the in- a vibrating ball mill, and with increasing milling
to avoid the contribution of residual stresses as crease in tooling loads it is necessary to use time the strain stored within the d powder in-
a result of liquid-solid transformation of the in- thicker stress rings for greater tool deflection. creased and the hardness increased from 250 to
filtrant on cooling. Adequate care should be taken for the increased 600 HV for 360 ks milling, without any change
Metal injection molding consists of stages expansion as the same can cause microlamina- in the crystal structure of the powder. An allo-
such as mixing, molding, debinding, and sinter- tions particularly in multilevel parts. Microlam- tropic transformation from d to c can be induced
ing. The densities of the MIM green compact can ination can lead to reduced structural integrity of by heating the powder to high temperature, ow-
be as low as 50% in comparison with about 80% the sintered product. A major advantage of warm ing to the increased driving force in c nucleation,
green density of the traditional P/M part. One compaction is not only the attainment of in- prior to the equilibrium-phase decomposition to
way of reducing the distortion is to provide a creased density, but also the increased unifor- (d c) phases. The strain energy stored through
higher green density by using a higher powder mity of density, which will result in increased mechanical milling can influence the allotropic
volume in the feedstock with a wider particle load-carrying capacity of the component. d-c transformation, resulting in grain refinement
size distribution in order to obtain a high packing The management of residual stresses and re- (Ref 110). At temperatures higher than 1300 K,
density. To obtain the desired dimension of the sultant distortion is an important factor in the the microduplex structure of (d c) markedly
final product, the mold dimension is kept over- rapid prototyping of three-dimensional compo- coarsened, but addition of the 2 vol% of alumina
sized, and the solids loading and final densities nents. The chromium-molybdenum hot-work powder was found to be very effective in sup-
will govern the extent of oversize. The isotropic H13 die steel is widely used by the tool and die pressing grain growth.
linear shrinkage (LS) for the molded dimension industry, but at the same time it is a difficult The influence of residual stresses on recrys-
to the sintered part dimension (Ref 106), can be alloy for direct-metal deposition because of the tallization has been a controversial issue (Ref
given by: residual-stress accumulation from martensitic 111) and recently this has been investigated in
transformation. Direct-metal deposition of H13 oxide-dispersion-strengthened mechanically al-
LS 1 [Di(1 WL)/Df]1/3 tool steel was carried out with a laser power of loyed sheet steel MA 956 containing 20.8Cr,
1000 W and powder feed rate of 5 g/min for fine 5.0Al, 0.5Y2O3, and 0.5Ti. Mechanically alloyed
where Di is the density of green molded part, Df processing. The thickness of each deposited powders were hot isostatically pressed, and the
is the density of sintered part, and WL is the total layer was 250 lm, and the pattern was repeated billets were cold rolled to produce 0.5 mm thick
weight loss from molded to the sintered part ex- to create a three-dimensional component (Ref sheet. These were annealed at temperatures be-
pressed as a fraction. 108). Since residual-stress accumulation is the tween 1300 and 1380 C, and the recrystalliza-
The mold shrinkage factor is (green dimen- biggest cause of cracking, an estimation of re- tion was established by light and transmission
sion/sintered dimension) 1/[1 LS]. How- sidual stress per layer was first established. After electron microscopic investigations (Ref 112).
ever, for complex components the mold shrink- the deposition of a predetermined number of lay- Recrystallization initiated rapidly at the sheet
ages are not isotropic. The anisotropic shrinkage ers, stress relieving was carried out before fur- center line, designated as stage I, resulted in
arises due to variations in powder orientation, ther layers were deposited. This strategy is useful plate-shaped grains oriented parallel to the roll-
binder orientation, nonhomogeneous powder/ in the fabrication of a full-size component. Thus, ing direction at the sheet center line. Stage II is
binder separation, gravitational force, thermal understanding and estimation of residual stress characterized by slower planar growth through
gradients during sintering, and so forth. In such play an important role in the successful fabri- the sheet thickness and finally a very coarse
cases, the mold shrinkage factors for each par- cation of three-dimensional components by di- grain structure, sometimes with a single grain
ticular dimension are to be evaluated by initial rect metal-deposition of alloys such as H13 tool through the sheet thickness. The recrystallization
trials. The debinding process should be selected steel. kinetics are characterized by incubation time
carefully, and the debinding cycle has to be op- with an activation energy of 506 kJ/mole fol-
timized so that the product is free from macro- Microstructural Development and lowed by a decreasing rate of boundary migra-
scopic defects such as blisters, cracks, and so Properties tion with further increasing time and tempera-
forth, as well as from microscopic defects arising ture. The microstructural evolution is further
out of powder segregation. Computer simulation Microstructural development of elastically discussed in terms of residual stresses, defor-
has also been carried out for the sintering den- strained crystalline system has been of great in- mation texture, dislocation structure, and oxide
dispersion on the recrystallization process. The Surface rolling could improve the fatigue Conclusions
center-line-initiated recrystallization might be strength by a factor of 1.6 in the case of sintered
attributed to the residual compressive stresses at Fe-1.5Cu alloy and a factor of 1.3 in the case of The P/M process has emerged as an advanced
the center line of the sheet, although the com- Fe-8Ni-1Mo-0.5C alloy (Ref 115). The improve- manufacturing technology for the mass produc-
pressive stresses are maximum at the surface of ment is caused by interactions such as surface tion of precision parts for general engineering,
the sheet as determined by hardness measure- densification, increased hardness, improved sur- automotive, electrical, electronic, and aerospace
ments. The residual-stress profile from the sheet face roughness, and buildup of compressive re- industries. The process has become competitive
surface to the center line indicates that compres- sidual stresses. The residual stresses were deter- with other metalforming technologies, and there
sive stress at 725 MPa was measured at the mined by x-ray, and through-thickness is a continuous growth in the areas of steels,
surface, while the same becomes negligible at a residual-stress measurements were carried out by stainless steels, tool steels, and metal-matrix
depth of 0.02 mm. Two opposing regions of ten- incremental removal of very thin surface layers. composites, which are difficult or impossible to
sile stress, which balance the compressed stress, The hardness of high-strength alloy steel is much produce by conventional methods. The growing
were broader, ranging from 0.02 to 0.19 mm higher than that of iron-copper alloys because of powder-processing technologies include warm
with a peak tensile stress of 80 MPa. The re- the higher content of martensite. The maximum compaction, liquid-phase sintering, high-tem-
maining region around the center line of the values of the compressive residual stresses at the perature sintering, hot isostatic pressing, powder
sheet is slightly compressive at 20 to 30 surface of as-sintered states were caused by sur- forging, metal injection molding, and rapid pro-
MPa. The high surface compressive stresses are face machining. However, when the surfaces are totyping.
consistent with the highly deformed near-surface rolled, the compressive residual stresses are no Studies of residual stresses during the various
areas of the sheet as indicated by the high-den- longer determined by prior machining, but by the stages of powder metal processing are very fas-
sity shear bands. This unique recrystallization level of yield stress and rate of densification, and cinating and important from the view point of
process in MA 956 sheet appears to be influ- therefore these values are higher than those of producing quality products. These include the
enced by the strong deformation texture gradient the sintered and machined surfaces. The amount production of metal powders by atomizing, non-
and powerful high- and low-angle boundary pin- of improvement in fatigue life is related to the equilibrium processing such as rapid solidifica-
ning by the fine oxide dispersions. stress-concentration factor, and the compressive tion and mechanical alloying, compaction of
In the development of new types of high-tem- residual stress fields at a depth of 0.2 to 0.6 mm metal powders, sintering, hot pressing and hot
perature materials for the propulsion system and will retard the propagation of surface cracks. isostatic pressing, heat treatment and working
so forth, there is a need to withstand severe heat- In the development of high-strength powder- such as powder forging, and other P/M pro-
ing and oxidation along with a steep temperature forged connecting rods, the fatigue strength is cesses. However, only very limited investiga-
gradient. Appropriate combination of function- governed by the surface defects such as decar- tions have been carried out in P/M processing,
ally gradient materials is a possible solution to burized layer, surface roughness, and nonsin- and the major reported areas include heat treat-
withstand such severe conditions. Functionally tered areas. The nonsintered area is attributed to ment, microstructural evolution, and increasing
gradient materials from 304 stainless steel pow- defective bonding caused by oxidation of the in- the fatigue life of sintered and powder-forged
ders and stabilized zirconia (ZrO2-3mol%Y2O3) terface in the manufacture of connecting rods. components. In these cases, the residual-stress
have been prepared by hot pressing. These ma- The oxidation may begin at the surfaces and pro- measurements have been carried out using hard-
terials were evaluated by burner heating using ceed deeper during the transfer of porous pre- ness and x-ray techniques, and more powerful
H2 /O2 combustion flames. The heat insulating forms, heated to high temperature, from the sin- techniques such as neutron diffraction are yet to
properties of these materials were satisfactorily tering furnaces to the forging die in the normal be investigated. There is a need to develop pre-
evaluated by the thermal resistance value, but the atmosphere. Controlling nonsintered areas and diction methods and measurement techniques for
sample surface developed cracks during the imparting residual compressive stresses to the residual stress measurements in P/M products,
cooling cycle (Ref 113). Thermal-stress analysis surface are found to be the most effective means and a better understanding of optimized residual
showed that compressive stress in the biaxial of improving the fatigue strength (Ref 116).The stresses can offer benefits such as enhanced ser-
state was generated in the areas channeled by compressive stresses are produced by shot peen- vice behavior and reliability to the components.
combustion flame at the sample surface, yielding ing, which could improve the fatigue strength by
appreciable plastic deformation, which is re- about 30% and could result in the production of
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Residual Stress Formation and

Distortion of Rail Steel
F.D. Fischer and G. Schleinzer, Montanuniversitat Leoben, Austria
RESIDUAL STRESSES AND DISTORTION profile with an initially spatially constant tem- stress state and the distortion of the rail because
OF RAIL STEEL are important to security and perature distribution results in a strong inho- the authors investigated a single rail in vertical
comfort in railway traffic. In fact, some derail- mogeneous temperature field and a thermal position; however, its merit has been to show a
ments were found to be initiated by residual stress state. If the rail is free from external con- way of applying FEM to this difficult problem.
stresses, and the buckling of rails has already straint, of course, neither a resultant moment nor To the knowledge of the writers the most com-
caused some serious accidents. Fortunately, a resultant force can appear due to pure cooling. prehensive numerical study was presented in a
great disasters are a rare occurrence in railway Although the understanding of such a tempera- thesis by Hinteregger (Ref 4). Two accompa-
traffic. Still wear, and thus maintenance costs, ture field is of a certain technical interest and nying papers were published, one dealing mainly
are influenced by residual stresses. Due to in- has been a topic of research for many years, little with the transient temperature field and the re-
creasing speed and rising wheel loads of freight literature exists on the residual stress state due lated residual stress state in a rail profile (Ref 5),
cars, more and more research interests have been to cooling. We use the word certain, because and the second paper considering long rails and
directed to the railway system, and railway ad- some experts argue that only the stress state after the variation of the residual stress state along the
ministrations demand straightness and low ten- the roller straightening process, which follows rail (Ref 6). After the discussion of the tempera-
sile oreven bettercompressive residual the cooling process, is of any relevance. How- ture field and the method for calculating the re-
stresses in the head and in the foot near the sur- ever, if one wants to understand why the rail is sidual stress state, the problem of long rails, the
face to improve crack growth resistance. curved after cooling and if there are ways to re- rail end problem, is treated again in detail. Fur-
In Fig. 1 different steps of the life of a rail are duce the curvature as much as possible, one has thermore, it should be mentioned that mainly the
illustrated. Two production steps in particular of- to study the cooling process very carefully. Ev- results of Hinteregger et al. (Ref 6) are discussed
fer the possibility of enhancing the properties of idently, the curved size after cooling is the input in this chapter. Of course, finer meshes would
a rail of given metal composition (i.e., the cool- information for the straightening process. The be applied today; however, the concept followed
ing process and the straightening of the rail). Of residual stress state due to cooling, however, is can be considered as absolutely up-to-date. Also,
course, nobody expects significant deformation fully eliminated during the straightening pro- a distinct rail profile must be assumed for the
during the service of a rail (that is, the defor- cess. numerical calculation. The widely used UIC54E
mation of a rail under wheel loads); thus, the One of the first papers dealing with residual profile is applied. The thermal material behavior
residual stress state is highly influenced by the stresses in rails after cooling was published by of this fine pearlitic material can be found in Fi-
very localized nature of the stresses caused by Mayer in the 1930s (Ref 1). Mainly experimental scher et al. (Ref 5). The austenite to pearlite
wheel/rail contact. In the case of a wavy or work is reported. The method of cutting the rail transformation occurs during cooling between
rough rail surface (e.g., due to asperities), the profile into small square columns (the section- ca. 690 C and 610 C. The rail is represented
localization of the contact is even stronger. ing method) was used, which obviously is too by a layer of generalized plane-strain elements
inaccurate to give a really clear picture. A paper (see the mesh in Fig. 2). The base plane of this
later published by Asbeck et al. (Ref 2) also dis- layer is defined to remain in the plane of the
The Cooling Process cusses experimental results. coordinate system. The cover plane, however,
One of the reasons for the near-absence of nu-
The main geometrical feature of a rail is ob- merical and analytical work on residual stresses
viously the fact that it has only one symmetry in rails is the difficult geometry. Therefore, the
with respect to a plane orthogonal to the rail foot. first real progress toward a better understanding
In addition to the single symmetry, the mass dis- of the history of the residual stress state and the
tribution along this plane varies significantly. deformation of the rail could be achieved by ap-
The rail head represents a mass concentration of plying the finite element method (FEM), as in
roughly square shape. However, the web and the one of the first works in this field by Marcelin et
two halves of the foot can be approximated by al. (Ref 3). This paper could not provide a clear
plates. Inevitably the cooling process of a rail picture about the development of the residual
Metal Mounting
Hot rolling Cooling Straightening
composition and welding
Fig. 1 A rail from production to service Fig. 2 Finite element mesh. Source: Ref 4
dependence of the heat conductivity k, the spe- surface radiates to another area of the same body.
(1) cific heat capacity cp, and the mean coefficient Because of the small temperature differences the
(3) of thermal expansion m as a function of the cur- heat flux by self-radiation is rather small. There-
(2) rent temperature T, m (T), expressed by: fore, mainly the radiation into the surroundings
is of interest. The heat flux is governed by
T (Ref 8):
m
Tref
(H)dH/(T Tref) (Eq 1)
ri,j ui,j ei ej r Ai(T i4 T j4)
Q (Eq 4)
Fig. 3 Rails on the cooling bed. Source: Ref 4
where (H) is the instantaneous linear coeffi-
cient of thermal expansion at temperature H in- and
may displace in the longitudinal direction and cluding both the temperature-induced and the
may also rotate with respect to a rotation vector, transformation-induced volume changes. Tref is
which is fully free. The global equilibrium con- chosen to be 900 C. ui, j 12(sin 1 sin 2) (Eq 5)
ditions enforce no resultant longitudinal force, As mentioned, the austenite-pearlite transfor-
no shear force on the cross section and no re- mation takes place in the temperature range be- where Q ri, j is the heat flux from the plane i to the
sulting moment. Consequently the rotation of the tween 690 and 610 C. The latent heat q in W/ plane j; ei,ej are the emissivity coefficients; r
cross section, and thus the distortion of the rail, m3 set free during this phase transformation can 5,67 108(W/m2K2) is the Stefan-Boltzmann
can be calculated. The thermal boundary condi- be represented either as a heat source on the right constant; Ai is the area of plane i; Ti,Tj are the
tions are explained in the next subchapter. All side of the heat conduction equation or, approx- temperatures of the planes i and j, respectively;
calculations (thermal and mechanical) were per- imately, by an artificial increase qDcp of the spe- ui,j is the radiation shape factor; and 1,2 are
formed with the program ABAQUS (Ref 7). cific heat capacity qcp according to the relation the angles between the normal of the examined
The Cooling Boundary Conditions and with the time t: element and the tangent to the rail surface as
Heat Transfer. It is assumed that the tempera- shown in Fig. 5.
ture of the rail is spatially constant at 1030 C T T The comparison between the total heat flux
(1303 K) over the entire cross section at the be- q(cp Dcp) div(k grad T) q qcp and the heat flux due to radiation into the sur-
t t
ginning of the cooling procedure. This is the div(k grad T) roundings after 6 min cooling time is shown in
measured surface temperature after the rail has T Fig. 6. The numbers indicate the fraction of heat
left the rolling mill. Cutting and transportation qDcp q (Eq 2) flux into the surroundings in percent. On the
t
take usually about 4 min until the rail reaches lower side of the rail head 87% of the total heat
the cooling area. Most of the rails cool down flux is radiated into the surroundings. The other
with contact and thermal interactions with the DT q Dt part is the heat flux from the head to the web and
qDcp q qDcp (Eq 3)
neighboring rails as shown in Fig. 3. A single Dt DT the foot, respectively. The surface temperatures
cooled rail is a special case that rarely occurs in at the web and the foot are lower than the head
the course of rail production. This practice was applied in the study explained temperature, and therefore, the heat flows from
At temperatures higher than 500 C cooling is here. the head to the other points.
mainly determined by radiation. Heat transfer by Each point of the rail surface absorbs or trans- A positive heat flux leaves the body. The total
convection becomes more important at lower mits energy by radiation to the surroundings and heat flux in a point at the web is the sum of the
temperatures. Figure 4 shows the temperature by self-radiation, which means that an area at the positive heat flux by radiation into the surround-
ings and the negative heat flux by radiation from
the neighboring areas of the profile. Because the
Cp ( kgkJ K ( K ( mW K ( k(K 1) total heat flux is smaller than the heat flux into
25.016
the surroundings, values greater than 100% may
1.0 50
Cp
k
1
0.8 40 20.016 2 3
4
m 5
6.1
0.6 30 15.106 6
= 15
2 = 83
10.106 7
0.4 20
0 200 400 600 800 1000 1100 8
9
Temperature, C 10
12 11
15 14 13
Fig. 4 Dependence of the heat capacity, cp; conductivity, k, and the mean coefficient of the thermal expansion, m,
on temperature. Source: Ref 4 Fig. 5 Angles 1 and 2. Source: Ref 4
occur. The heat flux leaving the body is approx- the air at different temperatures are given in Hol- for a horizontal plane facing upward, and
imately the same as the heat flux entering the man (Ref 8) as:
body in a point at the rail foot. The total heat 1/5
L
1/4 DT

flux is very small or zero, due to a thermal in- DT h 1.61 (Eq 9)
h 1.42 (Eq 7)
sulation, symbolized in Fig. 6 by two thick lines L
at the foot surface. The percentage tends to in-
for a vertical plane, for a horizontal plane facing downward. DT (C)
finity in this area.
The heat transfer is predominantly conductive 1/4 is the temperature difference between the surface
L
DT
in the contact area to the neighboring rails. This h 1.32 (Eq 8) and the ambient temperature; L is the vertical or
fact is taken into account in the computer model horizontal dimension (m). The unit of the heat
by combining the head and the foot surface of transfer coefficient h is W/(m2K).
the same rail with six node interface elements No further details are given with respect to the
for heat transfer, as symbolized in Fig. 6 by the 2o calculation procedure because a transient tem-
shaded area. perature calculation is now state of the art. For
Below 500 C convection becomes more and 3o more information see Ref 7. It should be men-
more relevant. The heat flux Q ci from a plane to tioned that the thermal and mechanical processes
the surroundings is defined as: are uncoupled in so far as the thermoelasticity
6o effect (contribution to entropy via strain energy)
1 4o 5o
ci Aih(T ) (Te T )
Q (Eq 6) is neglected since it is of no practical relevance.
The cooling process starts with free cooling
where h(T ) is the heat-transfer coefficient, and during the first four minutes. Then an interaction
4u
Te is the temperature of the surroundings. It is 7 takes place with the neighboring rails at the same
convenient to approximate the contour of the 5u temperature level (Fig. 4, 8). After 100 min the
3u
cross section by straight lines for calculating the surface temperature reaches approximately 200
heat-transfer coefficients (Fig. 7). Simplified em- 2u 6u C, and the rail is lifted off from the cooling area.
pirical relations for the heat transfer coefficient The cross section has reached ambient tempera-
Fig. 7 Approximated cross section for convection.
h for free convection from various surfaces to Source: Ref 4
ture after 10 h cooling time. Generally the rail
foot cools down more quickly than the head due
to the mass difference of the head in relation to
the foot. Measured and computed temperature-
time histories are in good agreement. Figure 8
shows the temperature distribution after 4 min.
However, the situation is different in the case
of head-hardened rails. After hot-rolling, the
head of the rail is plunged into a quenching fluid
for 212 minutes. Then the rail is air-cooled as
usual. The temperature distribution in such a
57 96
head-hardening rail after 412 minutes cooling
89 25 time can be seen in Fig. 9. The composition of
100
the quenching fluid and, therefore, the heat trans-
93 100 fer coefficient are treated as a certain industrial
secret. More details on the head-hardened rail
can be found in Moser et al. (Ref 9).
87 87
800 780
760
103 103
740
740
720
97 97 680
680
112 107
740
720
680 720
660 680
640 660
Fig. 8 Temperatures in C of a rail with interaction with

other rails after 4 min cooling time. Source:
Fig. 6 Heat flux into the surroundings in percent of the total heat flux. Source: Ref 4 Ref 4
The analysis of a residual stress state during cation is activated which interacts with the where ry* is a weighted yield stress of both
quenching or cooling can now be assumed as a global load stress state. This phenomenon is de- phases; f represents the volume fraction of pearl-
well-established concept. Specifically, the kinet- nominated as transformation induced plasticity ite; w(
f ) describes the pearlite transformation ki-
ics of the phase change phenomena, as well as (TRIP). Refer to a detailed overview by Fischer netics; sij is the global (locally averaged) stress
their mechanical appearance due to a transfor- et al. (Ref 12). As a practical device, an addi- deviator; and d is the transformation volume
mation eigenstrain, must be understood. Here, tional plasticity term eTP
ij is introduced with re- change. Such a modification of the constitutive
the writers refer, for example, to a widely ac- spect to the additive strain tensor eij decompo- law was not available when Hinteregger (Ref 4)
cepted paper by Inoue et al. (Ref 10) and for sition: worked out his thesis. Therefore, the softening
details to a paper by Tanaka et al. (Ref 11). In due to the TRIP-effect was taken into account by
the case of a diffusional transformation such as eij eel
ij eij eij eij
h pl TP
(Eq 10) a reduction of the yield stress, as seen in Fig. 10.
the austenite-pearlite transformation, a volume
Also, the Youngs modulus, Poissons ratio, the
change of a few percent occurs. Note that the where eel ij is the elastic part of the strain tensor; mean coefficient of thermal expansion, and the
transformation volume change itself is included ehij the thermal part being m(T Tref)dij; dij de-
in the mean coefficient of thermal expansion. stress-strain curves are taken into account with
notes the unity tensor, epl ij the plastic part and, as respect to their temperature dependence. For the
This volume change cannot be accommodated mentioned, eTP ij the TRIP part. The TRIP part stress calculation the generalized plane-strain
by elastic straining. Therefore, a local plastifi- (see Fischer et al., 1996) is derived as: model explained previously is used. It allows a
longitudinal displacement and rotations of the
3 dw
5 1 cross-section. Figures 11 and 12 show the ther-
490 ij
e TP K f sij K d (Eq 11)
2 df 6 ry* mal longitudinal stresses along the symmetry
520
580
610
640
670
670
640 640
Fig. 9 Temperatures in C of a head-hardened rail after

4.5 min cooling time. Source: Ref 4
100 50 0 50 100 150

Fig. 11 Longitudinal stresses in MPa along the axis of symmetry after 20 min cooling time. Source: Ref 4
100
75
Yield stress, y 0.001(N/mm2)
"Mixture"
rule
50
Trip
25
0
600 650 700 750
Temperature, C
Fig. 10 Temperature dependence of the yield stress

100 50 0 50 100
during the austenite-pearlite transformation.
Source: Ref 4 Fig. 12 Longitudinal stresses in MPa along the axis of symmetry at the end of cooling. Source: Ref 4
axis for different time steps of a cooling proce- prevents the rail from deforming in transversal constant and changes its sign at locations xi(t), i
dure, taking into account full interaction with the direction. This fact leads to the surprising effect 1, 2, N where
surrounding rails as shown in Fig. 3. It can be that very long rails (approximately 100 m, or 328
w
shown that the influence of TRIP on the final
residual stress state is significant; this may be
ft, length) show an almost perfectly straight mid-
dle section M of at least 60 m (195 ft) length t xi
w
| xi 0 (Eq 14)
one of the reasons for the wide scatter of mea- on the cooling bed and two deformed rail ends.
sured residual stresses in railroad rails. These Of course, after lifting the rail with a crane and Fischer et al. (Ref 13) were able to show that
results were calculated on the assumption of a releasing the frictional forces, the rail becomes there are no sticking intervals. The differential
rail-by-rail arrangement on the cooling bed, suddenly curved with a sag of some meters. equation for the rail is:
however, without frictional contact, which is dis- Also, cutting a very long rail on a cooling bed
cussed subsequently. It is important to note that leads to a sudden change of the deformation 2w 1
(M(x,t) mh(t)) (Eq 15)
the residual stress distribution in a single rail dif- shape because the friction force distribution de- x2 EJ
fers significantly from Fig. 11 and 12 due to the pends on the length of the rail. This phenomenon
different temperature field of a simple rail. If the has caused some severe accidents in the shops. where M(x,t) is the moment due to the friction
rail is fixed with respect to its transversal defor- The first authors to describe the rail end problem force distribution (Fig. 15). Now in the middle
mation (a fork-type positioning of the rail), an of a heavy rail on a rough surface during a cool- section M of the rail w(x,t) is observed to be
additional constraint is imposed on the rail leading process were Fischer and Rammerstorfer in w(t)|M 0. Since also its second derivative is
ing also to a modified picture of the residual 1989 (Ref 13). The rail is modeled by a bar with zero, Eq 15 leads to:
stress state. cross section A. For easier understanding assume
M mh
Head-hardening changes the picture of the re-
sidual stress distribution, as shown in Fig. 13. It
an elastic bar; its stiffness is EJ; E, Youngs
modulus; and J, cross-section inertia moment. t

t M
(Eq 16)
is interesting to note that the residual stress dis- The bar is primarily loaded by a temperature
tribution is nearly independent of the lateral con- Since equilibrium enforces
field T(z,t), which does not depend on the lon-
straint of the rail in the case of head-hardened
gitudinal coordinate x, leading to a temperature M 2M Q
rails. Q (Eq 17)
moment:
Due to the changing temperature differences x tx t
between the head and the foot, the contraction of
the foot at the beginning of the cooling process
is greater than the contraction of the head. This
mh(t) E T(z,t)z dA
A
m (Eq 12) Q being the resultant shear force in transversal
direction, it follows immediately from Eq 16
tendency changes several times during the cool- that:
ing period. The sag f for a rail section of 30 m Since the bar may move on the rough surface
(representing the cooling bed) a transversal fric- Q mh
in length versus time t is plotted in Fig. 14, con-
sidering a positive sag if the center of the cur- tion force, p, can be activated during the sliding, t M

x

t
M
0 (Eq 18)
vature is at the head-side. One can see that the thus:

sag changes significantly with time. Due to the initial conditions mh(0) 0, w(x,0)
Weight and Friction: Rail End Problem. In | p(x)| lq (Eq 13) 0, M(x,0) 0, Q(x,0) 0, it follows also
the treatment just described a cross section of a that:
rail is investigated under a given time-dependent where l is the coefficient of Coulomb friction
temperature field, and the assumption of a gen- (e.g., 0.45), and q is the weight per length unit Q(x,t)|M 0 (Eq 19)
eralized plane-strain state only allows the anal- of the rail (e.g., 54 kg mass for a UIC54E rail
ysis of an infinitely long rail. Furthermore, no per meter length). and, therefore:
weight or friction is taken into account. How- Since this is a sliding process, p(x) is always
Q
ever, actual rails have a length of 30 m (98 ft) to
more than 100 m (328 ft) and are subjected to
oriented in the negative direction of the trans-
versal velocity w/t with w being the transver- x M
p(x)|M 0 (Eq 20)
their own weight. The friction on the cooling bed sal displacement. p(x) is, therefore, sectionally
Equation 20 allows the conclusion that the mid-
dle section M is not affected by any friction
force during cooling:
M(x,t)|M mh
Q(x,t)|M 0
p(x,t)|M 0 (Eq 21)
f, cm L 30 m
50
0
3 6 9.103 t, s
50
100
150 100 50 0 50 100 150 200
Longitudinal stresses in MPa of a head-hardened rail along the axis of symmetry at the end of cooling. Source: Fig. 14 Sag, f, of a rail with a length of 30 m on a fric-
Fig. 13 tionless support. Source: Ref 4
Ref 4
Thus, the middle section M of the rail can be quence n n, n , reaches a limit value n bar. The Youngs modulus E p of the supporting
considered as a long beam with an external mo- 3,029. It is interesting to note that Stupkiewicz bar is selected as E p 100E. Since the sup-
ment mh on both ends. and Mroz (Ref 16) found the same solution in- porting bar is modeled as a truss element fixed
It is now a very difficult problem to find the dependently. Recently Mogilevsky et al. (Ref at one end, using the constitutive law explained
sequence xi(t), i N. The most surprising effect 17) published a concept for a finite-length beam previously, the correct sign of the friction force
is that the two equilibrium conditions: with a sequence of friction intervals with chang- with the magnitude lqa is automatically taken
ing friction force sign. into account. According to the calculated tem-
xN xN
The finite value of n points to a perfectly perature field, the temperature is defined in 32
0
p(x)dx 0
0
p(x)(xN x)dx mh
straight middle section M of the rail. Of points of the cross section with spatial linear in-
course, since the material is assumed to be elastic terpolation. In each equivalent point with respect
together with the conditions (Eq 14): and mh vanishes for a rail at room temperature, to the longitudinal x-direction, the same time his-
no final deflection would occur. Nevertheless, tory of the temperature T( y,z,t) is defined. Both
|xi 0, i 1, N
w this elasticity friction study leads to a better un- the transversal displacement w(x,t) and the lon-
derstanding of the complicated phenomenon of gitudinal stress rx(x,y,z,t) are calculated. In the
yield a system of N 1 differential/algebraic the moving/sliding of the rail on the cooling bed. middle section M the rail remains almost to-
equations for N unknowns xi, i 1, N (Ref The investigation of the real situation of an tally straight, which corresponds to a fork-type
14). This obvious paradox can be solved only if elastic-plastic rail on a real cooling bed consist- positioning of the rail. Therefore, the residual
N is assumed as N . A detailed description ing of a grid with discrete supporting bars with stress state calculated due to this constraint in
of the solution routine is presented in Ref 14 spacing being orthogonal to the rail was elabo- the previous section can be used to check
going back to an earlier work (Ref 15). rated by Hinteregger (Ref 4), Fischer et al. (Ref rx( y,z,t)|M.
Dimensionless interval boundaries n i: 18), and Hinteregger et al. (Ref 19). In the fol- The partial plastification of the rail during
lowing text the results for a 100 m (328 ft) rail, cooling leads to a deformed shape. Figure 16
xi which is placed on a grid, are reported. The rail shows the deformation shape of a half 100 m rail,
ni l* (mh(t)/lq)1/2 (Eq 22) with the length counted from the middle of the
l* was modeled by an overlay of six bars (B32
beam elements of Type ARBITRARY) ade- rail. Furthermore, Fig. 16 shows that only the
quately representing the area, as well as the mo- rail end is deformed, covering roughly a range
are introduced. A numerical procedure gives:
ment of inertia of a UIC54E rail profile. The of 25 m. Figures 17 to 19 demonstrate the lon-
gitudinal residual stress rRx (x,y,z) at room tem-
n 1 1.041, n 2 2.387, n 3 2.802, same constitutive law was assumed for the beam
perature after lifting of the rail. rRx calculated by
cross section as in the two-dimensional study
the overlay-beam-model at hand agrees well
n 4 2.948, n 5 3.003, n 6 3.024, just described. The stick-slip effect of a sup-
with the calculated values from the two-dimen-
porting bar is represented by an elastic-ideally sional model with a fork-type positioning of
It can be seen that the interval boundaries come plastic material with the yield stress rpy (lqa/ the rail in the middle section M.
closer and closer with increasing n. The se- As), As being the cross section of the supporting Experimental Results. The findings of the
previous section on a long rail led to a new view
on the results of experimental investigations of
y the residual stress state. Usually a certain part of
a rail (with a length of about 1 m, or 3.28 ft) is
cut out and experimentally investigated. Figures
17 to 19, however, demonstrate that the residual
z stress state varies significantly within the last 25
m (82 ft) of a long rail. That means the place
W(x, t ) where a part of the rail has been cut out for ex-
z perimental investigation must be defined pre-
cisely. Of course, for sake of comparison, it
T(z, t ) m (t )
should be cut out from the middle section M.
x
z
x
22
q 2
x x
x0 + q 1
11
3
x1(t )
x2(t ) 0 7
Width, cm
x3(t ) 6
x i (t )
Straight 11
xN(t )
middle 5
End portion L( t ) part
22
w
t 4
33
0.0 10.0 20.0 30.0 40.0 50.0
Length, m
Fig. 16 Displacement of a 100 m rail depending on the

cooling time. 1, 400 s; 2, 660 s; 3, 920 s; 4,
Fig. 15 Frictional forces on a continuous cooling bed. Source: Ref 4 1200 s; 5, 3600 s; 6, 6000 s; 7, 36,000 s. Source: Ref 4
The strong variation of the residual stress state qualitatively, and in part, quantitatively, with the straightening), roller straightening, as used for
in the rail-end region is obviously one of the rea- results reported here. other long products, is the most common
sons for a significant scatter of the experimental A further comment is necessary with respect method. Roller straightening is much faster than
results reported in the literature (Ref 1, 2, 20). If to experimental investigations. Often, the hole- other methods because it allows continuous
the reported results on residual stresses are de- drilling method is applied, which is assumed to operation, and the underlying principle is fairly
picted in one graph, a scatterband emerges de- be an established technique (Ref 21). However, simple. The cool, distorted rails are drawn
picted as a shadowed region in Fig. 20. It is in- a numerical simulation of this hole-drilling pro- through the straightener by a series of driven
teresting to note that specifically the results cess by Fischer et al. (Ref 22) has revealed that rollers, which are located alternately below and
published by Kolmogorov et al. (Ref 20) fit well the evaluation method of surface deformations above the rail. While the rail is passing through
the calculated results of this work relating to the by strain gages leads to wrong results if there is the rollers in the longitudinal direction, it is bent
middle of a fairly long rail. Also, the results a steep stress gradient in the virgin material. This up and down. Thus, the initial distortion is ho-
found by Marcelin et al. (Ref 3) agree well, both is a real shortcoming and has led to many mis- mogenized and decreased by the plastic defor-
interpretations of the residual stress state in rails mation caused by a combination of bending,
since just near the head of the rail one can often shear, and roll contact stresses. This operation is
100 observe a very steep gradient after the cooling quite important because it is the final deforma-
3 process and the subsequent straightening pro- tion process of the production route, which de-
cess. termines the residual stress pattern (Fig. 21).
50
As a conclusion, one must accept that rails, There is always a springback effect when the
after cooling on a cooling-bed, are curved at outer forces are released after a plastic defor-
, N/mm2
0 room temperature. However, several attempts mation. Thus, a new equilibrium of forces and
2
are under way to achieve a straight rail after the moments caused by residual stresses are
50 1 cooling process. This can only be performed achieved. A typical residual stress pattern de-
2 with a specific cooling procedure, such as by velops during the straightening, which is nearly
100 3 contact with copper bars as discrete heat ex- independent of the initial rail distortion before
1 tractors on the surface of the rail. Several rail the straightening operation. As tensile residual
150 producers are working on such a procedure but stresses promote the initiation and propagation
0 10 20 30 40 50 maintain strict silence on the outcome. of cracks, railway producers try to achieve low
Length, m residual stresses. The most critical point here is
the foot, where both the longitudinal tensile
Fig. 17 Longitudinal stresses of a rail lifted off the cool-
ing bed. Source: Ref 6
Roller Straightening stresses due to the wheel loads and the residual
stresses superpose. However, obtaining a
straight rail and reducing residual stresses are
After hot rolling, the rails cool down on a
100 cooling bed. Due to the different cooling veloc-
2 2 ities in the cross section, the rails are distorted
after having reached room temperature. Since
50
there are certain requirements for the rail
+ + + +
1 1
straightness, not the least of which is to ensure + + + +
, N/mm2
0
passenger comfort, a further production stepa
2 straightening stepmust be added. Although Roller deflection
50 3 there are different possibilities (e.g., stretch Fig. 21 Roller-straightening process
3 1
100
3
150
0 10 20 30 40 50
Length, m

ing bed. Source: Ref 6
100
3
3
50
1
1
, N/mm2
0 2
2
50
3
100 2
1
150
0 10 20 30 40 50
Length, m 150 100 50 0 50 100 150
N/mm2
ing bed. Source: Ref 6 Fig. 20 Scatterband of longitudinal residual stresses of unstraightened rails from literature. Source: Ref 4
difficult tasks because the straightness also de- ual stress, which is the most critical component, length should not be exceeded. In steel, for ex-
pends on the distribution of the residual stresses. must not exceed 250 MPa, or 36 ksi, in the mid- ample, the maximum path length is only a few
The roller deflections can be changed on an dle of the foot). According to a European Com- centimeters. Webster (Ref 31), therefore, chose
existing roller straightener in order to improve mittee for Standardisation (CEN) draft standard a longitudinal and a normal plate of the rail for
the residual stress pattern and the straightness of (Ref 23), the measurement of this residual stress the analysis. The gage volume was 2 2 2
the rail. Up to now the setup of the roller posi- component has to be performed in the following mm3, which is typical for neutron diffraction.
tions has been a matter of trial and error, largely way: A strain gage is attached in longitudinal Hence, the results are averaged values inside this
influenced by the skills and expertise of the op- direction in the middle of the rail foot. Then, a volume. In qualitative terms, his results are well
erator. saw cut in front of and behind the gage position in accordance with the ORE Report (Fig. 23 and
Railway administrations demand low residual and normal to the longitudinal direction relieves 24). Just near the head surface a certain stress
stresses in rails (e.g., that the longitudinal resid- the residual stresses. The stress relief causes an reversal was observed. The longitudinal tensile
elastic strain, which can then be measured by the stresses dropped from a maximum beneath the
strain gage. Finally, the original longitudinal surface to a lower value at the surface. Already
stresses can be calculated using the Youngs the ERRI report mentioned that results near the
modulus (Fig. 22). specimen surface must be interpreted with cau-
Strain Residual Stresses in Unused Roller- tion due to the extrapolation of the data. An ad-
gage Straightened Rails. Generally speaking, the ditional problem near the surface is parasitic
1m longitudinal residual stress pattern in the cross peak shifts if the neutron gage is not entirely
20 mm section is a C shape with tensile stresses in the immersed in the specimen. Hauk and Kockel-
head and the foot and compressive stresses in the mann (Ref 32) also reported a steep stress gra-
web. A comprehensive study about stresses in dient near the surface with compressive stresses
roller-straightened rails was done by the ORE at the surface. The stresses were measured by x-
Committee (Ref 24), which used destructive sec- ray diffraction. But in their paper the longitudi-
tioning methods. Due to the sectioning, the rail nal residual stresses changed from compressive
parts expand or shrink elastically when separated to tensile stresses within 0.1 mm beneath the sur-
from one another. The resulting elastic strains face. Thus, the general stress pattern seems to be
Saw cut
can be calculated by measuring the length clear, although near the surface there are still un-
changes, or they can be directly measured by certainties (Fig. 24).
strain gages. Of course, these measurements Behavior of Rail Steel under Plastic Defor-
must be done very carefully so that the cutting mation. There are different types of rail steel:
or frictional heating does not influence the re- the plain carbon, the alloy, and the heat treated
sults. Also, the spatial resolution is not very qualities. The different qualities should maxi-
Fig. 22 Measurement of the longitudinal stresses at the
rail foot according to a CEN draft standard high. Hodgson (Ref 25) summarized the results mize the lifetime of the rails under different op-
of the ORE Report in a scatterband of the lon- erating conditions. In this case the focus is on
gitudinal stresses (Fig. 23). describing the behavior of these steels under cy-
Similar results are reported in Ref 26 to 28. clic plastic deformation. Plastic deformation
300 200 100 0 100 200 300 MPa
An equivalent scatterband can be found in Wine- causes the material to undergo a certain change
man et al. (Ref 29). The accuracy of the mea- in shape and remains after the removal of the
Head surements can be verified by checking the force outer forces. In the case of straightening of rails
and moment equilibrium in the cross section. and rails in service, the loading occurs repeatedly
Later, in 1992, the European Rail Research and with changing signs. Therefore, the empha-
Web
Institute (ERRI) (Ref 30) reported new measure- sis is on the cyclic plastic deformation.
ments by neutron diffraction performed by Web- Plastic deformation is based mainly on the
ster et al. (Ref 31). Neutron diffraction is a non- gliding of lattice planes in the crystalline struc-
Foot destructive testing method. In contrast to x-rays, ture of metals; this gliding requires dislocations
neutrons can penetrate material more easily, al- in the lattice. Although a certain amount of dis-
lowing the measurement of residual stresses in locations are always present in a metal, they are
Fig. 23 Scatterband of the longitudinal residual stresses
taken from Hodgson. Source: Ref 25
the interior of the material. However, it is a also generated by the plastic deformation itself.
rather expensive and very time-consuming On the other hand, the piling up of dislocations
method; moreover, a nuclear reactor is necessary decreases the mobility of the dislocation again,
to provide the neutrons. Monochromatic neu- and the material shows hardening. If loading is
300 trons can be scattered at the lattice planes of a reversed, it has often been observed that the elas-
370 BHN, neutron crystalline material. If the beam path length be- tic limit increases in one loading direction while
200 370 BHN, sectioning
tween the planes is a multiple of the wavelength it decreases in the opposite loading direction.
of the neutron, then constructive interference oc- This is called the Bauschinger effect and has to
100
curs. Therefore, only under certain beam angles be considered in the case of cyclic loading (Fig.
Stress, MPa
0
will diffraction take place. Also, if stresses in the 25).
material alter the lattice distances, the scatter an- Polycrystalline materials in the virgin state are
100 gle changes. For more details about the neutron isotropic. von Mises assumed that only the sec-
scattering method see the article Methods for ond invariant of the stress tensor accounts for the
200 Determination of Inhomogeneous Residual elastic limit. The material shows elastic behavior
Stress Fields in this Handbook. Unfortunately, as long as the stress state stays within the von
300 the investigation of the interior of the specimen Mises yield surface. Thus, his theory is also
0 50 100 150
Rail height, mm
is limited. Due to the scattering, fewer and fewer called J2-flow theory, which is a good approxi-
neutrons reach points deep inside the material. mation of real metal behavior.
Longitudinal residual stresses of a 370 BHN To ensure that a reasonable amount of neutrons After plastic deformation the material is no
Fig. 24 reach the detector, a certain total beam path longer isotropic, and additional internal state
new roller straightened rail. Source: Ref 30, 31
variables must be used to define the hardening J2(Sij ij) 12(Sij ij)(Sij ij) 13rY
2 history. The evolution of the yield radius is as-
of the material. A common approach for cyclic (Eq 24) sumed to be:
plasticity uses the decomposition of the hard- p
ening into kinematic and isotropic parts. These rY rY,0 Q(1 e beeqv) (Eq 26)
The flow rule is modified to:
models still contain the von Mises yield function where rY,0 is the initial yield stress, Q and b are
and evolution laws for the internal state variables hardening parameters, and epeqv is the accumu-
e pij k(Sij ij) (Eq 25)
such as the yield stress rY, which defines the lated plastic strain.
radius of the elastic range (Mises cylinder) and Next, the backstress tensor is decomposed into
the backstress tensor ij, which describes the where k is a constant dependent on deformation
an arbitrary number of components:
shift of the Mises cylinder in the principal stress
M
space (Fig. 26).
The main issue of a material model is to de- /Pa
ij nij
n1
(Eq 27)
scribe the evolution of elastic yielding and the 800
state variables during plastic deformation. In where each backstress component evolves due
1979 Chaboche et al. proposed a multiple com- 600 to a nonlinear law:
ponent non-linear hardening model. Today this 400
model is widely accepted and a basis for further 2 n p
nij c e ij c nnije eqv
p
(Eq 28)
developments in plasticity models. 3
200
The decomposition of the stress tensor into a c n and c n are the kinematic hardening parame-
hydrostatic and deviatoric part gives: 0
ters, which are different for each backstress com-
0.010 0.005 0.000 0.005 0.010 ponent.
rij rdev
ij rhyd
ij Sij dij 13tr(rij) (Eq 23) 200 The kinematic hardening equations take into
400 account the transient hardening effects in each
Then a modified von Mises yield surface for ki- stress-strain loop. The merit of Chaboches
nematic hardening is necessary, where rY is the 600
model is its easy mathematical structure, which
common elastic yield value in a simple tensile allows a simple way to determine model param-
test: 800 eters. The parameters can be determined from a
simple cyclic uniaxial tension-compression test.
/Pa
Chaboches model allows an almost exact rep-
800 resentation of the hysteresis curve under cyclic
Stress, MPa loading if the material shows no out-of-phase
600 600 hardening. This out-of-phase hardening or ad-
ditional hardening may occur if the strain paths
400 change from longitudinal to shear paths and vice
400
versa during the loading. Such nonproportional
200 paths occur during the roller contacts. A com-
200
0 prehensive study about the latest developments
in material models can be found in the thesis of
Strain 0.010 0.005 0.000 0.005 0.010
Jiang (Ref 33) and in Chaboche (Ref 34) (Fig.
0.010 0.005 0.005 0.010 200
27).
200 400 Because rail steel shows no out-of-phase
hardening, a good representation of the plastic
600 response of the material can be obtained with
400 Chaboches multiple component plasticity
600 800 model. The use of a simpler material model re-
Fig. 25 Cyclic loading of rail steel UIC 900A
quires caution because it can strongly influence
/Pa the calculated results on residual stresses.
800 Simulation of the Roller Straightening. Dif-
ferent attempts were made to simulate the roller
600 straightening. Brunig (Ref 35) used beam ele-
ij
p
3
ments of different widths accounting for the spe-
400
cial cross section of the rail. He already used an
enhanced two-surface plasticity model. Because
200 elements covering the whole width do not allow
Sij
0 a variation of stresses along the width, his results
Sij ij
0.010 0.005 0.000 0.005 0.010
are, at best, average values. He also stated that
200
the contact pressure at the rollers had only a mi-
nor influence on the residual stresses. Naumann
400 (Ref 36) investigated a full three-dimensional
ij
FEM model with an explicit integration method,
600 a coarse mesh, and linear kinematic hardening.
However, he did not publish residual stress re-
800 sults from his calculations. In contrast to Brunig,
2
1
Naumann stated that the pressing of the rollers
Fig. 27 (a) Measurement: cyclic tension-compression
test (b) compared with a linear kinematic ma-
into the rail head and foot is in fact responsible
von Mises yield surface and its shift due to ki- terial model and (c) Multiple component model of Cha- for the residual stress pattern. Weiser (Ref 37)
Fig. 26 applied straightening mechanics on a slice of
nematic hardening in the principal stress space boche.
rail. He implemented the roller contact with an that the submodel was loaded with the correct The results of this simulation showed a C-
overlay of Hertz-type contact pressure. The re- forces and bending moments (Fig. 28). shaped residual stress pattern. The submodeling
sults correspond qualitatively with the measure- The straightening simulation was repeated technique was also tested with two-dimensional
ments. Finstermann et al. (Ref 38) applied mo- with the submodel, still including the contact of models and was found to be correct. Thus, new
ments and forces of a beam model on a the rollers with the rail. The global model was evidence was found with this model that the gen-
three-dimensional FEM model of a piece of rail calculated with ABAQUS/Explicit. The explicit eral idea of the residual stress pattern is true.
in order to bend it around a top and bottom roller. integration had the advantage of being able to Already Wineman (Ref 29) and others stated that
The repeated contact with the top and bottom handle contact problems more easily. For the a shortening of the material in the rail head and
roller was supposed to give a good approxima- submodel ABAQUS/Standard was used because foot due to the rolling contact leads to tensile
tion of the real roller contact. The results show the standard integration allowed a fine mesh. residual stresses. In Fig. 30 the total strains of a
compressive stresses at the head and foot surface Eight node brick elements with reduced integra- subsurface element in the middle of the rail head
that are much higher than the ones hinted at in tion were used for both models. The rollers were during the straightening process are shown. The
the measurements of Webster or Hauk. Varney modeled with analytical rigid surfaces. Thus, the dominant mechanism is that a small element in
et al. (Ref 39) again used a beam model with a total calculation time on a single node worksta- the head or base near the roll becomes shorter in
linear kinematic hardening law. The result is a tion could be reduced to about two weeks (Fig. length (e33), shorter in height (e22), and wider
zig-zag pattern of longitudinal stresses. Hender- 29). (e11). This leads to a mismatch in length between
son et al. (Ref 40) modeled the process by a se-
ries of three-point bendings and linear kinematic
hardening. A first result had only little resem-
200
blance to measured U- (or C) shaped patterns.
After the material parameters had been adjusted 200
150
to unstraightened and straightened conditions,
the simulation gave better results. 150 50 0
Although these studies explain many mecha- 50
nisms of straightening and offer help in under- 100
standing the process, none of them has yet
solved the formation of residual stresses quan-
/MPa
50 100
titatively. The key problem is that limited com-
puting resources made various simplifications
0
necessary, either by using beam or two-dimen-
sional elements, neglecting the rolling of the 50
50 50
rollers or using linear kinematic hardening for
the material. Especially two-dimensional simu- 150
0
100
lations with linear kinematic material hardening 0 0.2 0.4 0.6 0.8 1.0
lead to zig-zag patterns of the longitudinal resid- 200
Foot Head
ual stresses, which are not in agreement with the
measurements. In addition, the residual stresses Fig. 29 Mesh of the submodel of a UIC60 rail and longitudinal residual stresses in MPa along the symmetry line after
after straightening, which are calculated in a the straightening and as a contour plot
two-dimensional model, strongly depend on the
plasticity model used. However, an FEM simu-
lation is quite time consuming, and contact prob- 20
lems make the time problem even worse. Nev-
ertheless, the authors tested a new concept for a 16
full three-dimensional simulation of the roller 11
straightening process with a minimum of sim- 12
plification.
In order to save computation time, the simu-
8
lation was split into two FEM processes. In the
first step a global model, 16 m long with a coarse
4
mesh and linear kinematic hardening law, was
3
applied. In the second step a submodel, only

Strain, 10
three times as long as the height of the rail with 0

a fine mesh and Chaboches multiple component
33
hardening law, was used. The front and back sur- 4
face of the submodel was driven by the nodal
displacements of the global model. This ensured 8
22
12
Submodel 16
+ + + +
Roller 2 Roller 3 Roller 4 Roller 5 Roller 6 Roller 7 Roller 8
+ + + + +
Time
Fig. 28 Driving a small submodel through the roller Fig. 30 Total strains in the subsurface layer in the middle of the head during roller straightening. e11 is the vertical
straightener strain (width), e22 is the horizontal strain (height), and e33 is the longitudinal strain.
flanges and web and gives the C-shaped longi- vertical residual stresses at the rail ends occur. 2 mm (0.04 to 0.08 in.) deep is sheared relative
tudinal stress distribution. During welding the rail ends are heated up and to the bulk material, and the strains can exceed
the former residual stresses vanish. Then, the 100% deformation. This deformation is caused
new joint cools down again, and new residual by the high normal and tangential forces of the
Rails in Service stresses develop. The most common method for wheels. Each pass of a wheel leads to additional
joining rails on the track is aluminothermic (ter- plastic flow until the shakedown limit is reached.
Temperature Influence. The influence of mite) welding: The two rails become bonded by The following is a brief overview of the results
ambient temperature on the residual stresses superheated metal, which is the result of a highly of experimental and theoretical investigations
should be mentioned. Like all other materials, exothermic reaction of iron alloy, iron oxide, and that are an important step toward understanding
steel has a certain thermal expansion coefficient. aluminum powder. The cooling of the welded the mechanisms of railway track failures.
Therefore, rails expand or shrink due to tem- gap then forms new residual stresses. Although Webster et al. (Ref 31) reported neutron mea-
perature changes. With an expansion coefficient this welded joint is of superior quality, some surements of used 370HB and 340HB rails. The
of 12 106 the longitudinal stresses shift welds fail. Again, Webster et al. (Ref 41) inves- tensile longitudinal stresses in the subsurface
by 25 MPa (4 ksi) with a temperature change of tigated residual stresses in and near the welded layer of the rail head of new rails are reduced to
10 C. Under hot conditions rails can buckle, joint of a rail. They reported tensile longitudinal zero or even negative values during operation.
while under cold conditions again tensile stresses in the web region with steep gradients This of course enhances the crack resistance of
stresses increase the possibility of rail fracture. to high compression in the head and the foot. the running surface (Fig. 32). Also, Bower et al.
Therefore, railway administrations try to mount The stress pattern almost looks completely op- (Ref 42) showed measurements of residual
the rails at average temperatures. posite to the distribution in new rails (compare stresses of used rails, which are definitely com-
Residual Stresses due to Welding. Railway Fig. 23 and 31). The length of this zone depends pressive near the running surface.
rails are produced in lengths up to about 100 m. on the length of the mold, which has an insulat- Looking at theoretical investigations different
In the past bolting was the common method of ing effect. However, it was found that approxi- approaches have been proposed to evaluate re-
joining rails on the track, but at these joints re- mately 90% of aluminothermic welds fail due to sidual stresses after two-dimensional rolling
peated impacts occur, increasing the possibility porosity caused by dampness that can arise if the contact. Sehitoglu and Jiang (Ref 43) proposed
of rail failure. Also, a different residual stress molds are not thoroughly dried before welding. an analytical method for the determination of re-
pattern at the rail endsthe longitudinal stresses Residual Stress Formation in Rolling Con- sidual stresses in elasto-plastic rolling contact.
in the head and in the base change to vertical tact. Many investigations of residual stresses of They found compressive longitudinal stresses
tensile stresses in the websupport web cracks. rails in service have been made. The motion of that reach a maximum at a distance of approxi-
And finally, passenger comfort is decreased by a wheel on a rail has a complex character con- mately 0.5 to 1 times the contact half length a
the bumps and additional side forces in curves. sisting of elasto-plastic rolling and sliding under beneath the surface. In 1997 McDowell pro-
Currently rails are joined by welding. As a many circumstances (braking, acceleration of the posed a new hybrid scheme (Ref 44) that as-
result, the rail is continuous, and no bumps or locomotive, running in curves). Wheel passages ymptotically approaches the solution of Sehito-
on a rail cause plastic deformation in the running glu and Jiang. Zochowski et al. (Ref 45), who
surface layer and lead to particular changes of applied FEM, showed the additional effects of
the stress distribution in a rail head. Under heavy acceleration or braking of a wheel on residual
traffic, wheel loads can be so severe that rails stresses (Fig. 33).
fail due to the plastic deformation. A zone 1 to In the free-rolling case Zochowski found ten-
0 0
3 2 1
1
2
3
, MPa 1 4 1
400 200 0 200 400
Fig. 31 Longitudinal residual stresses in an alumino-

thermic weld. Source: Ref 42
y/a
y/a
2 2
300
New
200 Used
3 1 Free rolling 3 1 Free rolling

100 2 q = 0.3 2 q = 0.3
3 q = 0.75 3 q = 0.7
0 4 q = 1.0
4 4
100 0.255 0.17 0.085 0 0.085 0.17 0.34 0.255 0.170.085 0 0.085
Foot Web Head res res
200 x/po x/po
0 50 100 150 (a) (b)
Rail height, mm
Fig. 33 Longitudinal residual stresses rx due to free rolling, q 0, (a) acceleration q 0 and (b) braking q 0. y is
Fig. 32 Change of the longitudinal residual stresses the depth, a is the contact half length, p0 is the maximum of the Hertz contact pressure distribution, and q is
during service. Source: Ref 31 the ratio of normal and tangential force. Source: Ref 46
sile stresses at the surface, where McDowells Production of Head Hardened Rails from prufung, Vol 32, 1990, p 181185 (in Ger-
results tend to zero. Nevertheless, the general re- the Rolling Heat, Berg- und Huttenman- man)
sidual stress patterns of both investigations are nische Monatshefte (BHM), Vol 133, 1988, 23. Railway ApplicationsTrack Heavy Rail,
similar. Zochowskis results also show that brak- p 321326 (in German) Part 1: Flat Bottom Symmetrical Railway
ing and acceleration lead to compressive stresses 10. T. Inoue, S. Nagaki, T. Kishino, and M. Rails 46 kg/m and Above, CEN/TC256/
at the surface. These theoretical results agree Monkawa, Description of Transformation WG4 Draft Standard, 1997
with the measurements of Webster et al. (Fig. Kinetics, Heat Conduction and Elastic-Plas- 24. Studies Concerning the Measurement and
32) in the sense that where the theoretical results tic Stress in the Course of Quenching and Improvement of the Level of Residual
show the generation of compressive stresses in Tempering of Some Steels, Ingenieurar- Stresses, ORE D 156/Report 4, Utrecht, the
the subsurface layer of a formerly stress-free ma- chiv, Vol 50, 1981, p 315327 Netherlands, 1987
terial, the measurements exhibit a decrease of the 11. K. Tanaka and Y. Sato, A Mechanical View 25. W.H. Hodgson, Residual Stresses in Rail.
tensile residual stresses. of Transformation-Induced Plasticity, In- Rail Quality and Maintenance for Modern
genieurarchiv, Vol 55, 1985, p 147155 Railway Operation, J.J. Kalker et al., Ed.,
12. F.D. Fischer, Q.-P. Sun, and K. Tanaka, Kluwer Academic Publishers, the Nether-
ACKNOWLEDGMENT Transformation-Induced Plasticity (TRIP), lands, 1993, p 6173
Appl. Mech. Rev., Vol 49, 1996, p 317364 26. J. Szelazek, Ultrasonic Measurement of
We gratefully appreciate the cooperation with Thermal Stresses in Continuously Welded
13. F.D. Fischer and F.G. Rammerstorfer, The
Voest-Alpine Schienen GmbH & Co KG, which
Thermally Loaded Heavy Beam on a Rough Rails, Nondestruct. Test. Eval., Vol 25,
has been supporting our research for more than
Surface, Trends in Applications of Mathe- 1992, p 7785
15 years. We also want to express our gratitude
ster- matics to Mechanics, W. Schneider, H. Tro- 27. C. Urashima and K. Sugino, Generation
toward the Austrian Science Foundation O
ger, and F. Ziegler, Ed., Longman Scientific Mechanism of Residual Stresses in Rails,
reichischer Forschungsforderungsfonds (FFF
& Technology, Harlow, 1991, p 1021 International Conference on Residual
project no. ZL 3/12384) for its financial support.
14. L.V. Nikitin, F.D. Fischer, E.R. Oberaigner, Stresses, ICRS 3, H. Fujiwara, T. Abe, and
F.G. Rammerstorfer, M. Seitzberger, and K. Tanaka, Ed., Vol 2, 1992, p 14891493
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Graw-Hill-Kogakusha Ltd., Tokyo et al., 22. F.D. Fischer, E. Hinteregger, and F.G. Ram- 37. J. Weiser, Analysis of the Formation of Re-
1976 merstorfer, Numerical Simulation of an sidual Stresses During the Roller Straight-
9. A. Moser, P. Pointer, and G. Prskawetz, Experimental Stress Analysis, Material- ening of Rails, Ph.D. thesis, Otto-von-
Guericke-Universitat Magdeburg, Ger- tion of Product Properties, EUR 18540 EN, 43. H. Sehitoglu and Y. Jiang, Residual Stress
many, 1997 (in German) Office for Official Publications of the Eu- Analysis in Rolling Contact, Rail Quality
38. G. Finstermann, F.D. Fischer, G. Shan, and ropean Commission (eur-op.eu.int), Lux- and Maintenance for Modern Railway
G. Schleinzer, Residual Stresses in Rails embourg, 1998 Operation, J.J. Kalker et al., Ed., Kluwer
Due to Roll Straightening, Steel. Res., Vol 41. P.J. Webster, G. Mills, X.D. Wang, W.P. Academic Publishers, the Netherlands,
69, 1998, p 272278 Kang, and T.M. Holden, Residual Stresses 1993, p 349358
39. B.E. Varney and T.N. Farris, Mechanics of in Alumino-Thermic Welded Rails, J. 44. D.L. McDowell, An Approximate Algo-
Strain Anal., Vol 32, 1997, p 389400
Roller Straightening, 39th Mechanical rithm for Elastic-Plastic Two-Dimensional
42. A.F. Bower and K.L. Johnson, Shakedown,
Working and Steel Processing Conf., Iron Residual Stress and Plastic Flow in Re- Rolling/Sliding Contact, Wear, Vol 211,
and Steel Society of AIME, Warrendale, peated Wheel-Rail Contact, Rail Quality 1997, p 237246
PA, Vol 35, 1998, p 11111121 and Maintenance for Modern Railway 45. M. Bijak-Zochowski and P. Marek, Resid-
40. S. Henderson, W.T. Cook, L. Woollard, Operation, J.J. Kalker et al., Ed., Kluwer ual Stress in Some Elasto-Plastic Problems
A.D. Richardson, and M.J. Wood, Control Academic Publishers, the Netherlands, of Rolling Contact with Friction, Int. J.
of Straightening Operations for Optimisa- 1993, p 339349 Mech. Sci., Vol 39, 1997, p 1532
Residual Stresses during Gear

Manufacture
K. Funatani, Nihon Parkerizing Co., Ltd., Japan
CARBURIZING is a commonly used process peak of residual stress vary, depending on dis- ments of the core. When the carbon concen-
for improving fatigue strength and wear resis- tribution of carbon, quench condition, and prop- tration becomes higher than 0.75 or 0.8% C, re-
tance of mechanical components such as gears erties of the steel used. Various investigations on tained austenite is observed in relation to alloy
and many other automotive components. The the residual stress state of case-hardened steels elements and results in a decrease of surface
surface and core hardness and case depth are have been done, and many simulation models are hardness as retained austenite volume increases.
specified in design drawings, which influence the being developed to estimate the distribution of Generally, 20 to 30% of residual austenite is ob-
strength of carburized-and-hardened steels. The residual stress in relation to various controlling served when surface carbon percentage is around
hardness and case depth are influenced by steel factors as follows (Ref 17): 0.85 to 0.9%. The amount of retained austenite
hardenability and various processing variables increases by increasing carbon concentration at
Distribution of longitudinal, tangential, and
such as carburizing and quench condition. the surface layer.
Along with heat treatment results affecting axial residual stresses Distribution of Residual Stress in
Difference of residual stress of carburized and
with hardness, carburizing and quenching opera- Carburized-and-Hardened Steels. The surface
tions introduce compressive residual stress into pseudocarburized steel layer of carburized-and-hardened steels has com-
Influence of carburizing condition and carbon
the surface layer of steels. Compressive stress pressive residual stresses as shown in Fig. 1, and
contributes very effectively to the fatigue gradient the compressive residual stresses counteract ap-
Influence of quenching media and cooling
strength of case-hardened products by reducing plied tensile stresses and improve bending fa-
applied tensile stresses. Surveys of various in- condition tigue strength. The typical profile of residual
Influence of steel grades and their hardena-
vestigative results showed that measured peak stress produced in carburized-and-hardened steel
compressive residual stresses ranged from 200 bility
Influence of specimen or work size and case
to 550 MPa.
It is very important to introduce compressive depth
Influence of microstructure and other factors
residual stress into the surface of carburized
parts; this is performed by appropriate compo-
nent design and proper processing technologies. 800
Hardness, HV
Similar compressive residual stress is attainable Residual Stress in Carburized-and-
700
by surface induction hardening, which also has Hardened Steels A
0.8 600
a large influence on bending fatigue strength.
Carbon, %
Additional posttreatment such as shot blasting Carbon Gradient, Hardness, and Residual 500
0.6
and/or double-hard peening can further increase Stress in Carburized Steels. The typical distri-
the surface compressive residual stress and con- bution of hardness, carbon gradient, and longi- 0.4
tribute more to the improvement of fatigue tudinal residual stress in case-hardened steels are
strength than can the traditional shot peening shown in Fig. 1. The surface hardness is about B
0.2
methods. This article explains the fundamental 700 to 850 HV and gradually decreases to the
state of residual stress of carburized-and-
same hardness as the core or center of hardened 0

hardened steels in relation to each factor. steel. Effective case depth (ECD) is the depth
Case hardening by carburizing or carbonitrid- from the surface at which 513 or 550 HV, equiv- 10
ing and quench processes provides the major alent 50 or 55 HRC is maintained. Total case C
benefit of introducing large compressive residual depth (TCD) is the depth at which the carbon 20
stress into the surface of the parts. It results from content is 0.04% higher than that of the core. The
uneven volume expansion caused by transfor- TCD varies depending on steel chemistry, time, 30
mation from austenite to martensite. The residual temperature, and carbon potential of the carbu-
stress at the surface of case-hardened steel is rizing process. The ECD is affected by the car- 0 0.4 0.8 1.2 1.6
generally compressive because of the larger ex- burizing condition similar to that of TCD, Depth from surface, mm
pansion of high-carbon and/or nitrogen layer quenching condition, hardenability of the core,
into martensite during transformation. The com- and mass and size of the workpiece. Surface Fig. 1 Carbon gradient, hardness, and longitudinal re-
sidual stress produced in carburized-and-
pressive residual stress at the surface layer is ef- hardness varies depending on carbon concentra- hardened steel. Carburized 5 h at 925 C, quenched at 860
fective for increasing fatigue durability of the tion, which is controlled by carburizing atmo- C. A: SCM 22, 9 mm diam; B: S15CK, 25 mm diam; C:
case-hardened steels. However, distribution and sphere and the amount and types of alloying ele- SCM 420, 9 mm diam. Source: Ref 6
is shown in Fig. 2. Residual stress distribution, nonmartensitic phases such as bainite, troostite, for the effective penetration depth of x-ray and
especially at the surface, varies depending on or pearlite to form. Also, when surface carbon changes in residual stress resulting from layer
steel properties and carburizing-and-hardening concentration increases to higher than 0.9% the removal. Layer removal with the x-ray method
conditions such as carbon potential, time, surface microstructure retains more austenite and has shown excellent agreement when used to
quench media, and cooling method as explained reduces hardness and compressive residual stress evaluate residual stress distribution.
later in this article. Generally, residual stress pro- by reducing the expansion that accommodates Measurement of the residual stress discussed
files in the longitudinal and tangential direction the transformation to martensite. in this section used scanning x-ray method under
are similar, while that of axial direction differs Generally, distribution of residual stress as the following conditions (Ref 5,6):
from the other two directions. High compressive shown in Fig. 1 and 2 has the following char- Parallel beam counter methods
residual stresses are produced by expansion of acteristics: Cr K, 30 kV, 8 or 10 mA, vanadium filter
carburized case at the end of quench-cooling
Compressive residual stresses have a peak at Count range: 200 cps, time constant: 16 s
process, which balance with the tensile stress in Dispersion angle: 0.35, focus: l 2 w
the core. some distance from the surface.
Distribution of residual stresses in longitudi- 5 or 6 mm
The state of residual stresses introduced in Sin2 W: W 0, 15, 30, 40
hardened case of carburized-and-hardened steel nal and tangential directions is nearly the
is generally in compression. Low-carbon case- same, but that of radial direction differs. The distribution of residual stresses are mea-
The excessive case carbon concentration in- sured under these conditions, and about 5 to 10
hardening steels are carburized and quenched in
selected quench media. During quenching, the creases retained austenite, which decreases
subsurface portion of the core transforms first at surface hardness and compressive residual
20
a high temperature to ferrite and pearlite, bainite, stresses.
Maximum value and distribution of residual ra*
or low-carbon martensite (700550 C, depend-
ing on steel grade) in relation to transformation stress are influenced by heat treatment meth- 0
plasticity. Later, at a lower temperature (lower ods such as carbon potential of carburizing tg

than 300 C), the carburized case transforms to atmosphere and quenching. ax*
martensite with volume expansion under influ- Although some investigators concluded that the 20
ence of the transformation plasticity caused by influence of steel type and the conditions of car- tg*
the preceding transformation phase of the core. burizing and quenching are minor (for example,
High-carbon case of 0.8% C expands nearly 40
Ref 3, 7, and 9), these factors have a profound
1.2%, while that of low-carbon core of 0.2% C ax
influence on the performance of carburized-and-
is about 0.3%, and this large difference in carbon hardened products as explained later in this ar- 60
level and expansion determines the sequence of ticle.
phase transformation and resultant development Influence of Steel Grade on Residual
of compressive stress in the case. Compressive Stress. Steel grade has a profound influence on 80
residual stress in the case is influenced by core 0 0.2 0.4 0.6 0.8 1.0
distribution of residual stresses. Figure 3 shows
hardness or strength; however, the relation be- the distribution of residual stresses of two case- Depth from surface, mm
tween core strength and residual stress is not hardening grades steels, nickel-chromium alloy (a)
simple and is explained in later sections. K13NiCr12 steel (Fig. 3a) and straight carbon 20
However, the control of carburizing-and- C15 steel (Fig. 3b). Residual stress of alloy steel ra *
hardening conditions is very important to pre- shows lower stress near the surface due to re-
vent introduction of tensile residual stress at the tained austenite, and plain carbon steel shows the 0
surface. Especially, when the surface layer has highest stress at the surface.
considerably thick grain-boundary oxidation, the Influence of Size and Workpiece Shapes.
quenching time after pullout from the furnace 20
Size and shape of testpiece or work have pro-
and the subsequent cooling speed should be op- found influences on magnitude and profiles of tg*
timized to reduce formation of nonmartensite residual stresses. Figure 4 shows the influence of 40
phases. The lack of surface hardenability results specimen size on distribution of residual tg
from grain-boundary oxidation and low-carbon stresses. Generally, as the size of the specimen
contents easily cause transformation products of increases, the maximum compressive stress in- 60
creases, and also the highest stress peak gradu-
ally moves inward. However, residual stress pro- ax*
Case Core file near the surface not only varies depending 80
on carbon concentration and cooling process, but ax
also is affected by complicated vaporizing and
Tensile
stress
Radial rewetting phenomena during cooling. 100
0 120
Longitudinal Methods of Measuring Residual 0 0.2 0.4 0.6 0.8 1.0
Tangential Stress
Compressive

stress
(b)
0 X-Ray Stress Analysis Methods. There are
Fig. 3 Distribution of residual stresses measured by x-
several methods of measuring residual stresses, ray produced in gas-carburized hardened steels.
such as distortion measurement, strain gage, x- (a) K13NiCr12; ECD: 0.40.6 mm, carburized and double
ray diffraction, and neutron radiation methods. quenched. (b) CK15 (AISI 1015); ECD: 0.50.6 mm car-
Depth burized and hardened. rax, rtg, and rra are measured resid-
Distribution of residual stress can be measured ual stresses in axial, tangential, and radial directions, re-
Schematic of residual stresses in carburized-and- by repeating mechanical or chemical methods to spectively. Curves with asterisk show corrected curve of
Fig. 2 remove core portion or outer layer and correcting
hardened steels. Source: Ref 8 measured residual stress distribution. Source: Ref 7
lm surface layer of specimen is chemically terials with fiber flow or sharp distribution of variation of residual stresses observed in Fig. 7.
etched repeatedly. Calibration on the influence residual stresses, and also care should be taken The wavy distribution of residual stresses
due to removal of surface layer is calculated to avoid errors in measurement of small diameter shown in Fig. 7 was introduced in the testpiece
from the thickness of removed layer determined bar or rod and corner or fillet of workpieces such quenched in still hot oil, where the vapor blanket
by the diameter and residual stress measure- as gear tooth roots. It is necessary to apply low- surrounding the workpiece varied, depending on
ments before chemical etching. This procedure angle diffraction methods to measure residual the testpiece shape, causing an unstable oil flow
is repeated to obtain distribution of residual stress for investigation of highly oriented micro- and temporary change of surrounding quenching
stresses. This conventional method measures structures and sharp stress profiles. The positive- condition. However, the surface residual stresses
only one of the W incidental angle directions. pole figure analysis for highly oriented micro- produced in carburized plates and rods quenched
It is thus unclear whether the direction of the structures is recommended. in hot oil are within a range of agreeable vari-
principal stress is perpendicular or inclined to the ance. Table 1 compares total area in compression
sample surface. Therefore, the measured residual Residual Stress Variation in of agitated conditions with that of quenching in
stresses have certain variance and are not as ac- Testpieces and Gears still hot oil, which increases slightly with in-
curate as measurements by the recently devel- creasing quench oil agitation.
oped position-sensitive proportional counter
(PSPC) method. Residual Stresses in Testpieces
The technology in residual stress measure- Residual Stresses in Production
ment by x-ray diffraction has made great ad- The distributions of carbon content, hardness, Gears
vancement, and PSPCs or position-sensitive pro- and residual stress in three 9 mm fatigue test
portional detectors (PSPDs) are widely accepted. specimens carburized and quenched in cold oil
shown in Fig. 6 have small variations (3 kg/ The durability of gears used for automotive
Compared to old scanning methods, which took transmission should be qualified by standardized
many hours, equipment with a PSPD, such as mm2). On the other hand, the residual stress dis-
tribution of rectangular plate and cylinder rod processing condition of carburizing-and-
PSPC, can measure residual stress in a short hardening operation carried out in the heat treat-
time. The PSPC is a linear counter that obtains carburized and quenched in hot oil shown in Fig.
7 has large fluctuation. This variation seems to ment plant. Fatigue strength of those gears varies
diffracted x-rays simultaneously, counting over
be caused by the difference in the cooling pro- as influenced by processing variables such as
a section of 50 to 100 mm or 20 range (2h
cess; the 9 mm testpieces were cooled more uni- carburizing and quenching conditions. The qual-
range) in the longitudinal direction (Fig. 5). New
formly than the rectangular plate. During cooling ity of produced gears is usually evaluated based
systems measure both W tilt directions to as-
certain the direction of the principal stress. Also, of the plate and rectangular bars in hot oil, a on surface and core hardness, case depth, and
recently developed x-ray analysis equipment en- vapor blanket formed in the early stage of cool- microstructure of testpieces carburized simulta-
ables residual stress measurement of micro- ing at the surface broke nonuniformly, and the neously with gears. In some cases, metallurgical
scopic areas of 0.15 mm diameter in combina- resulting fluctuation of cooling speed caused the quality is checked and residual stresses of gear
tion with incident collimator (Ref 10).
In addition, recently developed equipment
uses computers for immediate data processing L
with a data base on diffraction and materials con- Preamp A Preamp B
Delay line
stant, and it is a very effective tool for residual
stress research. However, it is very important to
set the focus precisely when investigating ma-

0 1 2 3 Diffracted
20 Cathode
x-rays
Center wire (anode)
A 10
B Detector gas
Residual stress, k/mm2
C
0 0 X-ray tube
D

E
2
10 Incidence
x-rays
20
20
Crystal grain
40
0 0.04 0.08 0.12 TA = D, TB = D(L )
Depth from surface, in. TA TB = D(L 2)
Fig. 4 Influence of specimen size on the distribution of d

residual stress. A: 12.7 mm diam, AISI 8610 steel,
TCD 1.524 mm, tempered at 148.9 C. B: 19.1 mm
diam, AISI 8610 steel, TCD 1.524 mm, tempered at
148.9 C. C: 25.4 mm diam, AISI 8610 steel, TCD 1.524
mm, tempered at 148.9 C. D: 6.35 mm diam, AISI 8610 Fig. 5 Principle of detector used in x-ray stress measurement by PSPC system. Delay time per unit: Dns /mm; time to
steel, TCD 1.27 mm, tempered at 190.6 C. E: 38.1 mm produce output at A: TA; at B: TB; TB TA position v. h, x-ray angle; v, distance from edge of counter end;
diam, AISI 8610 steel, TCD 1.02 mm, tempered at 148.9 g, reflection angle of x-ray; L, length of counter; D, delay time (n s/mm); d, lattice space of the crystal grain. Source: Ref
C. AD, source: Ref 3; E, source: Ref 2 10
itself are measured on limited samples. Mea- ference results from reproducibility of heat treat- quenching is controlled to about 0.9% C and di-
surement of residual stresses of gears takes a ment condition. The variation of treatment con- rectly quenched in hot oil of 130 C. The residual
long time, and a lot of laboratory work is nec- dition of the induction-hardened gear is more stress level was 24.8 4.25 kg/mm2 in com-
essary; therefore, quality control of gear strength stable than in the carburizing process, where pression, which is quite an agreeable result com-
needs precise process control of key factors. many gears are hung or mounted on a tray and pared with that of other testpieces carburized and
Bending fatigue strength of gear teeth depends quenched in oil at once. The cooling condition quenched in same furnace.
on hardness, case depth, and magnitude of com- of each gear differs depending on position in the Axial Stress Distribution Estimated in Car-
pressive residual stresses at the tooth root por- tray, and also the cooling rate at the foot of gear burized Gear during Quenching (Ref 11).
tion. Measurement of residual stress at this point tooth is slower than at the tooth tip, reducing Figure 8 shows the details of generation of axial
is not easy because of limited space and round transformation speed and resulting in the in- stress distribution estimated by calculation of a
root shape, and the measured value is not as ac- creases of the formation of nonmartensite phases carburized gear during quenching. In the early
curate as measured stresses on flat testpieces or at the surface. stages, the contour areas of equal stress were al-
other open faces. Surface residual stress of pro- The variation in average value and range of most unaffected by the surface profile. Later, a
duction gears varies more than that of simple group A is smaller than that of group B. Average zone of high compressive stress distribution oc-
shape test samples heat treated in precisely con- value and variation range of group B varies curred in the central subsurface portion of the
trolled conditions. much more widely and seems to indicate that the teeth. Such high stress has a large influence on
Residual Stress Variation at Tooth Root variation of quenching condition of B group was transformation plasticity and determines distor-
Surface of Induction-Hardened and Carbu- not the same for each gear. tion, sometimes resulting in cracking.
rized Gears. Table 2 shows the variation in re- Residual Stress of Gas-Carburized and During cooling, stress distribution changes are
sidual stress measured at the foot of gear teeth Direct-Quenched Gears. An average residual caused by shrinkage and expansion by transfor-
of induction-hardened gears and carburized-and- stress was measured on production gears made mation to martensite. The state of stress distri-
hardened gears. Compressive residual stresses of JIS SCr 420 of module 3. Gears were heat bution is estimated by a simulation model, as
produced in induction-hardened gears are higher treated in a continuous gas-carburizing furnace shown in Fig. 8. However, in actual quenching,
than that of carburized gears, and their variation with gas atmosphere using the boost-and-diffuse the cooling speeds at the tooth tip and tooth foot
is smaller than that of carburized gears. This dif- method, in which surface carbon content before differ extensively, and vapor generation accel-
20
10

800
0
700
Hardness, HV (5)
SCM 420 10
600
ECD
50 HRC (513 HV) 20
0.9 500
S
0.8 30 O
Carbon content, %
0.7 400 H
0.6 40
0 0.5 1.0 1.5 2.0
0.5 300
S15CK Depth from surface, mm
0.4
0.3 (a)
0.2 TCD
20
0.1
0
10
10 0
10
20
20
SCM 420 S
30 30 O
H
40
40 0 0.5 1.0 1.5 2.0
50 (b)
0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 20
Depth from surface, mm Distribution of residual stress produced in car-
Fig. 7
burized plate and cylinder rod. Steel: JIS SCM
Fig. 6 Carbon gradient, hardness, and residual stress variation produced in carburized specimens. Steel: SCM 420 420 (Jominy hardenability 12 in. 26.5 HRC), Test piece
(Jominy hardenability 12 in. 34.8 HRC), rotating beam bending fatigue test specimen; 9 mm diam. Carburizing size: (a) 20 by 10 by 200 mm, (b) 14 mm diam by 200 mm.
process: 920 C, 0.9% CP for 5 h. Quenched from 880 C in JIS-1-1 cold oil (3550 C) and tempered at 160 C for 2 h Carburizing process: 920 C for 5 h, quenched from 880
(7.2 ks). Carbon concentration is measured in S15CK straight carbon steel 25 mm diam specimen. ECD 1.22 mm, C in JIS 2-1 hot oil (135 C). S, still hot oil; O, mild agita-
surface 824 HV (10), core 468 HV (10). CP, carbon potential of gas carburizing atmosphere. Source: Ref 9 tion; H, fast agitation.
erates this difference. It is important to prevent reported comparing different types of steels and hardness pattern resulting in fluctuation of resid-
slow cooling at tooth foot portion to reduce the heat treatment methods. However, the chemical ual stress profile and distortion. Generally, the
introduction of surface soft layer and tensile re- contents and related properties of steels, even in higher the hardenability of steel, the larger the
sidual stresses. one type or grade, has considerable influence on distortion. On the other hand, the surface resid-
carburized-and-hardened steels as explained in ual stress and residual stress profiles produced
this section. by carburizing-and-hardening processes are
Influence of Steel Grade and complicated, and there seems to be no simple
Hardenability on Residual Stress proportional relation between hardenability and
Influence of Steel Grade residual stresses.
Residual stress distribution of two different
Case depth, core hardness, residual stress, and The steel grade, in relation to its hardenability, grade steels with same alloying elements are
distortion vary depending on chemical compo- directly and indirectly influences surface and compared in Fig. 9 (Ref 2), which shows a
sition of steels, hardenability, and processing core hardness and hardness profile through the higher-carbon smaller-diameter AISI 8620 sam-
variables even if parts are heat treated in the transformation characteristics of the steel. Along ple with higher surface residual stresses com-
same manner. Those characteristics have pro- with the steel grade as investigated in the past, pared with the other two larger AISI 8617 sam-
found effects on strength and durability of case- the hardenability of steels such as Jominy har- ples. This result indicates the influence of core
hardened components. Much research has been denability also has profound influence on the hardness or strength. Surface residual stresses of
surface carbon content of 0.95 % C are lowest
Table 1 Surface residual stress and total area in compressive stress introduced in carburized compared with the other two samples. In partic-
plate and rod ular, the surface residual stress of deepest case
JIS SCM 420, Jominy hardenability (12 in.) 26.5 HRC, carburized at 920 C, in continuous carburizing furnace and
quenched in hot oil (135 C)
depth is the lowest compared with thinner case
depth, which seems to be caused by a larger vol-
Agitation
ume percentage of retained austenite.
Stress/area Still oil Slow agitation Fast agitation
Areas in compressive stress increase as case
depth increases; however, the residual stress pro-
Plate
Surface residual stress, kg/mm2 32, 33 21, 32 36, 45 file of 12.7 mm diam 8620 specimen is a little
Compressive area, % 100 113.6 133.6 different from that of the other two 19.05 mm
Cylinder rod diam 8617 samples, where the area in compres-
Surface residual stress, kg/mm2 32, 28 24, 17 28, 22 sive stress increases with increasing case depth.
Compressive area, % 100 102.4 106.8 The differences of three residual distributions in-
dicates the influence of core hardness, case
depth, and specimen size.
Figure 10 shows the influence of steel grade
Table 2 Residual stress measured at the tooth foot surface of carburized gears
JIS SCr 420, carburized in continuous gas-carburizing furnace and tempered at 160 C for 2 h on residual stress (Ref 3). When surface com-
pressive stress of higher hardenability AISI 8640
Residual stress of sample, kg/mm2 is lower than that of AISI 8620, the depth in
Heat treatment A-1 A-2 A-3 B-1 B-2 B-3 compressive residual stresses is deeper than that
Induction hardened
of 8620. Similar to Fig. 9 the difference of re-
Average 33.8 42.7 31.3 40.0 32.7 32.8 sidual stress distribution in Fig. 10 suggests the
Deviation 2.8 2.4 1.6 5.6 8.8 4.4 influence of steel hardenability on residual
Carburized and oil quenched stress.
Average 30.0 15.4 12.4 0.2 19.5 27.1 The impact strength of carburized-and-
Deviation 3.1 2.3 1.4 5.0 17.2 5.4 hardened steels simply decreases as the case
depth and core hardness increase. However, fa-
Measured at three positions of the foot of one gear. Average stress value r (in kg/mm2). A and B, heat treated in different lots. 13 show different
portions.
tigue strength of carburized-and-hardened steels
is influenced by hardenability of steel in relation
with the hardness profile and microstructure pro-
duced during the carburizing-and-hardening
0 900 operation. Influence of steel hardenability on re-
900 300 300 600 600
600 sidual stress distribution is partly shown in Fig.
9 and 10.
z = 200 MPa 300 300 0
600
0 300 0
100 0 300 900 Influence of Hardenability Variation of
300
0 0
0 a Steel Grade
100
Influence of Steel Hardenability on Core
0 Hardness and Case Depth. Steel hardenability
is controlled by keeping the content of alloying
300
300 elements within a specified limit. However, stan-
600 dard specifications of steels have a range, and
this affects the variation of resulting hardenabil-
900 600 ity of steel. Thus it is quite difficult to produce
exactly the same impact and fatigue strength,
distortion, and residual stresses even under the
same heat treat conditions.
t=3s 30 s 60 s The variation of steel hardenability due to
Fig. 8 Estimated axial stress distribution in carburized gear (SNC815) during quenching. Source: Ref 12 variation of chemical content investigated on a
JIS SCM 420 chromium-molybdenum case- the core has a direct influence on the distribution residual stress and distribution. However, little
hardening steel grade of different melting lot is of residual stresses and distortion in relation with difference is observed in surface hardness and
shown in Table 3. Case depth and core hardness transformation plasticity at higher temperature, residual stress where the carbon concentration at
of higher-hardenability steel increase even when where the surrounding matrix is soft and under the surface layer of longer carburizing time tends
they are carburized and hardened in the same large temperature difference between surface to increase retained austenite and to reduce hard-
conditions, as shown in Fig. 11. However, the and core. ness and compressive residual stresses. High
surface hardness is not influenced by hardena- Influence of core hardness (core strength) on hardness case produced by the carburizing-and-
bility of steel produced under a controlled car- fatigue strength investigated using the rotary quenching operation introduces compressive re-
burizing atmosphere (Ref 6). bending fatigue test is shown in Fig. 12 (Ref 9). sidual stresses in the surface layer, which in-
Influence of Steel Hardenability on Fa- Variation in endurance limit reaches maximum crease as case depth increases; however, the
tigue Limit and Residual Stresses. Generally, when the core hardness of a beam specimen is highest residual stresses are in the same level.
the residual stress at the surface layer of around 430 to 450 HV. In the lower core hard-
carburized-and-hardened steel is compressive ness zone, a large percentage of fracture starts Influence of Carburizing Processes
due to the larger expansion caused by transfor- from the inner side of hardened case, called fish-
mation to martensite at the near-surface higher- eye fracture. By increasing the core hardness or
carbon layer that balances out the already trans- case depth, fisheye fracture disappears and en- Influence of Carburizing and
formed subsurface lower-carbon concentration durance limit increases. In the higher core hard-
Quenching
region. Even though the amount of expansion by ness zone, endurance limit seems to decrease
transformation is reduced to some extent due to when carburizing time exceeds 5 h in this fatigue The profiles of residual stresses and maximum
transformation plasticity, still the carburized test condition. Besides the important contribu- peak values vary depending on miscellaneous
case introduces compressive stresses at the sur- tion of core hardness, the influence of case depth
face layer and tensile stresses at the inner side of also has a profound influence on fatigue strength,
20
the high-carbon hard case. which is explained later in this article. The fa-
The compressive residual stresses introduced tigue test results of rotating beam evaluated in
in the outer carburized layer are caused by the relation to core strength has a peak near 140 to
10
timing of transformation at the last part of 150 kg/mm2, which coincides with the fatigue A
quenching balancing to strength of core. The test results of module 3 gears as shown in Fig. B

core strength is related to the steel hardenability, 13 (Ref 1, 13). 0
and the timing of transformation to low-carbon Influence of Core Hardness on Residual
martensite proceeds earlier than that of high- Stress. Steel hardenability has direct influence on
carbon case. This preliminary transformation of core hardness and indirect influence on surface 10
B
20
Table 3 Chemical composition and hardenability of five lots of chromium-molybdenum
steel JIS SCM 415, 420H
30
Jominy
Composition, % hardenability A
Lot C Si Mn P S Cr Mo (12 in.), HRC 40
A 0.13 0.26 0.80 0.013 0.011 1.03 0.21 20.0 0 1.0 2.0 3.0
B 0.17 0.28 0.75 0.014 0.011 1.04 0.20 25.7 Depth from surface, mm
C 0.21 0.20 0.80 0.016 0.013 1.11 0.19 29.1
D 0.23 0.33 0.79 0.014 0.009 1.06 0.19 34.8 Residual stresses produced in gas-carburized
E 0.23 0.35 0.82 0.013 0.014 1.11 0.28 40.1 Fig. 10
and oil-quenched 6.5 mm diam rods made
from AISI 8620 (curve A) and AISI 8640 (curve B) steel.
Source: Ref 6 Source: Ref 3
Depth from surface, mm Depth from surface, mm Depth from surface, mm

0 1 2 3 0 1 2 3 0 1 2 3
30 30 30
10 10 10
0 0 0 0 0 0
10 10 10
30 20 30 20 30 20
30 30 30
60 40 60 40 60 40
0 0.04 0.08 0.12 0 0.04 0.08 0.12 0 0.04 0.08 0.12

Depth from surface, in. Depth from surface, in. Depth from surface, in.
(a) (b) (c)
Fig. 9 Influence of steel grade and case depth on residual stress profile. (a) 12.7 mm ( 2 in.) diam; AISI 8620; surface 0.80% C; ECD 0.76, 1.27, 2.54 mm. (b) 19.05 mm (34 in.)
1
diam; AISI 8617; surface 0.95% C; ECD 0.76, 1.40, 2.29 mm. (c) 19.05 mm (34 in.) diam; AISI 8617; surface 0.70% C; ECD 0.76, 1.52, 2.54 mm. Source: Ref 2
processing factors and steel properties. Even sidual stresses of the pack-carburized specimens. The control of residual stress profile is not
when a certain number of parts are heat treated The influence of steel grade and quench meth- easy even if the carburizing-and-hardening
in the same condition or batch, it is quite difficult ods on three-dimensional residual stresses are operation is the same and is influenced by steel
to get the same residual stress magnitude and compared in Fig. 15. Three quench media10% lots. Difficulty of control of residual stresses is
profile, for it is almost impossible to completely saltwater, water, and oilare compared on a shown by two gears processed to same specifi-
control every factor of carburizing and quench- pack-carburized specimen. Surface carbon con- cations, but from different but acceptable heats
ing in the same manner. centration is about 1.0% C and produced about of 43BV14 steels in Fig. 16. Residual stress dis-
Figure 14 compares the distribution of resid- 10 to 16% retained austenite in an oil-quenched tribution of lot C is much lower, and surface re-
ual stresses introduced in AISI 8620 steel by dif- specimen. However, the longer carburizing time sidual stress is in tension if shot peening is not
ferent carburizing-and-quenching methods. A seems to introduce a greater percentage of re- provided. Residual stress distribution of lot D is
pack-carburized testpiece has very high carbon tained austenite and reduces hardness. much better even before shot peening. Residual
content (1.2% C) compared with that of gas car- The longitudinal and tangential residual stress stresses at the surface are increased by post-
burizing (0.8% C) and salt-bath carburizing near the surface differs where a saltwater quench quench shot peening to the same level and depth
(0.5% C). Residual stresses produced in pack- produces highest residual stresses, and an oil of about 0.13 to 0.25 mm (0.0050.01 in.) and
carburized specimens differ depending on quench seems to produce the lowest residual resulted from work hardening and stressing by
quench methods. Where water quenching pro- stress. Saltwater quench for AISI 1020 (JIS the impact of blasted shots.
duces deeper and larger compressive residual S20C) and water quench for AISI 5120 (JIS Figure 17 shows the two extremes in residual
stresses compared with that of oil-quenched SCr420) can produce higher surface residual stress distribution found in 40 production gears
specimen, even the carbon gradient is the same. stresses compared with that of oil quench, as of various specifications and steels. Residual
Residual stresses near the surface of both pack- shown in Fig. 15 (Ref 14). stress distribution of A (large gear of approxi-
carburized specimens drop sharply because of a mately 3 pitch AISI 4320 reheat quenched and
high-carbon layer with a large volume of re- shot peened) is very poor, and residual stress at
tained austenite. The difference in carburizing the surface layer is tensile before shot peening.
methods such as liquid and gas methods produce Residual stress of B (medium gear of approxi-
different carbon distribution, and the resulting mately 10 pitch marquenched and not peened) is
distributions of residual stresses differ as ob- highly compressive. The carburizing process
served in Fig. 14 (Ref 2). Salt-bath carburizing 80 specification including carburizing and quench-
has a very thin case and low carbon gradient; ing should be well standardized so as not to pro-
however, the case hardenability of salt-bath car- duce type A distribution.

burizing is improved by nitrogen diffused during
the carburizing process and then the near-surface
residual stresses drop. Also, residual stresses of 70
gas-carburized specimens have a mild drop of Carburizing time, h Depth from surface, mm
near-surface residual stresses compared to the re- 2.5 0 1 2 3
5.0 20
10
8.0
20.0 0 0
60

100 150 200 10
Surface hardness, HV
Core strength, kg/mm2 20

800
20
Fig. 12 Relation between core hardness and endur- 40 30

700 ance limit of 9 mm diam rotating beam fatigue
test. JIS SCM 420, carburized in muffled gas-carburizing 40
furnace at 920 C for selected duration and quenched di- 60
rectly in JIS 1-1-1 cold oil (4560 C), and tempered at 160 50
500 C for 2 h. Source: Ref 9 80
60
1.2
Core hardness, HV
400 70
60 1.0
A cycle
Carbon ccontent, %
B cycle
300 C cycle 0.8
Fatigue bending strength, kg/mm2
0.6
2.0
Case depth, mm
40 0.4
1.0
0.2
Pack carburized, water quenched
0 Pack carburized, oil quenched
20 25 30 35 40 0
Gas carburized, oil quenched
Hardenability (Jominy 1 / 2 in.), HRC Liquid carburized, oil quenched
0.2
20 50 0.02 0.04 0.06 0.08 0.10 0.12
Fig. 11 Influence of steel hardenability on effective 50 100 150 200 Depth from surface, in.
case depth, core hardness, and surface hard-
ness of carburized-and-hardened gears. Carburizing tem- Core strength, kg/mm2
perature at 920 C with carburizing atmosphere of 0.9% C Fig. 14 Comparison of residual stresses produced in
potential for 2.5, 5, 8, and 20 h, quenched in JIS-1-1 cold Fig. 13 Influence of core strength on fatigue strength of AISI 8620 steel 38.1 mm diam rods by different
oil, held at 4060 C with agitation and tempered at 160 carburized-and-hardened gears. Fatigue limit carburizing-and-quenching methods. Pack-carburized and
C for 2 h. ECD: A cycle, 1.4 mm; B cycle, 1.2 mm; C cycle, of gears of different core strength. Nonalloyed and alloyed reheat quenched in water or oil, and gas or liquid carbu-
1.0 mm. Source: Ref 6 case-hardened steels. Modulus 3. Source: Ref 1, 13 rized and oil quenched. Source: Ref 2
Water quenched SCr 420 Oil quenched SCr 420 Influence of Carbon Potential During
40 40
Carburizing

0 0
Precise control of carburizing cycle is very
important for producing quality components
with optimal distribution of carbon and residual
stress and for minimizing carburizing time by the
40 40
boost-and-diffuse control method (Ref 16).
D = 0.3 mm D = 0.3 mm
Carbon Potential Control of Carburizing
Processes. Usually, the carburizing process is
80 80
80 60 40 20 0 80 60 40 20 0 controlled by carbon potential by measurement
Sectional area, mm2 Sectional area, mm2 of dew point, methane (CH4), carbon dioxide
(CO2), or oxygen sensor, and various other gas
10% Salt water quenched 1020 Water quenched AISI 1020 elements contained in carburizing atmosphere in
40 40
recent gas-carburizing processes. Compared
with pack-carburizing and salt-bath-carburizing

processes, gas-carburizing processes are more
0 0 stable by the application of such gas analysis and
control methods. However, throughout the car-
burizing operation the carbon potential of the
40 40 used gas atmosphere varies depending on carrier
gas carbon potential, enriching gas types and
D = 0.3 mm D = 0.3 mm flow volume, total surface area of works, and
80 80 furnace design and construction materials.
80 60 40 20 0 80 60 40 20 0 The specificationes usually designated in part
Sectional area, mm2 Sectional area, mm2 drawings are case depth, surface hardness, and
core hardness. There are various control methods
Fig. 15 Residual stress distribution produced in AISI 1020 (JIS S10C) and AISI 5120 (JIS SCr 420) test specimen.
Specimen: 11.3 mm diam, 80 mm long. Pack-carburized (surface carbon: 1.0% C) and furnace cooled. to get a designated case depth, for example, the
Reheated up to 880 C and quenched in 10% saltwater (20 C), water (20 C), and 40 C oil. Case depth D is distance selection of steel grades, carbon potential in a
from surface to the point of 0.6% C. Source: Ref 14 time frame, and quench media. Vacuum or
reduced-pressure carburizing methods are be-
coming popular, but have difficulty in carbon po-
tential control due to the lack of an appropriate
carbon sensor. Therefore, the establishment of
carburizing control methods has been dependent
on trial and error. The boost-and-diffuse carbu-
rizing method is popular, but the development of
appropriate control measures for vacuum and re-
Depth from surface, mm duced pressure carburizing is requested.
0 0.5 1.0 1.5 2.0 2.5 3.0 Alloying elements such as nickel and carbon
30
concentration above the eutectic percentage in-
20
creases retained austenite in carburized case.
Therefore, carbon potential during carburizing
10
Tension
should be carefully controlled to prevent exces-

10
sive retained austenite in carburized gears.
Figure 18 shows the influence of carbon con-
0 10
tent on hardness distribution by two different
C carbon potential atmospheres. The hardness and

10
carbon distribution treated in higher 0.9% C po-
10 tential has lower hardness due to a larger amount
20 of retained austenite and deeper carbon diffu-
sion, while that of 0.7% C potential hardness is
30 20
Compression
higher in surface layer to the depth of 1 mm but

D carbon distribution is lower than in the former
40 condition. Careful carbon potential control is
30 very important for deep-case treatment to pre-
50 vent excessive retained austenite, and optimal
40
control of diffusion process is the key to fabri-
60 cating quality products.
Relation between Carburizing Time, Car-
70 bon Potential, and Residual Stress. Carbon po-
0 0.010 0.030 0.050 0.070 0.090 0.110 0.130
tential control is important not only for hardness
Depth from surface, in.
and residual stresses, but also for reducing treat-
Two gears processed to the same specifications made from different but acceptable heats of steels. C and D:
ing time. Boost-and-diffuse carburizing methods
Fig. 16 have been widely applied since the late 1950s
Different heats of 43BV14 steel gears processed in the same schedule. Open circles, total case depth; closed
circles, effective case depth (50 HRC). Source: Ref 15 (Ref 16). The influence of carbon potential con-
trol on carbon distribution and their relation with 1.7 kg/mm2. Similar results were reported when
residual stresses is shown in Fig. 19. In spite of quench oil temperature was raised from 50 to
Hardness, HV(5)
800 800
large differences in carbon potential during car- 270 C, and the most significant increase is at-
burizing and carburizing time where that of tained above 200 C (Ref 18). However, influ-
700
Hardness, HV(5)
B 700
shortest method is less than half of the longest, ence of quenching media such as hot or cold oil,
A SCM 420, 9 mm
the case depth and distribution of compressive salt-bath, and water-base polymer solution is not C
600 600
residual stresses differ only slightly. The varia- simply defined. Not only the types of quench
tion of residual stress is within 10 kg/mm2, and media but their viscosity, heat transfer coeffi-
the total depth of compressive layer is similar. cient, Leidenfrost point, and flow speed change 0.9 500
Additionally, the endurance limit of shortest cy- corresponding to the solution temperature. 0.8
Carbon content, %
cle A is 6 to 7% higher than that of B and C. It Influence of Tempering on Residual 0.7 B 400
0.6 S15CK,
means optimizing the carburizing method by Stresses. Carburized-and-hardened components 25 mm
controlling carbon potential is very important are usually tempered at low temperatures (130 0.5 A 300
not only for the improvement of durability, but 190 C) for about 1.5 to 2 h to prevent the chip- 0.4 C
is also effective for improving processing effi- ping or cracking often observed in grinding 0.3
ciency and manufacturing cost. 0.2
The profiles of longitudinal residual stresses 0.1
10 A
produced in carburized-and-hardened steel differ 0
from each other depending on case depth, as C
shown in Fig. 20. The surface compressive re- 0
sidual stress of ECD 0.8 mm is highest and de- 10

creases as case depth increases, while the com-
10
pressive residual stress zone expands inward as
20
case depth increases.
Influence of Quenching Oil on Residual 20
Stress. Quench methods influence the residual 30 SCM 420, 9 mm
stress state. Surface residual stress produced in Carbon potential
30 B
9 mm diam rotating beam bending fatigue spec- 0.9% C
imens quenched in hot and cold oils are com- 0.7% C 40
0 0.4 0.8 1.0 1.4 1.8
pared. The surface compressive residual stresses 40
in the carburized fatigue specimen made of JIS 0 1.0 2.0 3.0 4.0 Depth from surface, mm
SCM 420 increase as the quench oil temperature Depth from surface, mm
Fig. 19 Surface residual stress of test specimen in re-
is raised from 30 to 135 C. Surface residual lation to effective case depth. Material: JIS SCM
Fig. 18 Influence of carbon potential on longitudinal
stresses of specimens carburized and quenched residual stress distribution produced in AISI 420. 0.9 mm diam rotating beam fatigue testpieces. Car-
in 30 C oil was 39.7 0.7 kg/mm2 and that of 8617 19 mm diam specimen carburized and quenched di- burizing condition in three different carbon potential his-
specimens quenched in 130 C oil was 46.0 rectly in oil. Source: Ref 3 tories: A, 1.20.9% C/6 h; B, 0.9% C/constant 8 h; C, 0.6
0.9% C/13 h. Source: Ref 17

0 0.5 1.0 1.5 2.0 2.5 3.0 30
10
10 20
A
Tension
0 0
10
10
10 0
20
10
30 20
Compression
20
40
B 30
30
50
0.8 mm
40 40 1.3 mm
60
2.0 mm
70 50
0 0.010 0.030 0.050 0.070 0.090 0.110 0.130 0 1.0 2.0 3.0
Depth from surface, in. Depth from surface, mm
Fig. 17 Extremes in residual stress distributions found among 40 production gears of various modules and heats made Fig. 20 Influence of case depth on residual stress dis-
of the same steel. Open circles, total case depth; closed circles, effective case depth (50 HRC). A, large gear tribution produced in 6.5 mm diam cylinder
(approximately 3 pitch) AISI 4320 reheat, quenched and shot peened; B, medium gear (approximately 10 pitch) mar- rod made from AISI 8620 carburized and directly
quenched, no peening. Source: Ref 15 quenched in oil. Source: Ref 3
operations. Tempering after quenching at 160 C tury, and various conclusions were drawn. How- by a combination with higher-hardenability
reduces residual stresses about 1 to 2 kg/mm2 and ever, Fig. 21 shows a clear relationship between steels.
reduces the volume of retained austenite. Reduc- ECD and endurance limit investigated by 9.00
tion of surface residual stresses measured at each mm diam rotating beam bending fatigue tests. Influence of Case Depth on Residual
of the surfaces of 12 by 35 by 80 mm plates and The approximate value of the optimal ECD for Stress
20 mm diam rods are shown in Table 4. the 9 mm diam specimen is 1 to 1.2 mm. En-
Tempering temperature has considerable in- durance limits of shallow ECD and low core The goal of the carburizing process is to pro-
fluence on the decrease of residual stress and the hardness specimen are low due to subsurface duce high hardness case and also give high com-
increase of temperature resulting in a larger de- fracture and by increasing case depth or core pressive residual stresses in the hardened case.
crease of residual stress. Tempering after hardness fatigue strength. Even though the car- The influence of case depth on fatigue strength
quenching at 165 C reduced a compressive re- burized case is strengthened, the core to case is also related to the influence on residual stress.
sidual stress produced in AISI 4130 and 1526 boundary often originates a fracture, which prop- Figure 22 shows the influence of ECD on surface
about 50 to 60 MPa in both steels (Ref 18). How- agates outward leading to a breakage called fish- residual stresses, indicating the peak of the re-
ever, the influence of temperature depends on eye fracture. By increasing case depth, the dis- sidual stresses is around an ECD of 1.0 to 1.5
tempering methods such as type and construc- tribution of materials strength inside the mm, where the highest endurance limit exists.
tion of furnace corresponding to the heat capac- specimen increases, and all fracture starts from The figure also shows another important point
ity, temperature control system, and measuring the surface. The strength of the surface becomes that the optimal ECD and residual stresses are
methods of holding time, which is explained in the key factor, and damage such as grain- influenced by core hardness, and by increasing
a later section. boundary oxidation, nonmartensite phases at the core hardness the surface compressive residual
surface, and retained austenite reduce the endur- stresses increase higher than that of lower core
Influence of Carburizing Time and ance limit. By increasing case depth or core hardness peak. The region over the peak of case
Case Depth on Fatigue Strength hardness, fatigue strength can be increased. depth influence turns negative because of grain-
However, the peak ECD becomes deeper as the boundary oxidation and retained austenite.
The influence of case depth on fatigue prop- core hardness increases, and there seems to be a Fatigue durability of testpieces or parts with
erties has been investigated for about a half cen- possibility of obtaining higher endurance limit stress concentration becomes a little different
from that of unnotched specimens. It is related
Table 4 Surface compressive residual stresses in relation to effective case depth to the balance of applied stress and distribution
JIS SCM 420, Jominy hardenability (12 in.) 25.0. Plate 13 by 35 by 80 mm long and rod 20 mm diam by 80 mm long.
Gas-carburizing temperature: 920 C with carburizing atmosphere of 0.9% C potential for 2.5, 5, 8, and 20 h, quenched of materials strength leading to the shift of op-
from 860 C in JIS-1-1 cold oil held at 3550 C with agitation and tempered at 160 C for 2h timal case depth. Carburized components such
as gears have stress concentration at the tooth
Residual compressive stress, kg/mm2 foot portion, and the relation between ECD and
Average Plate Rod endurance limit differs from the results observed
Effective case depth, mm As carburized Tempered As carburized Tempered As carburized Tempered in Fig. 22. However, the basic factors related to
0.2 30.3 27.0 30.832.0 23.929.5 26.532.8 26.329.0
the influence of case depth, residual stress, and
0.5 28.9 30.9 27.829.5 27.033.5 27.833.0 29.033.0 grain-boundary oxidation play the key role as
1.0 34.7 30.3 34.537.5 31.034.3 32.335.5 28.232.3 explained in a later section.
2.0 29.8 30.0 30.033.3 29.533.5 20.833.0 27.331.8
Average 30.9 29.6 32.0 30.2 29.8 29.1
Influence of Microstructure on
Residual Stress and Fatigue Strength
Jominy hardenability (1/ 2 in.)
20.0 HRC 29.1 HRC 0
25.7 HRC 40.1 HRC Influence of Retained Austenite on
A Residual Stress and Strength of
80 Carburized Steels
10
The distribution of carbon has an important

influence on fatigue strength and the profile of

20 residual stresses and is controlled by the carbu-
rizing condition. In particular, the variation of
B carbon potential in relation to operating tem-
C perature is the key to designed strength and du-
30 rability. Microstructural changes introduced by
70
carburizing and quenching vary depending on
D
carbon gradient and quench severity, in relation
E to alloy elements. The carbon content of the sur-
40
face layer decides the percentage of high-carbon
F martensite and retained austenite changes and af-
fects wear properties and strength of carburized
50
0 0.5 1.0 1.5 2.0 2.5 products.
Effective case depth, mm Retained Austenite in Carburized-and-
60 Hardened Case. Generally, carburized-and-
0 0.5 1.0 1.5 2.0 2.5 3.0
Fig. 22 Relation between effective case depth and sur- hardened case contains 20 to 35% retained aus-
Effective case depth, mm face residual stresses produced in carburized- tenite phase that has considerable influence on
and-hardened steel. A: 10 by 10 mm, Jominy hardenability the fatigue properties of carburized steels.
Fig. 21 Influence of effective case depth on endurance ( 2 in.) (J- 2) 14 HRC; B: 10 by 10 mm, J-12 22 HRC;
1 1
limit. Material: JIS SCM 420 9 mm diam fatigue C: 20 mm diam, J-12 25 HRC; D: 10 by 35 mm, J-12
Retained austenite at the surface layer due to
test specimen carburized at 920 C, quenched in cold oil 25 HRC; E: 10 by 10 mm, J-12 20 HRC; F: 10 by 10 mm, high carbon content reduces compressive resid-
and tempered at 160 C. Source: Ref 6 J-12 35 HRC. Source: Ref 6 ual stresses as shown in Fig. 23. Therefore, car-
bon potential control during the carburizing pro- sensing methods is improving the reliability and reducing fatigue life. Tempering after subzero
cess is very important to get quality products. reproducibility of carburizing processes. treatment has no observable effects on retained
Alloy elements added to case-hardening steels Figure 23 shows distribution of residual austenite volume and hardness.
such as nickel, chromium, and manganese in- stresses, carbon gradient, and retained austenite Influence of Rolling, Shotblasting, and
crease retained austenite; therefore, surface car- of two carburized-and-hardened steels. The dis- Stress Loading. Excessive retained austenite is
bon content should be carefully controlled in car- tance from surface to the peak of residual hazardous for fatigue strength and wear resis-
burizing alloyed steels containing nickel, stresses is influenced by the volume of retained tance. Retained austenite transforms to marten-
manganese, and chromium. austenite. Increase of retained austenite de- site by repeated loading such as rolling and im-
Compared with pack carburizing and salt-bath creases hardness and residual stresses by reduc- proves load-carrying capacity under rolling
carburizing, the recent technology in gas- tion of transformation to martensite that accom- fatigue applications (Ref 20). For this purpose,
carburizing processes are much more stable, and panies expansion and increases the compressive
carbon potential control is easy via the use of residual stress (Ref 4). Retained austenite trans-
various sensors. However, periodic maintenance forms to martensite or other phases by succeed- Distance below surface, in.
of the oxygen sensor is very important to prevent ing tempering, cold working, or stressing, which 0 0.010 0.020 0.030 0.040 0.050
excess or shortage of carbon potential due to the 40
is explained in a later section.
deterioration of any controlling sensors. There- Figure 24 compares the distribution of re-
fore, the recent trend toward the use of multi- tained austenite, measured by x-ray diffraction, 35 Direct quench
resulting from different quenching methods. Di- Single reheat
rect or single reheat quench after carburizing 30 Double reheat
produces more retained austenite, while double
Depth from surface, mm reheat and quench operations can reduce the 25
0 0.5 1.0 1.5 amount of retained austenite to some extent.
20
SAE 8620
Influence of Tempering and Cryogenic
Carbon content
(estimated)
Treatment on Retained Austenite 15
10 Low-Temperature Tempering and Re- 10

30 10 tained Austenite. Usually, carburized parts are
Retained austenite, vol.%
tempered at about 150 to 190 C to prevent prob-

25 Residual 0 0 5
stress lems such as chipping or cracking in the finish
20 10 machining process. Tempering at this tempera-
10 0
Retained
ture range after carburizing and hardening re- 0 0.25 0.50 0.75 1.0 1.25
15 20 duces hardness, residual stresses, and retained
austenite Distance below surface, mm
10 30 20 austenite depending on temperature and holding
time. Figure 25 shows the decrease of residual Fig. 24 Profile of retained austenite in carburized-and-
stress by tempering at each temperature. Re- hardened steel produced by different quench
5 40 methods. Retained austenite, measured by x-ray diffrac-
30
tained austenite also decreases by tempering at tion, as a function of distance from the surface of an AISI
0 50
0 10 20 30 40 50 60 higher temperatures. 8620 steel carburized at 925 C. The single and double
Cryogenic (Subzero) Treatment. Retained reheats were accomplished by heating to 845 and 790 C,
Depth from surface, in. respectively. Source: Ref 19
austenite transforms to martensite by subzero or
(a)
cryogenic treatment, cooling down to deep freez-
Depth from surface, mm ing temperature and increasing martensite vol-
40
0 0.5 1.0 1.5 ume and residual stresses. Retained austenite
60 20 volume at the surface is lower than that of sub- Untempered
30
SAE 1118
surface results from nonmartensite anomaly lay-
10
50 10 ers. Austenite volume increases by polishing Tempered
20
away a few microns of the surface anomaly
Residual
layer. From the surface to a depth of 10 to 30
Retained austenite, vol.%
0
stress
40 0 0 lm, the retained austenite volume decreases to
0 50 100 150 200 250 300

less than half. Although the retained austenite Quenchant temperature, C
volume is governed by the carburizing and (a)
30 10
10 quenching conditions the values listed in Table
5 seem to be in the generally acceptable range. 40

Untempered
20 Carbon content 20 The volume of retained austenite changes by
tempering and subzero treatment as shown in Ta- 30
20
ble 5. The carburized-and-hardened and tem- Tempered
10 30 20
pered conditions retained almost the same level
Retained
of austenite volume (10%). Cryogenic treat-
austenite 30 0
0 40 ment reduces retained austenite, and the volume 0 50 100 150 200 250 300
0 10 20 30 40 50 60 decreases as treatment temperature is lowered. Quenchant temperature, C
Depth from surface, in. Tempering after cryogenic treatment is im- (b)
(b) portant, for there is a possibility of introducing
microdefects caused by forced transformation by Fig. 25 Influence of quench oil temperature and tem-
Fig. 23 Relation among carbon gradient, retained aus- pering on residual stresses. Variation in surface
tenite, and residual stress produced in
very-low-temperature subzero treatment. Mi- retained austenite content of untempered and tempered
carburized-and-hardened steels. (a) AISI 8620. (b) AISI croextrusion is often observed at the grain carburized (a) AISI 4130 steel, and (b) AISI 1526 steel for
1118. Source: Ref 4 boundary, caused by transformed martensite and various quenchant temperatures. Source: Ref 18
Table 5 Influence of tempering and subzero treatment on volume of retained austenite oxide. Also, the amount of carbon monoxide has
JIS SCM 420, gas carburized at 920 C, quenched from 850 C in cold oil of 3550 C, tempered at 160 C for 2h a direct relation to the degree of grain-boundary
oxidation (Ref 25), and as carburizing time or
Retained austenite (a), vol% concentration of carbon monoxide increases, the
Treatment At carburized surface At 10 lm, etched At 30 lm, etched depth of grain-boundary oxidation increases.
Carburized-and-hardened surface 14.7 21.8 9.15 Grain-boundary oxidation decreases the harden-
Tempered 16.5 18.5 10.7
Subzero, 25 C, treated 10.6 18.6 11.3
ability of near-surface grain boundary and re-
Subzero, 75 C, treated 6.7 11.0 6.7 duces the volume of transformation into marten-
site and reduces surface hardness and
(a) Reliability range: vol% 10% compressive residual stresses. Therefore, grain-
boundary oxidation affects the fatigue property
of carburized steel directly by reducing hardness
and compressive residual stress and indirectly
weakens grain-boundary strength to some ex-
tent.
40 30 to 40% of retained austenite is selected in The depth of oxidation increases as carburiz-
special components used for rolling fatigue ap- ing time increases, as shown in Fig. 28. How-
As quenched
plications. Retained austenite transforms by me- ever, the depth of grain-boundary oxidation var-
chanical stressing such as rolling and shot peen- ies by condition. Etched microstructure shows a
30 ing, causing stress-induced transformation into
Retained austenite, vol %
Shot blasted deeper anomaly than that of an unetched micro-

martensite. The stress loading that accompanies structure. Diffusion depth of oxygen investi-
rolling fatigue or bend loading during mechani- gated by electron probe microanalysis is much
cal operation also assists transformation of aus- deeper than that observed by optical microscopy.
20 Shot peened tenite.
(45 HRC, 55 m/s)
Formation of Nonmartensite Phases. Depth
The shot peening process is effective to in- of grain-boundary oxidation measured on nonet-
crease hardness, reduce retained austenite, and ched and etched microstructures differs as shown
Hard shot peened improve fatigue durability (Ref 11). Figure 26
10 (53 HRC, 90 m/s) in Fig. 29. Alloying elements such as chromium,
shows the volume change of retained austenite silicon, and manganese are oxidized rather easily
by shot peening using different hardness shots. by the reaction with carbon monoxide in carbu-
Retained austenite of the as-quenched condition rizing atmosphere (for example, Ref 2225).
0 can be reduced by various shot peening methods, Those alloy elements move to the grain bound-
0 50 100 150 and a great decrease is observed by hard peening. ary where oxygen is supplied from atmosphere
Depth from surface, mm Figure 27 shows the relation among hardness in- through the grain boundary and forms metallic
crement results from shot peening blasted on oxides. The depth of oxygen diffusion is far
Fig. 26 Change of retained austenite content by hard various levels of retained austenite. It shows that
shot peening investigated on carbonitrided deeper than that measured by optical microscopy
steel. 20 to 50 vol% of austenite retained at surface layer the hardness increase results from transforma-
observing nonmartensite phases such as upper
of carbonitrided steel. Retained austenite volume decreases tion of retained austenite to martensite acceler-
by shot peening, depending on shot peening condition.
bainite, troostite, or pearlite. The transformation
ated by shot impact. The depth of hardness in-
Hard shot peening is more effective for reducing retained from austenite to nonmartensite phases is caused
crease caused by shot peening reaches down to
austenite than traditional shot peening. Source: Ref 21
nearly 200 lm by the hardest peening condition
(Ref 21).
Carburizing time, (t ), h
0 1 2 4 6 9 16 25
Influence of Grain-Boundary Oxidation 30
Maximum residual stresses after shot peening, kg/mm2
120 on Residual Stress and Fatigue Strength

Hard shot peened
(53 HRC, 90 m/s)
(57 Variations of surface hardness and volume of
Hard shot peened retained austenite of carburized-and-hardened
100 (53 HRC, 90 m/s) steels are related to the steel type and grain-
Depth of anomaly, m
20
Hard shot peened boundary oxidation. The formation of nonmar-
(53 HRC, 90 m/s)
(45 tensite phasessuch as bainite, troostite, or
80 pearlite phases at the grain boundary in the sur-
Traditional face layerdirectly results in decrease of hard-
shot peening ness and compressive residual stress.
(45 HRC, 55 m/s) Grain-boundary oxidation accompanying tra- 10
60
ditional carburizing processes is caused by re- SCM 420 No etching
action of the steel surface with the carburizing cold oil 10% nital
Shot
Shotblasted
blast
atmosphere containing carbon monoxide. The SCr 420 No etching
40 grain-boundary oxidation itself and the associ-
cold oil 10% nital
0 10 20 30 SCr 420 No etching
ated introduction of surface anomalies such as hot oil 10% nital
Volume change of retained austenite 0
by shot peening, % nonmartensite phases are closely related, but the 0 1 2 3 4 5
basic phenomena are different from each other t
Fig. 27 Relation between volume of change of re- (Ref 2224).
tained austenite and maximum residual stress Grain-Boundary Oxidation. During carbu- Fig. 28 Relation between carburizing time and depth
produced by shot peening of carbonitrided steel. Retained rizing in an atmosphere containing carbon mon- of grain-boundary oxidation. Material: JIS SCM
austenite before shot peening was 32 vol% at the point of 420, SCr 420 steels, gas carburized at 920 C in 0.9% C
measurement 25 lm from surface. Shot hardness and shot
oxide, gas grain-boundary oxidation progresses atmosphere for various times. Quenched from 860 C in
speed are as indicated. Hardness of shot is indicated by simultaneously with carburizing by metal gas re- hot and cold oil. Grain-boundary oxidation measured as-
HRC values. Source: Ref 21 action caused by dissociation of carbon mon- polished and etched with nital 10%. Source: Ref 26
by reduced hardenability resulting from a de- tion and works better than removal of the layer Aging effects proceed gradually and reduce re-
crease in alloy elements from austenite grains. by chemical etching or grinding. sidual stresses as shown in Fig. 33; the change
This phenomenon is accelerated by a poor cool- The influence of nonmartensite phases is eas- of residual stress distribution due to aging is dif-
ing rate caused by delayed quenching operation, ily eliminated by various methods as shown in ferent depending on steel grade. As observed in
prolonged vapor blanket stage during quench, Fig. 30 and 31. However, shot peening and hard Fig. 33(a), straight carbon steel loses residual
and poor quench power. The hardenability of peening processes directly shot on as a stress more easily than does nickel and chro-
grain boundary of surface layer to obtain mar- carburized-and-hardened surface give the best mium alloy steel (Fig. 33b).
tensite can be recovered by the addition of other result, as observed in the figures. Recently, vari- Tempering. Similar to aging phenomena,
alloying elements such as nickel, molybdenum, ous gears have applied hard or double peening tempering also reduces residual stress as ob-
boron, and nitrogen or by maintaining sufficient to improve fatigue strength of carburized gears. served in Fig. 34 and 35. The reduction of resid-
carbon higher than eutectic content in austenite. Optimization of shot peening conditions such as ual stress resulting from tempering differs de-
In addition to the influence of grain-boundary size, shape, and hardness of shots, shot peening pending on factors such as steel grade and state
oxidation, the case hardenability of the surface machine, and its operating speed and combina- of carbon gradient in relation to microstructures
layer is related to the surface carbon concentration with those of the double peening condition and tempering condition, as observed in Fig. 34
tion and has considerable influence on the case is being investigated, and further progress is an- (Ref 3). The decrease in compressive stress in-
hardenability. However, the influence of grain- ticipated. fluences distribution, and the stress peak disap-
boundary oxidation is overstated because of lack pears at tempering at temperatures higher than
of knowledge on the difference of oxidation it-
Benefit and Change of Compressive 200 C.
self and nonmartensite formation related to poor
cooling speed or quench operation. Residual Stress after Heat Changing Residual Stress Profile by
In a comparison of the influence of quench Treatment Repeated Stressing
media, hot oil quench produces a more nonmar-
tensitic structure than do cold oil quench and salt The particular benefit of carburizing is the in- Residual stress decreases during fatigue (re-
quench. In the early vapor blanket stage in troduction of high hardness case and introduc- peated) loading. However, compressive residual
quenching, the cooling speed is slow and the low tion of compressive residual stresses. The com-
hardenability surface with reduced alloy ele- pressive residual stresses produced in the
ments tends to produce the nonmartensite phases hardened case counteract the applied stresses and Limited time life strength, kg/mm2 106
rather easily. improve bending fatigue strength. As the neces-
J- 1/ 2 = 20 HRC
Influence of Nonmartensite Phases on Re- sity of improving the performance of carburized
A J- 1/ 2 = 40 HRC
sidual Stress. The compressive residual stress parts emerges, much effort has been devoted to
produced in carburized-and-hardened case de- developing quick measuring methods, modeling,
B
creases if the surface layer has nonmartensite and simulation technologies to understand and
phases or excessive retained austenite; the sur- increase compressive residual stresses. The ben-
face residual stresses are lost and turn to tension C
efit of compressive residual stresses in addition
in an extreme case. Therefore, grain-boundary to the fatigue strength of the hardened surface
oxidation, the associated formation of nonmar- layer is that longitudinal compressive stresses in- D
tensite, and excessive residual austenite result crease the endurance limit about 10% of the re-
from excessive high-carbon content should be sidual stress (Fig. 32) (Ref 1, 30). 90 100 110 120
prevented by appropriate processing specifica- J 1/ 2 , Jominy hardenability (1/ 2 in.)
tion (Ref 28). Changing Residual Stress by Aging and
Removal of the nonmartensite layer can im- Tempering Fig. 30 Influence of posthardening finishing method
prove residual stress distribution and results in im- on rotating beam bending fatigue life. Surface:
provement of fatigue durability. Figure 28 shows Aging. Residual stress decreases by aging and 0.9% C. 920 C for 8 h. Cold oil quench: 860 C. J-12,
Jominy hardenability (12 in.). A: as-carburized and
how to eliminate negative effects of the nonmar- by tempering, as internal stresses are released by quenched; B: carburized, quenched, and shotblasted; C:
tensite layer. It is clear that shot peening can easily aging effects that precipitate over saturated car- carburized, quenched, and chemically etched; D: carbu-
eliminate the influence of grain-boundary oxida- bon and other elements from martensite phases. rized, quenched, etched, and shotblasted. Source: Ref 26
(c)
(b)
(a)
Fig. 29 Microstructures of grain-boundary anomalies. (a) AISI 8620 steel, gas carburized at 955 C. Specimen shows grain-boundary anomaly to a depth of approximately 0.02
mm. 1% nital. 750. (b) AISI 4118 steel, gas carburized at 955 C. Grain-boundary anomaly to a depth of approximately 0.02 mm. As polished. 750. (c) AISI 8822 steel,
gas carburized 15 h at 925 C, reheated to 840 C, and held 40 min, oil quenched, and tempered 2 h at 150 C. Bainite-pearlite mixture near the surface is visible because of the lighter
etching. 2% picral. 500. Source: Ref 27
stresses do not disappear completely, even after duced in the same lot of carburizing and hard-
fatigue failure. The process of stress decrease is ening as shown in Fig. 6.
(a)
not simple, and reduction and partial increase is The change in the surface residual stresses
observed until fatigue failure. does not directly correspond to the change in dis-
(b) (+1.4%)
Changing Surface Residual Stress by Re- tribution of residual stresses shown in Fig. 37.
peated Stressing. The change of surface resid- The change of residual stress distribution is not
(c)
ual stress investigated by rotating beam fatigue simple, and their wavy distribution patterns have
(+10%)
test samples made of JIS SCM 420 is shown in no characteristic tendency. The general trend in
Fig. 36 (Ref 5). The surface compressive resid- decrease of residual stresses is in Table 6, where
ual stresses decrease at first and then turn to in- the total area in compressive stresses decreases
(d) (+12%) crease at around 0.5 million cycles, then turn to as stress cycle increases, even when the cyclic
decrease again after a million cycles. The point stress level is lower than that of high-stress
of fatigue failure does not correspond to the up- short-life test condition (Ref 5). The reduction
(+25%) and-down trend of residual stresses (Ref 5). of area in compressive stress is compared with
(e) (+47%) The process of reducing surface residual stress that of average distribution of three carburized-
differs by testpieces as decrease, increase and de- and-hardened samples shown in Fig. 6.
crease again until final failure. The data indicated
50 100 in Fig. 37 show amplitude of repeated stress. Oc-
casionally, some fatigue failure occurs during Influence of Residual Stress and
Rotate bending fatigue strength, kg/mm2
the increase stage of surface residual stress that Grain-Boundary Oxidation on Gear
Fig. 31 Comparison of various finishing methods to results from partial irregular distribution of the Strength
eliminate problems caused by surface anoma- residual stress measured at the portion near the
lies. (a) Basic process SCM 420 carburizing. Traditional fracture face.
carburizing as the base data. (b) Carburizing and NH3 ad- Case depth influences the endurance limit and
dition. Ammonium gas addition at the final stage of car- Changing Residual Stress Distribution by fatigue lifetime of gear teeth as shown in Fig.
burizing. (c) Vacuum carburizing. (d) Alloying. Experimen- Repeated Stressing. The decrease of residual 40. When the endurance limit exhibits double
tal steel with Ni-0.2%, reduce Si to 12 of standard steel. Mo stresses is not only a phenomenon that occurs at peak, the first peak exists at very thin case depth
increased. (e) Electrochemical etching and shot peening
compared by fatigue test. Source: Ref 29
the surface, but the decrease of compressive re- and second peak at about 1.0 mm ECD. This
sidual stress is also observed as the change of tendency is different from unnotched rotating
6 residual stress distribution as shown in Fig. 38 beam fatigue test results; however, the case
Improvement of endurance limit, kg/mm2
and 39. Figure 38 shows the process of reducing depth of the second peak is similar to that of
residual stresses at several layers in a fatigue rotating beam bending fatigue test as shown in
5 testpiece made of nickel-chromium case- Fig. 21. The same tendency is observed in im-
hardening steel (SNC21: 0.13C, 2.16Ni, 0.38Cr). pact bending fatigue test results of carburized
4 Near the surface, the change or decrease of re- notched square bar (Ref 25).
sidual stresses is clear, but change at the inner Carburized-and-hardened case gives high
core is not so large and is rather simple compared hardness, strength, and compressive residual
3 with the surface changes (Ref 31). The progress stress and contributes to the improvement of fa-
of relaxation of compressive residual stress by tigue durability, while the static and impact
2 repeated stressing is clear in residual stress dis- strength deteriorate. The compressive residual
tribution as shown in Fig. 39. The decrease of stresses possess an independent feature that has
1 area in compressive stress by fatigue is com- the highest value when certain case depth is ob-
0 20 30 40 pared with the residual stress distribution pro- tained at the surface layer, as shown in Fig. 22.
Axial residual stresses, kg/mm2
Fig. 32 Improvement in bending fatigue life by surface

residual stresses. Source: Ref 30
10
0 10
0
0
10
10
10
20
20
20
1 day 1 day
3 days 1 week As quench
30 1 week 15 days 30 150 C for 1 h
15 days 23 days
30 190 C for 1 h
23 days 1 month
1 month after quenching
after quenching 40
40 40 0 1.0 2.0 3.0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.1 0.2 0.3 0.4 0.5 0.6
Depth from surface, mm Depth from surface, mm
(a) (b) Influence of tempering on longitudinal residual
Fig. 34
stress of gas-carburized AISI 8617 steel. Gas
Fig. 33 Decrease of residual stress distribution due to aging. (a) AISI 1015 (S15CK) carbon steel. (b) AISI 8620 (JIS- carburized and directly oil quenched AISI 8617 19 mm
SNC21) nickel-chromium steel. Source: Ref 31 cylinder rod. Source: Ref 3
The depth of grain-boundary oxidation increases Influence of Residual Stresses Table 6 Decrease of area in compressive
as carburizing time is elongated, as shown in Fig. Produced by Hard Shot Peening residual stress by fatigue test in relation to
28, and their influence on fatigue strength in- nominal stress and repeated cycles
creases too. These two main factors combine and
result in a complicated influence on fatigue prop- General strengthening effects of compressive Testpiece Nominal stress, Stress Area in
No. kg/mm2 cycles, N compression, %
erties. Apparently, although grain-boundary ox- residual stress are well known, as shown in Fig.
32. The important influence of residual stresses Average of 3 Before fatigue test 100
idation has deleterious effects, the importance of 1 86.6 2.6 106 4.8
residual stress is more profound and should be have been reevaluated and investigated inten- 2 78.2 4.6 106 15.1
taken into account when designing gear durabil- sively (Ref 21, 29, 3338). Figure 41 shows the 3 74.1 1.0 107 21.2
ity. Figure 40 shows the influence of residual relation between compressive residual stress in-
stress and grain-boundary oxidation on gear troduced by intensive peening methods and fa- Source: Ref 5
tooth bending fatigue strength. tigue strength investigated via control of com-
The bending fatigue strength of a carburized- pressive residual stress profile and simulation of
and-hardened gear tooth depends on the fatigue their effects on fatigue strength (Ref 35).
strength of gear tooth root where applied stresses
concentrate. Fatigue strength of notched speci- Posthardening Shotblast Finish
men or mechanical components has the highest 40
peak at thin case depth zone as observed in Fig. In mass production, transmission gears are x
77.7

40. On the other hand, tooth contact areas have blast cleaned to eliminate adhered soot and/or 78.8
x
rolling fatigue strength in relation to contact color resulting from the dissociation of quench 30
pressure and Hertz shear stress, which means the oils. Shotblasting and peening increase com- 68.7 x
x
tooth pitch area needs a thick case depth to with- pressive residual stresses. However, general
stand high rolling loads. Therefore, the design shotblasting equipment cannot introduce the uni- 20
specification of ECD for gear teeth is not as sim- form arc height and coverage necessary to im-
ple as the optimal case depth for flat specimens. prove surface fatigue durability. 73.3
86.3
Specification of ECD should take the operation By appropriate control of blasting condition 10 x
condition into account to satisfy application to attain uniform coverage and arc height, shot-
needs to guarantee total gear life against rolling blasting can increase fatigue durability of pro-
fatigue and bending fatigue life. In addition to duction gears by increasing surface compressive 0
the fatigue strength given by carburizing and residual stresses, although the durability is far 105 106 107
hardening, the influence of the postheat treat- less than that attained by shot peening and hard Number of cycles, N
ment process is increasing in importance. A part peening. The details of shot peening and hard
of postheat carburizing-and-hardening treat- peening operations are explained later in this ar- Fig. 36 Changes in surface residual stresses during fa-
ment, such as shotblasting, is explained earlier ticle. For example, compressive residual stresses tigue. Gas carburized at 920 C for 5 h (18 ks)
in 0.8% C atmosphere, quenched from 860 C in cold oil
in this article; however, the recent hard peening of production gears that were 0.1 6 kg/mm2 of 35 C , and tempered at 160 C for 2 h (7200 s). x,
technology has made great advancement and can be improved up to 30 kg/mm2. If the con- fracture point. Source: Ref 5
contributes to the improvement of load-carrying dition is controlled in an optimal level, it can
capacity of carburized-and-hardened gears. The increase surface residual stresses up to 48 5
following section explains the influence of re- kg/mm2 in compression even by traditional shot-
cent shot peening technology. blasting machines. It is very important to notice 10
0
40
0 20
0 10
Axial stress
40 Tangential stress 20
D = 0.3 mm D = 0.3 mm
Radical stress
As quenched 40 180 C
C tempered
tempered
80 60 20
40 40
20 20 As quenched
0 0 30
D = 0.3 mm D = 0.3 mm
60 60 40
250 C
C tempered
tempered 300 C
C tempered
tempered 0 0.1 0.2 0.3 0.4 0.5 0.6
100 80 60 40 20 0 100 80 60 40 20 0
Sectional area, mm Sectional area, mm Change in residual stresses due to repeated
Fig. 37
stressing. Materials: SNC21, pack carburized
Fig. 35 Change of residual stress distribution by tempering. Pack carburized, oil quenched from 880 C, and tempered for 2 h at 900 C, annealed, reheated up to 750 C, and
at each temperature for 2 h. Surface carbon 1.0% C, retained austenite 916.5%, case depth (0.6% C) 0.3 quenched in cold oil of 15 C and tempered at 150 C for
mm, TCD 0.9 mm. JIS SCr 420 steel, 11.3 mm diam by 80 mm. Source: Ref 32 30 min. Stress amplitude: 40 kg/mm2. Source: Ref 31
those accomplishments that can almost eliminate peening on bending fatigue strength of module Distortion of Carburized-and-
the negative effect of surface anomalies due to 2.55 gears was studiedusing JIS SCr 420 and Hardened Steels
intergranular oxidation (Ref 28). experimental steels to analyze retained austenite
effects, taking various shot peening conditions
into account and using statistical analysisand Distortion is an irreversible dimensional
Contribution of Residual Stresses change in the component during heat treatment.
led to the following conclusive results (Ref 35):
Introduced by Hard Shot Peening From a metallurgical standpoint, there are ther-
Linear relationship is concluded between mally induced distortion, transformation-
Bending fatigue durability of carburized gears maximum values of compressive residual induced distortion, and distortion induced by
is improved by surface compressive stresses in- stress introduced by shot peening and bend- both principal causes. In many cases, uneven
troduced by hard shot peening. The influence of ing fatigue strength of gears. cooling often causes distortion corresponding to
compressive residual stress introduced by shot Shot peening was investigated on shot size any of the three principal causes. Dimensional
and shape, materials, peening machine, shot change means change in both shape and size. It
speed, arc height, coverage, and the interre- is not easy to solve the distortion problems con-
lationship among those factors, and these fronting the heat treater and heat treat industries
were simulated to give optimal results. on a daily basis. Changes in straightness or
From surface: The maximum compressive residual stress warpage of shafts are reversible by applying
0.01 mm does not depend simply on the shot peening stress in the elastic range or during tempering,
40 0.1 mm condition, but also on the relative effects of for size and shape are not reversible by applied
0.2 mm stresses.
retained austenite before peening. Retained
0.3 mm
austenite volume is increased by carbonitrid-
30
ing or by increase of carbon content in rela-
900
tion to other alloying elements such as nickel
or molybdenum. 800
The conclusive result proved by a linear re- 700 As carburized, hardened,

20
Hardness, HV
lationship between maximum compressive re- and tempered
sidual stress and bending fatigue strength of gear 600
tooth leads to Eq 1 (Ref 35). This result fits well 500
10 with that of Fig. 42 concluded from various ma-
terials and heat treatment. 400
2.15 104 6.05 1045 1.15 1047
9.27 104 2.82 1046 300 Carburized, hardened, tempered,
0 rW 0.931rR 0.275 (Eq 1) and shotblasted
104 105 106 107 200
Residual stresses, kg/mm2

0
Number of cycles where rW is the endurance limit (MPa) and rR Carburized,
As carburized,
hardened,
hardened,
tempered,
is the peak compressive stress (MPa). 10 and
andshotblasted
tempered
Fig. 38 Change in residual stresses due to repeated
stressing. Materials: SNC21, pack carburized 20
for 2 h at 900 C, annealed, reheated up to 750 C, and
quenched into cold oil of 15 C and tempered at 150 C 30
for 30 min. Stress amplitude: 40 kg/mm2. Source: Ref 31 Carburizing time, h
40 sCarburized,
carburized,hardened,
hardened,
0 1 2 3 4 5
Grain-boundary oxidation, m
0 50 tempered, and
and tempered
B 50 shotblasted
Micro hardness,
Micro hardness, HV (500 g)
60
HV (500 g)
800 800
10 30 0 0.5 1.0 1.5 2.0
A
600 600 10 Change of hardness and residual stress distri-
20 Fig. 41
500 bution by shotblasting. Source: Ref 11
0.8
Carbon content, %
400
70
0.6 2.0
300
Nominal bending stress, 105 Pa
0.4
0.2 60 105
Fatigue strength, GPa
1.8
0
After 107 50 5 105
10 1.6
After 4.6 106 40
20
Calculated
After 2.6 106 Endurance limit
1.4
30 Fatigue test
30
Initial 0 0.5 1.0 1.5 2.0 2.5
40 Effective case depth, mm 1.2
0 0.4 0.8 1.2 1.6 2.0 1.0 1.2 1.4 1.6 1.8 2.0
Distance from surface, mm Peak compressive stresses, GPa
Fig. 40 Influence of residual stress and grain-boundary

Handbook of Residual Stress and Deformation of Steel

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2002 ASM International. All Rights Reserved. www.asminternational.

Handbook of Residual Stress

Materials Park, Ohio 44073-0002

First printing, March 2002

Library of Congress Cataloging-in-Publication Data

TA473 .H3215 2001

Printed in the United States of America

G.M. Webster V.V. Zabilsky W. Zinn

Preface ........................................................................... vi Residual Stress During Hardening Processes

Effect of Materials and Processing Residual Stresses in Carburized, Carbonitrided,

Stability of Residual Stresses .................................................54 Metallo-Thermo-MechanicsApplication to Quenching ................ 296

Control of Residual Stress Formation and Steel Deformation

Residual Stress Formation during Casting ................................ 361

Residual Stress Formation and Distortion of Rail Steel................. 424

Fig. 3 Molar volumes of the various forms of iron.

(a) Allotriomorphic ferrite Volume change 0.00 0.02 Irregular

(b) (c) (d)

Stress (below austenite yield strength)

Residual stresses, MPa

Residual stresses, MPa

150 ratory, a distribution of fatigue life and a distri-

0 0 Roy. Soc., Vol 238, 1965, p 403422

0 0 19. J.B. Leblond, J. Devaux, and J.C. Devaux,

0 0 24. H.K.D.H. Bhadeshia, S.A. David, J.M. Vi-

Prestress Engineering of Structural

drilling method is extensively used. It is sensi-

technique is simple. It involves monitoring the

20 tremely important role with respect to the fatigue

Continuous control using

the thickness of the part 100 Corrosion

Once cracking has been initiated, the applied

create concentrated stresses at their interface that

4 200 erties. Their role is often masked by other param-

eters. The increase of hardness during treatment

be included when calculating the fatigue life. sa

Nominal stress amplitude (n,a), MPa

240 2 6 m, 15 m/s 500 Shot peened

600 400 Shot peened

strength obtained only depends on the in-

By using the cyclic behaviors of material, a

Secondly, a method to predict fatigue life by tak-

gineering (LASMIS) (Ref 43) is able to take into

account different loading parameters.

The residual stresses, however, can be relaxed

by the deliberate application of thermal or me-

chanical energy. They will be especially relaxed

when the structure is subject to cyclic loading.

N1 Material and Geometry. The shot-peening

Residual stresses, MPa

Residual stresses, MPa

150 ratory, a distribution of fatigue life and a distri-

Residual stresses, MPa

Residual stresses, MPa

750 80 C (176 F). After this condition has been

440 verified, the quenching temperature can be de-

Torsion load, MPa

Residual Stresses and Fatigue Behavior

of cycles that yields to hysteresis loops. In a

growth behavior as the Kmax values approach the

Rf R0f [1 (rm /Rm)2] (Eq 10)

Plastic strain amplitude (a,p), %

a in MPa 0.05 500 numbers of cycles. Furthermore, it is interesting

a in MPa the steel condition in Fig. 13(b). In this case, the

0.4 0.01 with an increasing number of cycles. After a sub-

200 15 changes in metallic materials during cyclic load-

300 80 B Deep rolled

400 400 initiation positions agree with the expectation af-