2002 - 01 - 1478

Carbo-Austempering - A New Wrinkle?

Kathy Hayrynen
Kristin Brandenberg
John R. Keough
Applied Process Inc. Technologies Div.- Livonia, Michigan, USA
Copyright 2002 Society of Automotive Engineers, Inc.

ABSTRACT
The Carbo-Austempering process is a high
performance steel heat treatment that combines a high
carbon bainitic case with either a bainitic or tempered
Martensite core to produce a component with an
exceptional combination of strength and toughness.
This paper will review the Carbo-Austempering
process and its commercial applications. The properties
of Carbo-Austempered steel along with the benefits
and limitations of the process will also be discussed.

INTRODUCTION
Carbo-Austempering is a heat treat process in which
the surface of a steel component is carburized, then
quenched at a temperature above the Martensite start
temperature. When this process is applied to a low
carbon steel, a bainitic case and a low carbon
martensitic core are produced. The same process can
be used for medium carbon steels where bainite is
formed throughout. In both cases, compressive stresses
are formed on the surface. Even at high hardness, a
high carbon, bainitic case remains ductile.
There are many property advantages to the CarboAustempering process. They include:

Greatly increased fatigue strength in high

load, low cycle applications
Higher tensile strength
Increased elongation
Greatly improved impact properties
Increased wear resistance
Less distortion
No cracking

BACKGROUND
The first step of Carbo-Austempering is the same as
that used in a conventional carburize quench and
temper (Q&T) process. The difference between the two
occurs in the quenching step.
The isothermal transformation diagram shown in Fig. 1
illustrates the difference between these heat treat
processes. The conventional carburize Q&T process
heats the part to the carburizing temperature, holds it at
temperature for the time required to produce the desired
case depth, and then quenches the part to below the
Martensite Finish (Mf) to near room temperature. A
subsequent tempering process follows to achieve the
desired hardness level.
In the Carbo-Austempering process, the carburizing
step is followed by a quench to a selected temperature
for isothermal heat treatment. During this isothermal
process, the case transforms into a high carbon Bainite.
Meanwhile, either Bainite or tempered Martensite will
form in the core depending on the carbon content of the
steel.
If Martensite is produced in the core, the
quenching process may be followed with a low
temperature temper.
The quench step of Carbo-Austempering is an
isothermal process and, thus, offers advantages versus
quench & tempering. The formation of Bainite occurs at
a single temperature over many minutes or hours so
distortion is minimized and cracking does not occur.
Martensite may form in the core if a low carbon steel is
Carbo-Austempered because the quench temperature
is below the Martensite Start temperature. The
Martensite Start temperature of a steel can be estimated
by using the following equation: Ms (F) = 930
600(%C) 60(%Mn) 50(%Cr) 30(%Ni) 20(%Mo)

20(%Si). This equation shows that the carbon content

plays an important role in determining the Martensite
Start temperature. For instance, the Ms of an 8620 (low
carbon) steel is 382C (720F) while that of a 6150
(medium carbon) steel is 287C (548F).
It should be noted that if a low carbon steel is utilized,
the carbon content of the tempered Martensite in the
core should be minimized.
In martensitic
transformations, the volumetric expansion increases as
the carbon content increases.
Bainite behaves
oppositely with the volumetric expansion decreasing with
increasing carbon content.
If a medium carbon
martensitic core is combined with a bainitic case, tensile
stresses could form on the surface. Thus, minimizing
the carbon content of the martensite also contributes to
the reduction in distortion and the elimination of cracking
in the Carbo-Austempering process.

Table 1: Properties of Carbo-Austempered and

Carburized Q&T 8615 steel.a
CarboAustempered

Carburized
Q&T

Tensile
1162
742
Strength
(MPa)
Unnotched
407+
31
Impact Energy
(Joules)
Elongation
15.9
0.9
(%)
Case Hardness
55
58
(Rc)
a
Effective Case Depth 0.025, 0.505 tensile bars.
Table 2: Properties of Carbo-Austempered and
Carburized Q&T 4150 steel.b
CarboAustempered

Tensile
2033
1033
Strength
(MPa)
Unnotched
407+
16
Impact Energy
(Joules)
Elongation
10.7
0.7
(%)
Case Hardness
56
56
(Rc)
b
Effective Case Depth 0.025, 0.505 tensile bars.

Ms

Figure 1: Schematic IT Diagram illustrating the

Carbo-Austempering and Conventional Carburize
Quench and Temper processes.

PROPERTIES
STEEL

Carburized
Q&T

OF

CARBO-AUSTEMPERED

Comparative tests of tensile strength, elongation and

unnotched impact energy were made for both CarboAustempered and carburized Q&T 8615 and 4150
steels that were carburized to 0.025 effective case. The
results are presented in Tables 1 and 2.

Examination of the results listed in Tables 1 and 2 show

that the tensile strength, impact energy and elongation
of both the 8615 (low carbon) and 4150 (medium
carbon) steels are greatly improved by CarboAustempering.
Figures 2 and 3 contain percent elongation as a
function of Rockwell C hardness for 8620 and 6150 steel
that has been both Carbo-Austempered and
carburized Q&T. These results indicate that significant
increases in elongation can be realized by CarboAustempering in the hardness range of 50 60 Rc.
(Note for the 6150 material that similar carburizing
conditions were utilized as effective case depth
measurements could not be made due to the hardness
of the base material.)

the Carburized and Hardened specimens in Table 3. A

significantly higher difference in performance was seen
for the unnotched bars with the Carbo-Austempered
impact energy being an order of magnitude greater than
that of the Carburized and Hardened 5120 shown in
Table 4.
(In this study, all bars were machined
complete, heat treated and then tested.)

14
Carbo-AustemperedTM
Carburized Quench & Tempered

12

% Elongation

8620

10
8
6

Table 3: A Comparison of Fatigue Strength of Vnotched Carbo-Austempered and Carburized and

Hardened Steel of Similar Hardness.

4
2
0
35

40

45

50

55

60

65

Hardness Rc

Figure 2: Percent Elongation as a function of

Rockwell C Hardness for 8620 steel that has been
both Carbo-Austempered and Carburize Quench &
Tempered. (Similar Effective Case Depths of 0.035,
0.505 tensile bars.)

14

% Elongation

4.0J

8.1J
9.5J

5.4J
5.4J

10.8J

5.4J

ASTM Ave. = 9.5J

Carbo-Austempered
55 Rc
0.79 mm Effective Case

ASTM Ave. = 5.4J

Carb + Harden
60 Rc
0.69 mm Effective Case

Table 4: A Comparison of Fatigue Strength of

Unnotched Carbo-Austempered and Carburized
and Hardened Steel of Similar Hardness.

6150

12

V-Notched 5120 Steel

8.1J

10

Un-Notched 5120 Steel

300J

14.9J

320J

13.5J

360J
406J
+ no
break
ASTM Ave. = 236J
Carbo-Austempered
55 Rc
0.79 mm Effective Case

16.2J

6
4
2
0
35

TM

Carbo-Austempered
Carburized Quench & Tempered

40

45

50

55

60

65

Hardness Rc
Figure 3: Percent Elongation as a function of
Rockwell C Hardness for 6150 steel that has been
both Carbo-Austempered and Carburize Quench &
Tempered. (0.505 tensile bars were tested.)
It is interesting to note that the impact bars in Table 1
bent in excess of 30 degrees, but did not fracture.
Further testing has confirmed that the toughness or
impact properties of a Carbo-Austempered Steel are
superior in comparison to conventional Carburized Q&T
steel. Tables 3 and 4
show a comparison of vnotched and unnotched impact specimens from 5120
steel, respectively. The notched impact energy of the
Carbo-Austempered specimens is almost twice that of

17.6J
ASTM Ave. = 16.2J
Carb + Harden
60 Rc
0.69 mm Effective Case

Medium carbon steels like 6150 in Figure 4 have also

shown improved impact energy when CarboAustempered in comparison to Carburize Q&T. In this
instance, Carbo-Austempered 6150 steel has an
impact energy that is two to five times greater than
Carburized Q&T material at a greater than 50 Rockwell
C hardness.

Compressive Stress (MPa)

Impact Energy (Joules)

14
12
10
8
6
4
Carburized Q&T 6150
Carbo-AustemperedTM 6150

2
0
44

46

48

50

52

54

56

58

-100

-200

-300

-400
0.0

60

Carburize 4.5 hrs, Q & T

Carburize 2 hrs, Q & T
Carbo-AustemperTM 2 hrs
Carbo-AustemperTM 4.5 hrs

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

Depth Below Surface (mm)

Figure 4: Unnotched Impact Energy as a function of

Hardness for Carbo-Austempered and Carburized
Quench & Tempered 6150 steel.

Figure 5: Compressive Stress Profiles for CarboAustempered and Carburized Q & T Pinions.

250

During Carbo-Austempering, the component begins to

transform in the center (or the core) of the part. As a
result, compressive stresses will form when the outside
layer or case transforms last during heat treatment.
Figure 5 shows the comparative compressive stresses
for a Carbo-Austempered pinion versus a Carburized
Q&T pinion. It should be noted that the compressive
stresses
were
greatly
improved
by
CarboAustempering,
even
though
the
CarboAustempered pinion had a shallower case depth.
Additionally, the Carburized Q&T pinion gear failed
prematurely while the Carbo-Austempered pinion did
not.
The residual compressive stresses on the surface of a
Carbo-Austempered component also result in
improved high load, low cycle fatigue properties for low
carbon steels. Figure 6 contains rotating bending
fatigue curves for 8822 steel that has undergone both
Carbo-Austempering and conventional Carburizing
and Hardening processes. Note the magnitude of
improvement exhibited by the Carbo-Austempered
material in the low cycle (<105) region.

Stress (ksi)

8822

1600

1400

200

1200
150
Carbo-AustemperedTM

Carburized Q & T

100
103

104

105

106

107

1000

Stress (MPa)

Hardness (Rc)

800
108

Cycles to Failure

Figure 6: Rotating Bending Fatigue Properties of

Carbo-Austempered
vs.
Conventionally
Carburized and Hardened 8822 Steel.
Rotating
bending
fatigue
testing
of
CarboAustempered and Carburized Q&T 8620 steel has
also demonstrated an improved performance in the low
cycle regime. This is shown in Figures 7 and 8.

150

8620-50

140

110
700

100
90

600

80
500

70

50
104

Carburized Quenched & Tempered 8620

Carbo-AustemperedTM 8620
105

400
106

Fatigue Limit (MPa)

800

Stress (MPa)

120

60

900

900

130

Stress (ksi)

1000

107

Figure 7: Rotating Bending Fatigue Properties of

Carbo-Austempered vs. Carburized Quench &
Tempered 8620 Steel with a 50 Rc surface hardness.
(Specimens at 107 cycles were runouts or did not
fail.)

150

8620-55

120

800

110
700

100
90

600

80

500
AISI 5140 Q & T
AISI 5140 AUSTEMPERED
AISI 1090 Q & T
AISI 1090 AUSTEMPERED

400

25

30

35

40

45

50

55

60

Hardness (Rc)

Figure 9: Fatigue Limit (ksi) as a function of

Hardness (Rc) for 5140 and 1090 steels that have
been both Austempered and Q&T.
Single tooth bending fatigue testing of CarboAustempered versus carburized Q&T 8620 steel has
also been conducted. Figure 10 contains single tooth
gear fatigue curves for both Carbo-Austempered and
carburized Q&T 8620 steel with the same case depths.
In the low cycle regime, the Carbo-Austempered
gears can carry a load up to 40% greater than their
carburized Q&T counterparts. In addition, the CarboAustempered gears have an endurance limit that is
17% greater than the carburized Q&T gears.
-16000

Carburized Quenched & Tempered

Carbo-AustemperedTM
105

400
106

-15000
-14000

107

Cycles to Failure

Figure 8: Rotating Bending Fatigue Properties of

Carbo-Austempered vs. Carburized Quench &
Tempered 8620 Steel with a 55 Rc surface hardness.
(Specimens at 107 cycles were runouts or did not
fail.)
The fatigue limits of quench and tempered steel (with
martensitic structures) tend to fall off rapidly at higher
hardnesses as shown in Figure 9 while the fatigue limits
for Austempered steel (with bainitic microstructures)
continue to trend upward to approximately 58 Rc (or
maximum bainitic hardness). It is theorized that a
combination of susceptibility to stress corrosion
cracking, hydrogen embrittlement and a high volumetric
expansion during quenching play roles in the decrease
in fatigue strength of a Q & T steel at high hardnesses.
This phenomenon is not exhibited in Austempered
steels, meaning increased fatigue strength at higher
hardnesses.

Load (lbs)

50
104

600

500

70
60

Stress (MPa)

Stress (ksi)

1000

900

130

700

300
20

Cycles to Failure

140

800

-13000
-12000
-11000
-10000
-9000
-8000
-7000
-6000
104

105

106

107

Cycles to Failure
Carbo-AustemperedTM 8620
Carburized Q&T 8620

Figure 10: Load versus Cycles to Failure for CarboAustempered and Carburized, Quench and
Tempered 8620 Steel Gears.
The estimated
endurance limits are 10,500 and 9,000 lbs,
respectively. (Specimens at 107 cycles were runouts
or did not fail.)

Figure 11 contains pin abrasion test results for

austempered steel versus conventionally Carburized
Q&T steel. The case of a Carbo-Austempered steel is
a high carbon Bainite and will exhibit improved wear
resistance compared to the martensitic case of a
conventional Q&T steel. In fact, as shown in Figure 11,
Bainite of a lower Rockwell hardness will have the same
abrasive wear capabilities as a slightly harder
martensitic structure.

Volume Loss, cm3 (x103)

16

14

Figure 13 : Carbo-Austempered Steel Output

Shafts for Heavy Duty Automotive Transmissions
(Courtesy of GM Allison Transmission.)

12

10
Austempered Steel
Q & T Steel

30

40

50

60

Hardness, Rc

Figure 11:
Pin Abrasion test
Austempered Steel and Q&T Steel.

results

for

APPLICATIONS OF CARBO-AUSTEMPERED
STEEL
Carbo-Austempered Steel components perform well in
tough applications where high strength and high wear
resistance are needed. Many of the applications shown
in Figures 12 - 22 were converted to CarboAustempered Steel from other materials when those
materials failed either in testing or in the field.

Figure 12 : Carbo-Austempered Steel Output

Shaft for Medium Duty Truck and Bus Automatic
Transmissions (Courtesy of GM Allison
Transmission)

Figure 14 : Carbo-Austempered Steel Double

Splined Shaft for Coupling Drives that has to take up
mis-alignment. (Courtesy of Torsion Control
Products.)

Figure 15 : Carbo-Austempered Steel

Transmission Pump Shaft. In this application,
Carbo-Austempering won out over a dozen other
processes tested and solved a warranty failure
problem. (Courtesy of Deco Technologies.)

Figure 16 : Carbo-Austempered Steel Differential

Pinion for High Performance Truck Axle (Courtesy
of Dana Corporation.)
Figure 19 : Carbo-Austempered Clip utilized in a
Tilt Steering Wheel. (Courtesy of Delphi Automotive
Systems)

Figure 17 : Carbo-Austempered Steel Side Pinion

for Overload Vehicles eg. AWD Logging Trucks.
(Courtesy of Dana Corporation.)
Figure 20: Carbo-Austempered Split Rings for an
Automotive Steering Application. (Courtesy of
Dirksen Screw Products Company.)

Figure 18: Carbo-Austempered Compressor Cams

which solved toughness and distortion issues.
(Courtesy of Vermont American.)

Figure 21: Carbo-Austempered Starter Clutch

Shells. (Courtesy of Purolator Products.)

Daimler Chrysler Technical Center

Dana Corporation
Deco Technologies
Delphi Automotive Systems
Dirksen Screw Products Company
Ford Motor Company
General Motors Allison Transmissions
Getrag Gears of North America
John Deere Corporation
Purolator Products
Torsion Control Products
Vermont American
Wisconsin Fineblanking
Figure 22: Parking Pawls for a Heavy Duty Truck.
This component will survive engaging the park
mechanism on a fully loaded truck situated on a 7%
grade at 2 mph. (Courtesy of Wisconsin
Fineblanking)

SUMMARY
When considering the use of Carbo-Austempered
Steel, the following limitations to the process should be
noted.
The Martensite Start temperature is the
controlling variable of the process, as it will determine
whether the core microstructure will be Bainite or
tempered Martensite. Furthermore, the hardness level
where superior properties can be realized by CarboAustempering is greater than 40 Rockwell C.
Additionally, it should be noted that average hardness
levels at or above 60 Rc cannot be achieved with a fully
bainitic microstructure in most steels.
The Carbo-Austempering process will produce
components with lower distortion than conventional
quench and temper processes and will eliminate
cracking problems.
When used properly, CarboAustempered steel can provide the solution to high
performance applications where high load, low cycle
fatigue properties along with good impact resistance are
needed.

ACKNOWLEDGMENTS
The authors would like to acknowledge the pioneering
work of W. R. Keough in Carbo-Austempering. Our
investigations could not have been completed without
his technical expertise and guidance. The authors
would also like to graciously thank the employees of
Applied Process, AP Southridge and AP Westshore for
their hard work and dedication. Additionally, we express
our appreciation to the following companies for their
assistance with this work:
Cummins Engine

REFERENCES
1. Keough, W.R., Carbo-Austempering, Proceedings
of the 2nd International Conference on Carburizing
and Nitriding with Atmospheres, Dec 1995, pp 135142.
2. ASM Handbook, Volume 4 Heat Treating,
Austempering of Steel, Revised 1995 by J. R.
Keough, W. J. Laird, Jr. and A. D. Godding, pp. 152
- 163.
3. Brandenberg, K. R., Hayrynen, K. L., and Keough,
J.R., Austempered Gears and Shafts Tough
Solutions, Gear Technology, March/April 2001, pp.
42 50.

CONTACT
Kathy L. Hayrynen
Applied Process Inc. Technical Director
khayrynen@appliedprocess.com
734-464-2030

ADDITIONAL RESOURCES
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+ www.asminternational.org