Handbook of

of Steel

The Materials
Information Society

Edited by G. Totten M. Howes T. Inoue

Handbook of Residual Stress
and
Deformation of Steel

Edited by

G. Totten
M. Howes
T. Inoue

//V/EWW4

The Materials
Information Society
Materials Park, Ohio 44073-0002
www.asminternational.org
 Copyright © 2002
by
ASM International®
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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. Steel—Fatigue—Handbooks, manuals, etc. 2. Residual stresses—Handbooks, manuals, etc. I. Totten,
Geoige E. II. Howes, Maurice A.H. III. Inoue, Tatsuo, 1939-

TA473 .H3215 2001

620.L76—dc21 2001040042
ISBN: 0-87170-729-2
SAN: 204-7586
ASM International®
Materials Park, OH 44073-0002
www. asmintemational.org

Printed in the United States of America

Multiple copy reprints of individual articles are available from Technical Department, ASM International.
Contributors

I. Alexandru T.Inoue M. Narazaki

Faculty of Materials Department of Energy Conversion Science Utsunomiya University
Technical University of Iasi Graduate School of Energy Science Tochigi, Japan
Romania Kyoto University, Japan
J. Pan
H. Bhadeshia D.-Y. Ju School of Materials Science and Engineering
Department of Materials Science and Sai tama Institute of Technology Shanghai Jiao Tong University
Metallurgy Saitama, Japan Shanghai, P.R. China
University of Cambridge, UK
N.I. Kobasko P. Ramakrishnan
V. Bulancea Ukraine National Academy of Science Department of Metallurgical Engineering and
Faculty of Materials Institute of Engineering Thermophysics Materials Science
Technical University of Iasi Kiev, Ukraine Indian Institute of Technology
Romania Bombay, India
Z. Kolozsváry
V.V. Dobrivecher S. C. Plasmaterm S.A. I.A. Razumovsky
Ukraine National Academy of Science Tg-Mures, Romania Leading Research Scientist
Institute of Engineering Thermophysics Institute Russian Academy of Sciences
Kiev, Ukraine A.L Kovalev
Moscow, Russia
Surface Phenomena Research Group
T. Ericsson CNIICHERMET T. Réti
Linkopings Tekniska Hogskola IKP Moscow, Russia Bánki Donát Polytechnic
Linkoping, Sweden Budapest, Hungary
J. Kritzler
F.D. Fischer Metal Improvement Company, Inc. C. Ruud
Vorstand des Institutes für Mechanik Unna, Germany Pennsylvania State University
Montanuniversitat Loeben University Park, PA USA
Loeben, Germany K. -H. Lang
Instituí füf Werkstoffkunde 1 G. Schleinzer
A.V. Fomin
Universitat Karlsruhe (TH), Germany Vorstand des Institutes für Mechanik
Leading Research Scientist
Montanuniversitat Leoben
Institute Russian Academy of Sciences R.W. Lewis
Leoben, Germany
Moscow, Russia Department of Mechanical Engineering
University College of Swansea, UK B. Seholtes
K. Funatani
Nihon Parkerizing Co. Ltd. Institut für Werkstofftechnik
D. Lohe
Universitat Kassel, Germany
Nagoya, Japan Institut füf Werkstoffkunde 1
Bo Gong Universitat Karlsruhe (TH), Germany K. N. Seetharamu
Department of Metallurgy & Materials Science School of Mechanical Engineering
J. Lu
University of Toronto, Canada Universiti Sains Malaysia, Malayasia
Universite de Technologie de Troyes
J. Grum Trayes Cedex, France G.E. Totten
Faculty of Mechanical Engineering G. E. Totten & Associates Inc.
T. Liibben
University of Ljubljana, Slovenia Stony Point, NY USA
ITW Bremen
A.Y. Hassan Bremen, Germany O.Vohringer
Director/Dean, School of Mechanical Institut füf Werkstoffkunde 1
M.V. Medvedev
Engineering Universitat Karlsruhe (TH), Germany
Research Scientist
Universiti Sains Malaysia, Malaysia Institute Russian Academy of Sciences D. L. Wainstein
K. Heess Moscow, Russia Surface Phenomena Research Group
Karl Heess GmbH CNIICHERMET
V.P. Mishina
Lampertheim, Germany Moscow, Russia
Surface Phenomena Research Group
F.T. Hoffmann CNIICHERMET H. W. Walton
ITW Bremen Moscow, Russia Consultant
Bremen, Germany Forest City, NC USA
V.S. Morganyuk
R. Hoffmann Ukraine National Academy of Science Z. Wang
ITW Bremen Institute of Engineering Thermophysics Department of Metallurgy & Materials Science
Bremen, Germany Kiev, Ukraine University of Toronto, Canada
iii
G.M. Webster V.V. Zabilsky W. Zinn
Union Carbide Corporation Physical Technical Institute, Ural Branch of Instituí für Werkstofftechnik
Tarrytown, NY USA RAS Universitat Kassel, Germany
Ijevsk, Russia
W. Wübbenhorst
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. Réti
Material Factors.............................................................................................. 3
H.K.D.H. Bhadeshia
Residual Stresses in Nitriding.................................................................... 209
Z Kolozsvdry
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. Lóhe, K.-H. Lang, and O. Vohringer M. Narazaki, G.E. Totten, and G.M. Webster

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

D. Lóhe 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
loan Alexandra and Vasile Balancea
Deflection Methods to Estimate Residual Stress......................................... 89
H. Walton Inducing Compressive Stresses through Controlled Shot Peening .... 345
J. Kritzler and W. Wiibbenhorst
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, andA.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. Ramaknshnan

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. Ltíbben, R. Hoffmann, and K. Heefi Index................................................................................................... 465
Preface
Control of steel deformation is one of the most
common concerns within the metals processing
industry. Numerous surveys have been con­
ducted by various organizations in recent years
to assess the critical needs of the industry. In
nearly every survey that has been conducted, dis­
tortion is either the greatest or second greatest
concern among the steel heat treating commu­
nity. Steel distortion control will exhibit tremen­
dous effects on the profitability of the commer­
cial enterprise. Therefore, it is not surprising that
the ability to understand the overall distortion
process and to be able to design solutions to this
problem typically rank very high on these same
surveys.
In view of the enormous visibility and impor­
tance of steel deformation problems, the editors
decided to put together an engineering handbook
on steel deformation. To address fifis subject
properly, contributing factors to overall steel de­
formation problems, including material effects,
machining, heating and cooling, must be exam­
ined.
This handbook contains 27 articles, divided
into five sections: Effect of Materials and Pro­
cessing, Measurement and Prediction of Resid­
ual Stress and Distortion, Residual Stress For­
mation in the Shaping of Materials, Residual
Stress During Hardening Processes, and Resid­
ual Stress Formation During Manufacturing Pro­
cesses.
There are five articles in the section Effect of
Materials and Processing. “Material Factors”
discusses the effects of various material proper­
ties such as thermal properties and the interac­
tions of residual stresses on the transformation
products formed and steel deformation during
fabrication. Transformation plasticity is dis­
cussed in some detail along with the use of mod­
eling to better understand these processes.
“Prestress Engineering of Structural Material”
provides a global design approach to understand­
ing the effects of residual stress generated during
surface engineering manufacturing processes
such as PVD and CVD on the material properties
obtained. Some of the topics discussed in this
chapter include developments in the measure­
ments of residual stresses, advanced mechanical
surface treatments, and modeling of fatigue be­
havior taking residual stresses into considera­
tion.
The effect of residual stresses on fatigue be­
havior is discussed in detail in the next article.
Examples of topics discussed include stability of
residual stresses, some aspects of fatigue in
steels, influence of residual stresses on cyclic de­
formation behavior, influence of residual stresses
on crack initiation and propagation, and effect of
residual stresses on S-N curves; an overview of
modeling of the effect of residual stresses on fa­
tigue behavior is provided.
The next article provides an overview of the
stability and relaxation behavior of macro and
micro residual stresses in steel due to thermal
and mechanical treatments. This discussion in­
cludes relaxation of residual stresses by anneal­
ing, residual stress relaxation by uniaxial defor­
mation, and relaxation by cyclic deformation.
Hydrogen embrittlement of metals, as well as
other types of brittle fracture, result from nucle-
ation and development of micro-cracks caused
by internal stresses. The last article in fifis sec­
tion provides an overview of the effect of resid­
ual stress on hydrogen embrittlement and stress
corrosion cracking (SCC) of steel. This discus­
sion includes the effect of hydrogen on structure
and transformation of steel, types of hydrogen
embrittlement, delayed fracture in steel, crack
initiation and growth, SCC of low alloy steels,
crack initiation and growth mechanism of SCC
processes, methods of estimating sensitivity to
SCC, effect of alloying elements on resistance
to SCC, and the role of structure and thermal
processing in SCC.
In the section Measurement and Prediction of
Residual Stress and Distortion, the first article
describes a number of simple, inexpensive de­
flection (dissection) methods used to estimate re­
sidual stress of various types of components. The
methods include Almen strip; Navy C-Ring;
plate or bar slitting and deflection; tube slitting
and opening; and bending of bars, H-beams, and
channels.
The next article provides an overview of re­
sidual stress measurement methods. Topics in­
clude residual stresses arising from various
manufacturing processes, measurement methods
including strain measuring technique, post-stress
relaxation measurement, sectioning and material
removal methods. In addition, strain measure­
ment methods such as x-ray and neutron diffrac­
tion, ultrasonic, birefringent and laser, optical
gages, brittle coatings, Barkhausen noise, and
chemical coatings are discussed. Semidestruc­
tive methods such as blind hole drilling and ring
coring are discussed.
Measurement of residual stresses in coatings
and thin films is important because their influ­
ence on mechanical and physical properties af­
fect component service performance. “Stress De-
vi
termination in Coatings” provides a guide for
measuring residual macrostress in coatings, Spe­
cific topics include origin of residual stresses in
coatings and residual stress measurement meth­
ods including the deflection method, x-ray dif­
fraction, and hole-chilling. A comparison of
these methods is provided.
The last article in this section provides a de­
tailed review of methods used to measure and
subsequent data analysis of inhomogeneous re­
sidual stress fields. This discussion includes re­
sidual stress as an inverse problem of experi­
mental mechanics, indicator crack method of
measuring residual stress, arbitrary cut-out in­
dicator method, and experimental methods and
equipment including photoelastic coating
method, and optical interferometry. Although
this is a relatively rigorous numerical discussion,
practical examples also are provided.
Residual Stress Formation in the Shaping of
Materials contains four articles. The first article
covers residual stress in the steel forming pro­
cesses. The steel forming processes included are
cold forming such as wire drawing, and hot
forming such as extrusion, rolling, and forging.
The effects of residual stresses involved in these
processes are reviewed, and specific topics in­
clude residual stress in cold metal forming such
as bending of sheet, drawing of wire, rod, and
tube, and residual stresses in deep drawn cup,
sunk tubes, and radial forging products.
The effect of final shaping prior to heat treat­
ment on residual stress formation is discussed in
the next article. The effects of shaping processes
including grinding, milling, turning, shot peen-
ing, and straightening on residual stress are dis­
cussed. Also discussed is distortion after final
part shaping and experimental and computa­
tional studies of these processes.
The next article provides a practical overview
of the factors affecting residual stress and dis­
tortion during final part shaping. Included are
discussions of influence of component shape on
heat treatment distortion, the effect of cross-
section size and asymmetry, effect of heat treat­
ing procedure and machining process on final
component shape, effect of sequence of heat
treating and machining, influence of machining
allowance and stress relieving procedure, influ­
ence of residual stresses caused by cutting, meth­
ods of manufacturing blanks and effect of origi­
nal structure, hot-rolled steels or forgings and
effect of banded segregation and carbide segre­
gation, influence of heat treating methods, the
effect of heating including the rules of heating,
quenching and system design, tempering, and
equipment and racking.
A more focused, but practical, discussion on
the effect of process equipment design on dis­
tortion follows. Subjects that are covered include
distortion generating process equipment, meth­
ods that may be used to minimize equipment-
related distortion, quench system design, and
press quenching.
Residual Stress During Hardening Processes
contains eight articles. The first article provides
a detailed discussion on the residual stresses in
carburized, carbonitrided, and case-hardened
components. Topics include process considera­
tions for carburized and carbonitrided compo­
nents, transformations and stress evolution in
carburized and case-hardened components, ef­
fect of heat treating operations on residual stress
distribution, relationship between residual
stresses and properties of carburized parts and
modeling and prediction of residual stress field.
The article on residual stresses in steel nitrid­
ing includes a discussion of nitrided layer struc­
ture as a function of nitriding process, residual
stresses in nitrided layers, influence of residual
stresses on fatigue behavior of nitrided steel
components, and modeling and prediction of re­
sidual stresses in nitrided steel components.
The article on residual stress formation in in­
duction hardening processes include an over­
view of the induction hardening process and
steels used for this process, magnetic flux con­
centrators, conditions in induction heating and
quenching of machine parts, residual stress sur­
face profiles after induction surface hardening,
stress profiles in the machine part in the loaded
state, workpiece distortion in induction surface
hardening, induction surface hardening of gear
wheels, fatigue strength of materials, and resid­
ual stresses after induction surface hardening and
finish grinding.
The next article provides an overview of re­
sidual stresses and distortion resulting from re­
heating and quenching. Topics include phase
transformation during heat treating including
steel transformations, TTT and CCT diagrams,
metallurgical crystal structure, estimation of vol­
umetric change due to steel transformation upon
quenching, cooling of steel with and without
metallurgical transformation, tempering, basic
distortion mechanism, relief of residual stresses,
material movement due to thermal gradients dur­
ing heating and cooling, material, component
and process effects, retained austenite, quench
severity and uniformity and process design ef­
fects on distortion, quench distortion and crack­
ing, quenchant selection, measurement and eval­
uation of quenching power, estimation of heat
transfer coefficient, wetting behavior and non-
uniform quenching, surface conditions, and
quench process modeling and simulation of re­
sidual stress and distortion after quenching.
A detailed approach to modeling and simula­
tion of residual stress and distortion applied to
quench processing follows. This discussion is
based on a metallo-thermo-mechanics approach,
and topics discussed include an overview of
metallo-thermo-mechanics and numerical simu­
lation methodology with practical examples.
In the article on the control of residual stress
formation and steel deformation during rapid
heating and cooling, a particular emphasis is on
intensive quenching. This is the first detailed,
article-length discussion of this old, but little-
known technology in the western world. Topics
include mathematical model for calculation of
thermal and stress-strain state, computation of
stress-strain state, possibility of predicting hard­
ening cracks, predicting the deformation of bear­
ing rings during hardening, thermal stresses
formed in carburized steel products due to ex­
cessive cooling rates, generalization of compu­
tational and experimental results for heating and
cooling of parts with different geometries and
thermal and physical fundamentals of processing
of high-strength materials.
An often contradictory subject is the cryo­
genic processing of steels, and the detailed over­
view of the effect of cryogenic cooling on resid­
ual stress is presented here. Specific topics
include role of residual stresses within marten­
sitic transformation at cryogenic temper atures,
evaluation of residual stresses after cryogenic
cooling, influence of cryogenic cooling on resid­
ual stresses and dimensional stability of steels,
and influence of cryogenic cooling on the struc­
ture and substructure of steels.
The practical use of controlled shot peening
to induce compressive residual stresses is de­
scribed in detail next. This discussion includes a
historic overview of shot peening, elementary
processes of shot peening, workpiece and ma­
terial process parameters, process monitoring,
process optimization, x-ray diffraction, and in­
dustrial examples.
In Residual Stress Formation During Manu­
facturing Processes, the first article includes an
extensive discussion of residual stress and de­
formation problems arising from the casting pro­
cess, and modeling of residual stress formation
during casting. Discussion includes finite ele­
ment analysis of heat flow during casting, for­
mulation of the elasto-viscoplastic stress model,
and deformation of a solidifying material.
The next article describes residual stress for­
mation during the casting process, and it in­
cludes continuous and centrifugal casting. Top­
ics discussed include inelastic behavior and
unified constitutive theory of metallic material
in solidification, analytical method of the
thermal-mechanical problem for the casting pro­
cess, residual stress formation during semicon-
tinuous casting, residual stress formation during
centrifugal casting, and residual stress formation
during strip casting by the twin-roll method.
The origin and assessment of residual stresses
during welding or brazing is discussed next.
Welding residual stresses are discussed includ­
ing residual stresses due to shrinkage, quench­
ing, and phase transformations. Characteristic
residual stress distributions in brazed compo­
nents is also discussed.
The article “Residual Stresses in Powder
Metal Processing” is divided into two parts. The
first part describes manufacturing of ferrous P/
M parts including powder characteristics, com­
paction in rigid dies, isostatic compaction, sin­
tering, heat treatment of P/M parts, hot pressing,
roll compaction, powder forging, metal injection
molding, spray forming, warm compaction, and
rapid prototyping. The second part discusses re­
sidual stresses in P/M processing including
powder production, compaction of metal pow­
ders, sintering of metal powders, pressure sin­
tering and hot isostatic pressing, heat treatment
of P/M parts, and microstructural development
and properties.
“Residual Stress Formation and Distortion of
Rail Steel” covers the cooling process including
the cooling boundary conditions and heat trans­
fer, residual stress state analysis, weight and fric­
tion—the rail end problem, experimental results;
roller straightening including residual stresses in
unused roller-straightened rails, behavior of rail
steel under plastic deformation, simulation of
roller straightening; and rails in service includ­
ing residual stresses due to welding and residual
stress formation in rolling contact.
The last article provides a detailed description
of residual stress formation during hypoid gear
manufacture. It includes an overview of residual
stress formation in carburized and hardened
work, profiles and peak magnitudes of residual
stresses, measurement methods including the
Sach’s hole-drilling method, x-ray and neutron
diffraction, influence of steel properties on resid­
ual stresses, influence of carburizing process pa­
rameters on residual stress formation, benefits of
residual stresses on fatigue strength, and the ef­
fects of hardness, case depth, intergranular oxi­
dation, influence of shot peening, change of re­
sidual stresses during fatigue, and distortion of
carburized and hardened steels.
The preparation of a text of this scope was a
tremendous task. The editors are deeply indebted
to many colleagues for their patience, support,
and assistance; without them this text would not
have been possible. Special thanks go to the
ASM staff who often labor in the background
but who are vital members of the team. Particu­
larly, thanks go to Veronica Flint and Carol Ter-
man of ASM International for their help and en­
couragement.
Very special thanks go to our families for their
seemingly unending support. Without their un­
derstanding and encouragement, this project
would never have been completed.
George E. Totten, Ph.D., FASM
Editor
G.E. Totten & Associates Inc.
Stony Point, NY USA
Prof. Maurice A.H, Howes, Ph.D. (Retired)
Editor
Worcestershire, England
Prof. Tatsuo Inoue, Ph.D., FASM
Editor
Department of Energy Conversion Science
Faculty of Energy Science
Kyoto University
Kyoto, Japan
Material Factors
H.K.D.H. Bhadeshia, University of Cambridge

RESIDUAL STRESSES are a consequence of
interactions among time, temperature, deforma­
tion, and microstructure (Fig. 1). Material or
material-related characteristics that influence the
development of residual stress include thermal
conductivity, heat capacity, thermal expansivity,
elastic modulus and Poisson’s ratio, plasticity,
thermodynamics and kinetics of transformations,
mechanisms of transformations, and transfor­
mation plasticity.
Many general statements can be made about
the role of material factors in the evolution of
residual stress. Spatial variations in temperature
give rise to nonuniform thermal strains, the ef­
fect of which becomes exaggerated when the
material is elastically stiff and has a high yield
strength. A large thermal conductivity helps re­
duce residual stress by reducing temperature gra­
dients (Ref 2). The dissipation or absorption of
heat depends not only on the external environ­
ment of the component but also on internally
generated heat—for example, during adiabatic
deformation or due to the latent heat of transfor­
mation. Similarly, the plastic strain distribution
in the component depends both on the constitu­
tive properties and on how the shape deforma­
tions due to phase transformations compensate
tions that follow; others such as elastic modulus
and thermal conductivity still have to be mea­
sured for individual alloys.
Heat Capacity
The dominant contribution to specific heat ca­
pacity comes from lattice vibrations (phonons),
since the majority of free electrons are prevented
from participation in heat absorption by the Pauli
exclusion principle. However, for iron and its
alloys, a further important contribution comes
from magnetic changes. The net specific heat ca­
pacity can therefore be factorized into tliree com­
ponents:
C?{T) = cJyldj + CtT + CAT) (Eq 1)
where Cy {TD IT) is the Debye specific heat func­
tion and Td is the Debye temperature. The func­
Table 1 Physical properties that affect the development of residual stress in steels
tion Cj corrects C^{TD/T] to a specific heat at
constant pressure. Ce is the electronic specific
heat coefficient, and C£ is the component of the
specific heat capacity due to magnetism. Figure
2 illustrates the data for ferrite and austenite in
pure iron. Whereas it is well known that ferrite
undergoes a paramagnetic to ferromagnetic tr an­
sition on cooling below 1042.15 K, the magnetic
properties of austenite are seen from Fig. 2 to be
of some consequence in determining the heat ca­
pacity. There are two coexisting electron states
of austenite, one of which is ferromagnetic with
a Curie temperature of 1800 K and the other of
which is antiferromagnetic with a Néel tempera­
ture of 55 to 80 K (Ref 4). The balance between
these states changes with temperature, giving
rise to corresponding changes in heat capacity.
The data in Fig. 2 are for pure iron, but there
is now sufficient understanding of the compo­
nents of heat capacity to enable similar estimates
for iron alloys, using internationally available
computer programs and thermodynamic data-
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 Y 200 175 150 124
O! + P 210 193 165 120
course, temperature dependent. Table 1 illus­
«b 210 193 165 120
trates how several key properties might vary Oi' 200 185 168
with temperature (Ref 3). Some of these prop­
Poisson ratio Y 0.291 0.309 0.327 0.345
erties, which can to some extent be estimated a+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
o¿' 0.280 0.296 0.310
Thermal expansivity, K_1 Y 2.1 X io-5
O! + P 1.4 X io-5
«b 1.4 X io-5
a' 1.3 X io-5
Thermal conductivity, W/m • K Y 15.0 18.0 21.7 25.1
a+P 49.0 41.7 34.3 27.0
ab 49.0 41.7 34.3 27.0
a.' 43.1 36.7 30.1
Specific heat capacity, 10-6 J/m3 • K Y 4.15 4.40 4.67 4.90
a+P 3.78 4.46 5.09 5.74
ab 3.78 4.46 5.09 5.74
2. Temperature-
3. Transformation a' 3.76 4.45 5.07
dependent phase
transformations strain Yield strength, MPa 190 110 30 20
Y
a+P 360 230 140 30
Microstructure ab 440 330 140 30
a' 1600 1480 1260

pig "| The coupling of temperature, stress, and micro- (a) a, P, as,, and a' 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
thermodynamic quantities such as enthalpy and
entropy are derived from heat capacity data. It is
surprising that this capability has not yet been
exploited in any calculation of residual stress,
even though the methodology is widely avail­
able.
Expansion Coefficient and Density
Table 1 shows that the expansion coefficient
of austenite is larger than that of ferrite; this
might be considered surprising given the lower
density of ferrite. However, the behavior is again
Temperature, K
F¡g 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, « —> y, and y —> 8 transitions. 8-ferrite is simply an
alternative historical name for high temperature a. Source:
Ref 5
Temperature, K
Molar volumes of the various forms of iron.
Fig. 3
Source: Ref 5
a reflection of the two coexisting electronic
states of austenite (y0 and y^, each with a ther­
mal expansion coefficient that is identical to that
of ferrite. The y0 component has the lower molar
volume and is the antiferromagnetic form,
whereas the denser y j form is ferromagnetic. The
relative proportion of atoms in the y0 and y,
states changes with temperature, so that the ap­
parent expansion coefficient of austenite as a
whole, as detected experimentally, is much
larger than that of ferrite (Fig. 3).
The molar volumes (in cm3/mol) of y0, y,, y,
and a over the temperature range of 300 to 1775
K are:
V]Z = 6.695(1 + 2.043 X 10~ 5 T + 1.52 X 10“*T 2 )
F™ = 7.216(1 + 2.043 X 10“5T + 1.52 X 10~*T 2 )
Vl{T) = (1 - y)V*{T) + y V*{T)
on =
7.061(1 + 2.043 X 10“5r + 1.52 X 10^T 2 )
where y is the fraction of atoms of austenite in
the y, state, the details of which can be found
elsewhere (Ref 4, 5).
These data are for pure iron, but thermody­
namic data can be used to assess how the expan­
sion coefficients would change with alloying,
since there are quite sophisticated treatments of
the effect of solute elements on the magnetic and
other components of the free energies of iron.
Note that the “two electronic states” picture of
austenite is a simplification of the real scenario,
but first-principles calculations (Ref 7), which
Fig. 4 Transformation products of austenite. Source: Ref 12
deal with higher levels of complexity, are not yet
applicable to practical alloys.
Plastic Deformation
The familiar mechanisms of plastic deforma­
tion are slip, mechanical twinning, and creep.
Phase transformations also cause permanent de­
formation (Ref 8-1 1). In steels, austenite can de­
compose into a large variety of microstructures
that are distinguished by the atomic mechanism
of transformation (Fig. 4). In a displacive trans­
formation, the change in crystal structure is
achieved by a deformation of the parent struc­
ture. A reconstructive transformation is one in
which the change in structure is achieved by a
flow of matter, which occurs in such a way that
strains are minimized.
All the transformations cause changes in
shape (Fig. 5a), winch for reconstructive trans­
formations simply reflects the change in density.
For displacive transformations, the shape change
is an invariant-plane strain (IPS), that is, a com­
bination of a shear on the invariant plane and a
dilatation normal to that plane. The strain energy
associated with a constrained IPS is minimized
when the product phase has a thin-plate shape.
This is why Widmanstatten ferrite, bainite, acic­
ular ferrite, and martensite in steels grow in the
form of plates. The distinguishing features of a
variety of deformation modes are compared in
Table 2, and Table 3 describes the shape defor­
mations.
The permanent strain caused by any transfor­
mation is called transformation plasticity>. A
 Material Factors / 5

phase change in a stress-free material is usually
triggered by heat treatment, when the parent
phase passes through an equilibrium transfor­
mation temperature. Alternatively, the applica­
tion of a stress in isothermal conditions can trig­
ger transfonnation in circumstances where it
would not otherwise occur. Unusual effects can
occur when stress and temperature work to­
gether. The transformation may occur at remark­
ably low stresses or at very small deviations
from the equilibrium temperature. This is why
even minute stresses can greatly influence the
development of microstructure, and vice versa.
It is not surprising that transformation plasticity
can be obtained at stresses that are much smaller
than the conventional yield stress of the parent
phase.
Transformations, Residual Stresses,
and Related Phenomena
The strains due to phase transformations can
alter the state of residual stress or strain. It is well
known that the martensitic transformation of the
carburized surface of a steel component puts the
surface under compression. It is argued that this
is because of the expansion at the surface due to
formation of the lower-density martensite from
austenite.
Phase transformation can also compensate for Deformation System
stress. Greenwood and Johnson (Ref 13, 14)
showed that when a phase change is accompa­ Displacive transformations can be regarded as
nied by a change in volume, the tensile strain modes of plastic deformation. Just as a combi­
expected when transformation occurs under the nation of a plane and a direction constitutes a
influence of a tensile stress c is given by: deformation system for slip or twinning, the
habit plane and displacement vector of the
invariant-plane strain accompanying displacive
transformation completely describe the defor­
mation system responsible for transformation
where ox is the yield stress of the weaker phase plasticity. The displacement vector describes the
and AVIV is the transformation volume strain. sense of the macroscopic displacements accom­
The role of shear straius associated with trans­ panying transformation and, along with the habit
formation has been emphasized in later work by plane indices, also contains information about
Magee and Paxton (Ref 15, 16), and subse­ the magnitude of the shear component and dil-
quently by Fischer (Ref 17), Leblond et al. (Ref atational component of the displacements. Typ­
18-22), 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
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
more organized when transformation occurs in a flow, so it is not appropriate to regard them as
stress’s parent phase, because the stress favors deformation systems in the present context.
the formation of certain orientations relative to Given the cubic crystal structure, and the fact
others. This is illustrated schematically in Fig. that habit planes tend to be irrational, there will
5(b) to (d). These aspects will now be discussed in general be 24 of these systems per austenite
in more detail, because transformation plasticity grain, and they may operate simultaneously to
can radically alter the state of residual stress. varying extents. Of course, unlike ordinary slip,
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
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
Can lead to a density change No No Yes Yes

Table 3 Shape change due to transformation

Transformation Shape change (a) sfb) 5(b) Morphology
All otriomorphic ferrite Volume change 0.00 0.02 Irregular
Idiomoiphic ferrite Volume change 0.00 0.02 Equiaxed, faceted
Pearl it e Volume change 0.00 0.03 Spherical colonies
Wi dm an st atten f erri te Invariant-plane strain 0.36 0.03 Thin plates
Bainite Invariant-plane strain 0.22 0.03 Tliin 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 (a) Invariant-plane strain 1 0.00 Tli in plates
Annealing twins (y) 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 6 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.

Table 4 Deformation systems associated with transformations

F¡g 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
anism into a random set of ferrite plates, (d) Polycrystalline 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
approximate, since the habit plane and displacement directicn 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 giv en by m, which is the total displacement
placive transformation mechanism into an organized set of including the shear and the dilatational components.
ferrite plates.
6 / Effect of Materials and Processing
the different deformation systems within an aus­
tenite grain cannot intersect, except in special
circumstances where intervan ant transforma­
tions are possible, as is the case with some
shape-memory alloys. It follows that the ordi-
°N
Fifi 6 Resoiution °f the applied stress, o . The normal
A
* stress, oN, and the shear stress, x, both act on the
habit plane. The vector d is the direction along which lie
the shear displacements of the shape deformation. xmax is
the maximum shear stress on the habit plane, butx is given
by resolving xm8X along d. Note that d differs slightly from
the displacement vector of the IPS, which includes a dila-
tational component in addition to the shear.
Table 5 Typical values of the mechanical
driving force coefficients
Nature of stress dAGIdrr, J/(mol MPa)
Uniaxial tension
Uniaxial compression
El asti c crack ti p (a)
(a) The stress state for the crack tip is multiaxial, but the coefficient is
calculated by expressing the stress in terms of the von Mises equivalent
tensile stress. Source: Ref 32
Stress (below austenite yield strength)
Fifi 7 Indication of how the transformation-start tem-
® perature (for Widmanstatten ferrite, bain ¡te, acic­
ular ferrite, or martensite) should vary as a function of the
nature and magnitude of an applied stress whose magni­
tude is less than that of the yield stress.
Table 6 Sensitivity of transformat ion-start
temperatures in steels to applied stress
Phase Nature of stress Sensitivity, K/MPa
Martensite Pressure
Bainite Pressure
Eutectoid Pressure
Martensite Tensile
Source: Ref 32
nary notion of work hardening does not apply.
Work hardening nevertheless manifests itself via
a different mechanism, in which the stability of
the austenite increases as it becomes ever more
finely divided.
The Taylor/von Mises criterion (Ref 25, 26)
states that in any given crystal, a minimum of
five independent slip systems is necessary to
produce an arbitrary shape change. A crystal in
a polycrystalline aggregate has to accommodate
the arbitrary deformations of neighboring grains.
Therefore, a polycrystalline material is brittle
unless each grain contains at least five indepen­
dent slip systems. Similar logic can be applied
to the crystallographic variants of a phase gen­
erated by displacive transformation. The habit
plane is predicted theoretically (Ref 27, 28) and
found experimentally (Ref 29) to have irrational
indices. This means that there exist, in principle,
24 possible variants of the habit plane per grain
of austenite (that is, 24 independent deformation
systems). Given this large number of transfor­
mation variants available per grain, the Taylor
criterion leads to the conclusion that transfor­
mation plasticity can cause, or accommodate,
any externally imposed, arbitrary shape
change—assuming that a sufficient quantity of
parent phase is available. It follows that poly­
crystalline samples can remain intact at grain
boundaries when transformation plasticity is the
—0.86
—0.58 sole mode of deformation.
— 1.42
Mechanical Driving Force
The interaction of an applied elastic stress
with a phase change can occur in two ways:
1. The stress can alter the driving force for the
transformation.
2. The stress can change the appearance of the
microstructure by favoring the formation of
those variants which best comply with the ap­
plied stress.
For reconstructive transformations, only the
hydrostatic component of stress can interact with
Fifi 8 Typical magnitudes of the chemical and me-
-0.06 ° chanical driving forces for stress-affected trans­
-0.09 formation. The mechanical driving force is estimated for an
-0.011 applied stress that is equal to the yield stress of austenite.
+ 0.06 Since this yield stress becomes small at high temperatures,
the contribution of the mechanical driving force also de­
creases. Therefore, transformation becomes impossible as
the temperature exceeds about 700 °C (1 290 °F).
the volume change. The corresponding interac­
tion with displacive transformations is much
larger because of the shear component of the
IPS.
For displacive transformations, the influence
of stress on the transformation can be expressed
as a mechanical driving force (AGmech), which is
the work done by the external stress in producing
the macroscopic shape deformation (Ref 30, 31):
AGmech = °NS + W (Eq 3)
where aN is the normal stress on the habit plane
and t is the component of the shear stress on the
habit plane that is parallel to the direction along
which the shear displacements of the shape de­
formation occur (Fig. 6). The strains 8 and s are
the dilatational and shear components, respec­
tively, of the shape deformation. Some typical
values of the mechanical driving force terms are
given in Table 5. Given a flee choice of some
12 to 24 crystallographic variants of the trans­
formation product in each grain of austenite, the
work done by the shear stress is always expected
to be positive, whereas that due to the dilata­
tional component depends on the sign of c%. For
steels, this latter component is relatively small.
Any observed consequences of stress must there­
fore reflect the dominant role of the shear com­
ponent unless the stress is purely hydrostatic.
Since the shear stress remains positive irre­
spective of whether the sample is pulled in ten­
sion or uni axially compressed, and since the
shear component of the shape change is large, a
uniaxial stress will always cause a temperature
increase for displacive transformations in steels.
Hydrostatic stress, on the other hand, has no de-
viatoric components and consequently interacts
only with the dilatational component of the
shape change. Thus, hydrostatic compression is
expected and found to lead to a decrease in the
transformation temperature (Fig. 7); some data
(Ref 32) on the sensitivity of the transformation
temperature to applied stress are presented in Ta­
ble 6.
Limits to Stress-Assisted
Transformation
At temperatures close to that at which the
equilibrium transformation occurs, an applied
stress can assist reaction when the chemical driv­
ing force is insufficient to achieve the change on
its own. There must exist a point, however, when
the applied stress simply cannot provide enough
mechanical driving force to complement the
chemical term to give a driving force large
enough to induce transformation. After all, the
magnitude of the stress that can be applied is
limited by the yield point of the parent phase.
Thus, there are limits to what can be achieved
by the application of stress as a stimulus to trans­
formation (Fig. 8).
 Material Factors / 7

Transformation under Constraint:
Residual Stress
Residual stresses are often introduced unin­
tentionally during fabrication—for example,
during welding or heat treatment. A few elegant
experiments illustrate how phase transforma­
tions interact with the buildup of residual stress.
Using bainitic, martensitic, and stable austen­
itic steels, Jones and Alberry (Ref 33, 34) de-
mostrated that transformation plasticity during
the cooling of a uniaxially constrained sample
from the austenite phase field acts to relieve the
buildup of thermal stress as the sample cools. By
contrast, the nontransforming austenitic steel ex­
hibited a continuous increase in residual stress
with decreasing temperature, as might be ex­
pected from the thermal contraction of a con­
strained sample.
When the steels were transformed to bainite
or martensite, the transformation strain compen-
Temperature, °C
(a)
\
\ liighly anisotropic strains, as illustrated in Fig.
Plastic '■ Stress due to
strain in \ thermal
austenite \ contraction
\ of austenite
Transformation \
V finished \ shear strains.
X\( J —, ¿X
sated for any thermal contraction strains that
arose during cooling. Significant residual
stresses were therefore found to build up only
after transformation was completed and the spec­
imens approached ambient temperature (Fig. 9).
The experiments contain other revealing fea­
tures. The thermal expansion coefficient of aus­
tenite (1.8 X 10 _6/K) is much larger than that
of ferrite (1.18 X 10 _6/K), and yet the slope of
the line prior to transformation is smaller when
compared with that after transformation is com­
plete (Fig. 9). This is because the austenite yields
to accommodate the thermal contraction, which
is possible because the yield strength of the aus­
tenite is reduced at elevated temperatures. Ferrite
is strong at low temperatures, so the slope of the
stress/temperature curve (after transformation is
complete) is steeper and consistent with the mag­
nitude of thennal contraction strains.
Interpretation of experimental data of the kind
illustrated in Fig. 9 is difficult in the region of
the stress/temperature curve where transforma­
tion occurs. The popular view that the volume
change due to transformation is the major com­
ponent of transformation plasticity is probably
incorrect for displacive transformations such as
bainite or martensite. The shape change due to
transformation has a shear component that is
much larger than the dilatational term (Table 3).
Admittedly, this shear component should, on av­
erage, cancel out in a fine-grained polycrystal­
line sample containing plates in many orienta­
tions (Fig. 5c). However, the very nature of the
stress effect is to favor the formation of selected
variants, in which case the shear component rap­
idly begins to dominate the transformation plas­
ticity (Fig. 5d).
75 W Pa com rressivr i stress
The residual stress at ambient temperature is
larger when the austenite finishes transformation
at a high temperature. This is because thermal
contraction strains can no longer be compen­
sated by transformation plasticity once the aus­
tenite has decomposed. Low transformation tem­
peratures help minimize residual stresses.
High-strength welding alloys used for making
submarine hulls therefore have transformation
temperatures of less than about 250 °C (480 °F).
Figure 10 illustrates one kind of distortion
found in welds, measured in terms of the angle
0 through which the unconstrained plates rotate
as they cook Table 7 shows how the distortion
depends on the temperature at which the major­
ity of the transformation is completed, for two
manual metal arc welds deposited with a 60° V-
joint preparation in a multipass fabrication in­
volving about 11 layers, with two beads per layer
to complete the joint. The distortion is clearly
larger for the case where the transfonnation is
exhausted at the higher temper ature.
Anisotropic Strain and
Transformation Plasticity
When an unstressed polycrystalline sample of
austenite is transformed to plates of ferrite, the
shear caused as each randomly oriented plate
forms is canceled on a macroscopic scale; only
the volume expansion is observed experimen­
tally. However, if the plates do not form at ran­
dom—for example, when certain variants are fa­
vored because they comply better with the
external stress—the shear strains are no longer
canceled out. Transformation will then lead to
11. Natur ally, any anisotropy will be greatest for
displacive rather than reconstructive transfor­
mations, given that the former involve large

Modeling Anisotropic
Transformation \ eL
Transformation Strains
Stress due to begins
thermal contraction Consider a distribution of bainite variants
of ferrite 0 100 200 300 400 500 600
along all radial directions in a circle with the
Transformation time, s
Temperature compression axis as its diameter (Ref 35, 36).
(b)
F¡o 'l 'l Development of anisotropic transformation The circle is divided into 18 equal segments (i
F¡o 9 (a) Plot of residual stress versus temperature for strain when bainite forms under the influence = 1 —> 18), each segment representing a partic­
® a martensitic (9CrMo), bainitic (2CrMo), and aus­ of a constant, elastic applied compressive stress. Note that ular orientation of bainite habit plane. The
tenitic steel (AISI 316). Adapted from Ref 33, 34. (b) Inter­ the shear strain associated with the formation of one plate
is about 26%, with a volume change of about 3%. The
choice of 18 segments is convenient and arbi­
pretation of the Jones and Alberry experiments. The thermal
potential for anisotropy is therefore much greater than il­ trary. The compression axis of the sample is
expansion coefficient of austenite is much larger than that
of ferrite. lustrated here. taken to be the z direction, the * andy directions

Table 7 Chemical composition, calculated transformation temperature range (AT), and

measured distortion (0) for two manual metal arc, multipass weld deposits
Composition, wt%
C Si Mn Ni Mo Cr AT, °C(°F) 0
0.06 0.5 0.9 802-400 (1476-750) 14.5
0.06 0.3 1.6 1.7 0.4 0.35 422-350 (792-660) 8

Fig. 10 Distortion caused by welding two plates that Source: H.K.D.H. Bhadeshia and L.-E. Svensson, unpublished data, 1994
were originally flat
8 / Effect of Materials and Processing
being radially orientated; the unit vectors x, y,
and z define the orthonormal basis A of the sam­
ple, giving a corresponding reciprocal basisA*.
The shear and dilatational components of the IPS
accompanying the growth of bainite are approx­
imately s = 0.22 and 8 = 0.03. Thus, the 3 X
3 deformation matrix describing the shape de­
formation is given by:
1 + fseiPi + fSpiPi
p= fie2pi + fiPiPi
Jse3pi + fop-ipx
felP2 + JMP2
1 + M2P2 + JhhPi
fse1p2 + /fan
fseip3 + fSpiP3
fse2p3 + fop2p-3
1 + fse3p3 + fbp3p3
where p is the unit normal to the habit plane and
e is the unit direction along which the shear oc­
curs. This can be written more succinctly as:
«1 Pi
P = I + fs
<?2(JP1P2P3) + /S P2 iPlP2P3)
«3 Pz
where I is a 3 X 3 identity matrix. A further
reduction of notation is achieved using the
MacKenzie and Bowles notation (Ref 27):
(XPtX) = I + MXeMp-X*)
+ MXpJpa*)
where the subscript i identifies a particular seg­
ment of interest and A and A*, respectively, rep­
resent the real and reciprocal bases of the coor­
dinate system in which the deformation is
described. The notation due to MacKenzie and
Bowles (Ref 27) is discussed in detail in Ref 35.
The components of the shear direction and the
dilatation direction are given by:
[A;<?¡] = /[ - cos(9,) 0 sinfe,)]
[X,pA = /[since,) 0 cos(0,)]
0 0
90
Fie. 12 Transformation behavior inherent in the model (Ref 36). The dots illustrate the area fraction of each segment,
which in the calculations is scaled according to the value of U¡ + AC”, (a) Zero stress. All segments have
equal area fraction, and the order in which they transform is irrelevant, (b) Applied stress of 40 MPa and AC” = 400 J/
mol. The area fractions of the segments are no longer equal. The segments in which the distance of the dot from the origin
is largest transform first.
where 0, represents the orientation of the habit
plane of variant i and/ is the volume fraction of
bainite located in segment i.
A unit vector along the z direction changes to
a new vector z' given by:
is
[A;z'] =
i= 1
n
mx) [0 0 1]
whereas a unit vector along x changes to
18
[X;xr] = n (xp.X) [l 0 0]
i=l
where (x' — 1) and (z! — 1) give the strains
along the x and z directions. These are assumed
to be equal to radial and longitudinal strains sR
and eL, respectively.
It is expected that those segments that comply
best with the applied stress transform most rap­
idly, whereas the others do so at a lower rate, or
not at all. This can to some extent be incorpo­
rated into the model by calculating the energy
change U{ as the stress interacts with the shape
deformation of a particular variant (i). Patel and
Cohen’s method (Ref 30) gives:
U{ = [,y sin 20r cos 4>¡ + 8(1 + cos 29,)]
where <f> is the angle between the shear direction
(Eq4) and the direction of the shear component of the
applied stress as resolved onto the habit plane.
To facilitate a two-dimensional analysis, the
value of 4>, is taken to be zero. A positive value
of £/, adds to the chemical driving force (AGa7
= Gy — G“) for transformation; a negative
value thus opposes transformation. Using these
values of interaction energies, the model can be
modified so that tire segments transform in an
order of decreasing Uv There is, however, a fur­
ther complication. The effect of stress should be
largest when the interaction energy is large com­
pared with the chemical driving force. To allow
for this, the volume fraction/ of each segment
90
can be scaled according to the value of U, +
AGay.
Note that for the model calculations, the trans­
formation occurs with the most favored variants
growing first (Fig. 12). The model thus exagger­
ates the effect of stress, since in reality, for the
sort of stress levels considered experimentally,
no variant is likely to be entirely suppressed. In
addition, the grains in a polycrystalline sample
are “randomly” oriented, so that perfect compli­
ance with the applied stress is impossible. Nev­
ertheless, the trends revealed by the model are
expected to be correct.
The experimental data that need explaining,
and their interpretation in terms of the model are
summarized in Fig. 13 and may be stated as fol­
lows:
• Without any stress, in a random polycrystal­
line sample, the transformation strains are
isotropic. This is easily understood since the
shear components of randomly oriented
plates tend to cancel out (Fig. 13a).
• The application of the small stress at a high
transformation temperature (that is, a small
chemical driving force) causes the develop­
ment of anisotropic strains, the transverse
strain first being negative and then positive
(Fig. 13b). The same effect is observed for a
large stress and low temperature (that is, a
large driving force). The model explains fifis
effect when it is assumed that the favored var­
iants form first, but that the stress is not large
enough to suppress the eventual formation of
other variants. The signs of sL and sR are al­
ways opposite for the favored variants, but
are identical for the rest of the variants.
Therefore, the transverse strain is initially
negative but then becomes positive as trans­
formation progresses. The low-stress/high-
temperature situation is equivalent to the
high-stress/low-temperature case because in
both of these circumstances, variants that are
not favored cannot be suppressed. In the for­
mer case the stress is too small for suppres­
sion, whereas in the latter case the chemical
driving force is too large to permit suppres­
sion.
• When a large stress is applied at a Ifigh tem­
perature, the favored variants dominate.
Therefore, the strains are always of opposite
sign (Fig. 13c).
The model is thus capable of qualitatively ex­
plaining all file essential features of the forma­
tion of bainite under file influence of a small ten­
sile stress. A uniaxial compressive stress (as
used in the experiments described below) simply
causes a reversal of the signs of the longitudinal
and transverse stresses; there is also a minor ef­
fect from the unfavorable interaction between
the compressive stress and the dilatational com­
ponent of the IPS shape deformation.
The most interesting conclusion to emerge
from comparison of the model with experimental
data is that transformation under the influence of
a mild stress occurs sequentially. Variants that
comply with the applied stress grow first, fol-

lowed by those that do not. This also carries the not yet calculable in the same manner. It may be
implication that the interaction of the stress is the case that they are insensitive to alloying, but
with the growth process (that is, the IPS shape that remains to be demonstrated in the context
deformation) rather than the strain field of the of residual stress analysis. 3.
nucleus, which is likely to be different. It is There is little doubt that transformations in
worth noting that there are similar results for steel play a major role in the development of 4.
martensite: most favored variants grow first in residual stresses. For reconstructive transforma­
the sequence of transformation under stress (Ref tions (for example, pearlite), it is the difference
15, 24). in density between the parent and product phases 5.
that contributes to transformation plasticity. The
plasticity can be much larger for displacive
Summary transformations (Widmanstatten ferrite, bainite, 6.
martensite) because of the large shear compo­
Many of the thermal properties of steels—for nent of the shape deformation when these trans-
example, heat capacity, thermal expansion co­ fonnation products form. These are quite so­ 7.
efficients, and latent heats of transformation— phisticated effects which, with few exceptions,
are remarkably well understood. Indeed, com­ are not incorporated in most residual stress anal­
mercially available thermodynamic databases yses. 8.
and programs can be used to estimate these
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28.
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Prestress Engineering of Structural
Material: A Global Design Approach
to the Residual Stress Problem
j. Lu, LASMIS, Université de Technologie de Troyes, France
ALL MANUFACTURING PROCESSES in­
troduce residual stress into mechanical parts,
which influences its fatigue behavior, fracture
strength, and even its corrosion resistance. Few
metalworking methods exist that do not produce
new stresses. The role of residual stress is, there­
fore, very important when designing mechanical
parts. Over the last few years, an increasing num­
ber of studies have been carried out to under­
stand the effects of residual stress on mechanical
performance. This article attempts to present a
global approach to including residual stress in
expected fatigue life calculations, and the pos­
sibility of introducing it into mechanical engi­
neering design offices. The definitions and ori­
gins of residual stress according to production
methods are first presented. Then, shown are the
problems involved in correctly adapting these
modeling techniques for use in design offices
and the industrial consequences of taking resid­
ual stress into account on quality assurance con­
trol procedures. This article deals mainly with
residual stress measurement techniques and the
overall necessity to combine destructive (incre­
mental hole-drilling method) and nondestructive
(x-ray and neutron diffraction) methods in order
to precisely evaluate the residual stress distri­
bution. Some new results concerning optical
methods are also discussed. Shown, too, are the
beneficial and harmful effects of residual stress
on the resistance of structures or industrial com­
ponents, depending on whether they are tensile
or compressive. The different models used to
predict residual stress induced by different types
of processing are then presented. The last section
shows the effect of residual stress on fatigue be­
havior. A model based on the finite element
method (FEM) for predicting the relaxation of
residual stresses is presented. Finally, prediction
of fatigue life, taking residual stress into account,
using FEM is discussed. A new approach to con­
current engineering applied to the design of me­
chanical components with residual and applied
stress consideration is presented.
Residual stress is usually defined as the stress
that remains in mechanical parts that are not sub­
jected to any outside stresses. Residual stress ex­
ists in practically all rigid parts, whether metallic
or not (wood, polymer, glass, ceramic, etc). It is
the result of the metallurgical and mechanical
history of each point in the part and the part as
a whole during its manufacture.
In the case of structural materials, surface en­
gineering can lead indirectly to the innovation of
genuinely new materials based on conventional
materials. The frustrating slowness of some of
these developments reflects not only difficulties
in scaling up laboratory techniques, but also gen­
eral conservation in the engineering industries
and a reluctance to change established habits.
One of tlie factors that contributes to slowing the
pace is that the current approach to surface en­
gineering directly correlates performance to pro­
cessing parameters; designers are left without the
tools needed to optimize and take into account
modified or prestressed surfaces for a particular
application, and the processors are left without
appropriate goals for surface properties.
The recent European Network of Surface and
Prestress Engineering and Design (ENSPED)
project led by the University of Technology of
Troyes and fUndedby the European Union is one
of the contributions currently being made to the
development of such tools. The aim is to develop
a project with a hard core of about 18 partners
representing a balanced selection of Europe’s
major industries, such as SNECMA; European
Aeronautic, Defense and Space (EADS); ABB;
Siemens; Volvo; Fiat; British Aerospace; Robert
Bosch; Hydro Aluminum; Wartisla; and so on.
It is based on building a bridge between the
fields of surface modification and prestress pro­
cessing in materials engineering and computer-
aided design in mechanical engineering in order
to find an appropriate way of approaching this
interdisciplinary area. The members of the pro­
ject will focus on the field of prestress process­
ing. The main goal of the prestress engineering
approach is the optimization of residual stress for
an objective mechanical behavior of the material
and structure. Under tins approach, the residual
stress must not be considered as a parameter that
only depends on the material processing condi­
tions, but must also be considered as a parameter
that can be optimized.
There is an increasing interest in how the state
of residual stress affects the mechanical proper­
ties of a material and its structure. The failure of
a structure or a mechanical component is not
only due to external loads. Residual stress is an
important parameter in this respect. All manu­
facturing processes, for example, introduce a
new state of residual stress. This can have a posi­
tive effect, such as increasing the fatigue limit in
the case of surface compressive stress, or it can
have a negative effect, such as decreasing the
stress corrosionbehavior of a material in the case
of tensile residual stress.
Basic and applied research in the field of re­
sidual stress has been stepped up in the last few
years. Residual stress is taken into account in
advanced design in the aerospace, automotive,
and nuclear industries. Even the microelectron­
ics industry is starting to take residual stress into
account for the dimensional stability of elec­
tronic packaging.
The introduction of advanced materials has
also contributed to the development of knowl­
edge in the field of residual stress. In fact, many
new materials are multimaterials, for example,
metal-matrix composites, plasma-sprayed coat­
ing, physical vapor deposition (PVD), and chem­
ical vapor deposition (CVD) coatings, which
contain residual stress as a result of the thermal
and mechanical incompatibilities of the different
phases of the material or structure.
Figure 1 shows the different fields of research
in which residual stress is taken into account and
its relevance for industrial applications. Three
main fields must be developed for a global ap­
proach of prestress engineering: measurement
techniques for the quality control and processing
analysis, processing parameter optimization and
processing modeling, and modern design tool for
12 / Effect of Materials and Processing
the life cycle simulation with residual stress con­
sideration.
Origins of Residual Stress
In general, macroscopic residual stress can be
induced due to:
• Nonhomogeneous plastic flow under the ac­
tion of external treatment (shot peening, au-
tofretting, roller burnishing, hammer peening,
shock laser treatment)
• Nonhomogeneous plastic deformation during
nonuni form heating or cooling (ordinary
quenching, molding of plastics)
• Structural deformation from metalworking
(heat treatment)
• Heterogeneity of a chemical or crystallo­
graphic order (nitriding or case hardening)
• Various surface treatments (enameling,
nickel plating, chrome plating, PVD and
CVD coating)
• Differences in expansion coefficients and me­
chanical incompatibility of the different com­
ponents of composites (composites with a
metallic and organic matrix, ceramic coat­
ings)
T able 1 shows the different origins of residual
stress for metalworking operations usually car­
ried out in the industry. To produce an industrial
part, one or several of the techniques listed in the
table can be used. To calculate the residual stress
existing in a part, the source of the stress must
be identified first.
Residua] Stress Measurement Techniques
in Global Approach and Quality Assurance.
Over the last few decades, various quantitative
and qualitative techniques have been developed
(Ref 1). These techniques are used for the pro­
cessing optimization and quality control of ma­
terial. In general, a distinction must be made be­
tween destructive and nondestructive methods.
Fig. 1 Main research fields and industrial application fields in which residual stress is taken into account
The first series of methods is based on de­
stroying the state of equilibrium in the mechan­
ical component. The residual stress is then eval­
uated from its relaxation. However, it is only
possible to measure the consequences of stress
relaxation and not the relaxation itself (displace­
ment, fracture, strain). In most cases, the change
in strain is selected as the parameter to be stud­
ied. The following procedure is used:
1. Creation of a new stress state by machining
or layer removal
2. Detection of the local change in stress by
measuring the strain or displacement
3. Calculation of the residual stress as a function
of the strain measured using the elastic theory
(analytical approach or numerical calcula­
tions such as FEM)
During the recent years, the incremental hole­
drilling method is extensively used. It is sensi­
tive to the first kind of residual stress, that is, the
macroscopic residual stress. The principle of this
technique is simple. It involves monitoring the
change in strain when a hole is drilled in a com­
ponent with residual stress. These strain mea­
surements can be related to the original residual
stress distribution in the analyzed sample at the
hole location. The relationship between the
strain and the residual stress can be calculated
with the calibration coefficientsHm and Bin. The
general approach used to determine the Ain and
Bin FEM is detailed in Ref 2. Recently, the high
sensitivity moiré interferometer and incremental
hole-drilling method for residual stress measure­
ment has been developed. The theoretical devel­
opment of a combined method is introduced in
Ref 3 and 4. The relationship between the three-
dimensional surface displacements produced by
introducing a blind hole and the corresponding
residual stress is established by employing the
existing theoretical solution containing a set of
undetermined coefficients. The coefficients are
calibrated by the three-dimensional finite ele­
ment method. The in-plane surface displace­
ments Ux and Uy and out-of-plane surface dis­
placement Uz produced by the relaxation of
residual stresses are obtained using moiré inter­
ferometry and Twyman-Green interferometry,
respectively. Figure 2 shows three-dimensional
displacement as a function of the drilling depth.
The main advantage of this technique is the pos­
sibility of studying the residual stress with an in­
plane stress gradient (Ref 5). It is also possible
to study composite materials (Ref 6). In this
case, the through thickness residual stress distri­
bution was evaluated ply by ply in a carbon fi­
ber /epoxy composite. Figure 3 shows an exam­
ple of residual stress determined by using this
technique.
Recently, this method was used (Ref 7) to
study the Plastic Ball Grid Array (PBGA) pack­
age, which is a cost-effective surface -mounting
package with a high-density interconnection,
low profiles, and light weight. It is currently used
in many electronic products, including portable
telecommunication and computing products. A
typical structure in a PBGA package consists of
four layers: a plastic molding compound, a sili­
con chip, a chip-attach adhesive layer, and an
organic chip carrier. Due to the coefficient of
thermal expansion mismatch between the silicon
chip, the plastic compound, and the organic chip
carrier, considerable residual stresses are devel­
oped in the package during the assembly pro­
cess. The process-induced residual stress can
play a significant role in the reliability of elec­
tronic components and packages. Since a PBGA
package is small and the surface layer is made
of a plastic material, it has proved very difficult
to use other existing methods of residual stress
measurement. In tins research work, a practical
method lias been developed to determine resid­
ual stress for electronic packaging. In this
method, blind holes are drilled into the speci­
mens, and relationships are established between
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
region around the hole. For a practical PBGA
package, the tensile residual stress is determined
in both the plastic molding compound and the
glass/epoxy laminate chip carrier. The method
is accurate, simple, convenient, and practical.
More applications in the field of electronic prod­
ucts are anticipated.
The x-ray diffraction and neutron diffraction
methods are based on the measurement of lattice
strains by studying variations in the lattice spac­
ing of the polycrystalline material. The first
method measures the residual strain on the sur­
face of the material, and the second measur es the
residual strain within a volume of the sample.
Diffraction techniques can be used to study all
three types. The peak shift method is sensitive
to the first two, whereas line broadening is sen­
sitive to the second and third types. These tech­
niques have been used to measure the first type
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem / 13
of residual stress in different phases of advanced
materials, such as metal-matrix composites (in
matrix and in reinforcement) (Ref 8, 9).
Residual stress can be incorporated into the
design of mechanical components. Although this
leads to a better knowledge of the fatigue life of
parts and reduces the safety coefficient at the de­
sign stage, it also poses a host of new problems
on a quality assurance level. All statistical con­
trols are only appliedtoday to a few critical com­
ponents in the aeronautical and nuclear indus­
tries; this practice could easily become
Table 1 Main origins of residual stress resulting from different manufacturing processes
Process
Casting
Shot peening hammer peening, roller burnishing laser Heterogeneous plastic deformation
shock treatment, bending rolling, chasing forging
straightening, eKtrusion
Grinding, turning milling drilling boring
Quenching without aphase transformation
Surface quenching with a phase change (induction, EB, No
laser, plasma, classical methods)
Case hardening, nitriding
Welding
Brazing
Electroplating
Thermal spraying (plasma, laser, HVOF)
FVD, CVD
Composite
EB, electron beam; HVOF, high-velocity oxygen fuel; HAZ, heat-affected zone
widespread Rapid ways of checking the resi dual the reference techniques. Figure 4 proposes a re­
stress must therefore be developed. The methods sidual stress inspection plan. Other new tech­
used industrially (x-ray diffraction and the incre­ niques, such as neutron diffraction and optical
mental hole method) will not be sufficient in the method will be introduced in industry. A de­
future. Other nondestructive testing (NDT) tech­ tailed analysis of different techniques of mea­
niques (ultrasound, magnetic methods, acoustic surement is out of the scope of this article.
emission) are presently being developed But as
they currently stand these techniques use physi­
cal parameters that depend not only on the resid­ Modeling of Process
ual stress present in the parts, but also on mi-
crostructural changes. In the near future, NDT The experimental techniques developed pre­
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-
peening process and to introduce this approach
into the component design (Ref 14). With the
Mechanical Thermal Structural
No Temperature gradient during cooling Phase transforman on
No Depends on the material
between the core and surface of the
part
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
No Temperature gradient Mo
Temperature gradient Change of volume due to a phase change
No Thermal incompatibility New chemical component with volume
modification
Shrinkage Temp erature gradi ent Micro structural change (HAZ)
M e chani c al inc omp atib ility Thermal incompatibility New phase at interface
M e chani c al inc omp atib ility Mechanical incompatibility Composition of plating depending on bath
used
Mechanical incompatibility, Thermal incompatibility, temperature Change of phase in plating
micro cracking gradient
M e chani c al inc omp atib ility Mechanical incompatibility Change of phase
M e chani c al inc omp atib ility Mechanical incompatibility No
14 / Effect of Materials and Processing
help of three-dimensional modeling, the enor­
mous influence of shot interaction is verified by
simulating simultaneous impacts. This simula­
tion is very similar to the industrial process. Re­
sults of the residual stress obtained by the simu­
lation are closer to the experimental results, if a
three-dimensional FEM is used (Fig. 5). The
higher the coverage rate, the lower the intensity
of the stress. This study shows how FEM can be
used to model shot peening and determine the
associated residual stress field.
The results obtained for both a single impact
and several impacts follow the general distribu­
tion of measured residual stress fields. This type
Fig 4 Residual stress inspection plan for the purposes
of quality assurance. NDE, nondestructiveeval- ^ duced by shot peening using the 3-D finite eq­
uation; US, ultrasonic; AE, acoustic emission
of analysis seems promising for studying the re­
percussions of a large number of parameters.
However, these methods are only efficient when
a maximum number of experimentally measured
parameters can be introduced. They also need to
be improved if they are to take most phenomena
into account. The proposed models could be
completed by analyzing the influence of the type
of contact, the direction of the shot during the
impact, behavior of the material, and so on. It
could then be possible to introduce the residual
stress field into metal parts in order to study their
behavior, using numerical simulation, for several
types of mechanical and fatigue life tests.
pig 5 Modeling of the residual stress distribution in-
ment method
Effect of Residual Stress on the
Mechanical Strength of Materials
Generality. When a part is subjected to a field
of elastic residual stresses characterized by a ten­
sor qr, on which is superposed a field of service
stresses defined by the tensor gs, the real stress
to which the part is subjected is characterized by
the tensor cR + os (Fig. 6). If the residual
stresses are added to the service stresses (resid­
ual tensile stress, for example), the part is locally
overloaded due to residual stress. If, on the con­
trary, an appropriate finishing operation (shot
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
Effect of residual stress on the performance of
Fig. 7
materials
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem / 15

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 X 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 <7a stress stress ing.
A, induction 2.7 (0.11) 55-56 596 (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) 55 -56 623 (90) 610 (88) -273 (-40) -583 (-85)
-676 (-98)
In the case of welded assemblies, the presence
-341 (-49)
C, induction 4.7 (0.19) 54 -59 670 (97) 660 (96) -655 (-95) -603 (-87) of welding defects at the weld toe and the geo­
D, water quenched after through 60-61 780 (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 .. p, Crack sults of cracking as a function of the residual
02.1 o> MPa 0BX, MPa
initiation site stress. Relieving residual stress by heat treatment
changes the crack propagation speed consider­
As welded 207 ^10
ably when the stress is high.
,At 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
value of of* and it generally propagates without
Shot peened 392 -519 difficulty in the adjacent grains by producing a
Multipass brittle fracture. The tensile residual stress cR, in
addition to the applied stress a, initiates this type
Fig. 8 Effect of residual stress on the fatigue strength of E690 welded joints. oRX/ residual stress perpendicular to the of failure for low loads, such that:
fillet (orx); ow/ principal maximum residual stress evaluated at a depth of 0.1 mm below the surface. Source:
Ref 17
0 + Or = Of*

Once cracking has been initiated, the applied

stress alone can be enough to allow propagation
to continue at a high speed. Failure is therefore
very sudden. Residual stresses that facilitate the
initiation of brittle fracture by cleavage are there­
fore very dangerous for steels under load at low
temperature. This is why the stress relieving of
welded joints is also recommended.
Grain slips come up against inclusions and
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
the matrix until their coalescence leads to ductile
fracture at least on a microscopic level. The
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
stress. Coalescence is a plastic instability phe­
nomenon that no doubt occurs for a critical cav­
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 el on-
16 / Effect of Materials and Processing
gation of ductile fracture. However, this is only
important if the ductility is already very low in
the absence of residual stresses, since plastic de­
formation can eliminate them.
Effect on Stress Corrosion (Ref 20, 21).
Stress corrosion is a mechanical and chemical
cracking phenomenon that can lead to failure un­
der the combined effect of tensile stress and a
corrosive environment. Cracking is generally
transcrystalline and can appear on all types of
materials, such as aluminum alloys, steels, cop­
per, titanium and magnesium. The introduction
of residual compressive stress can considerably
increase the fatigue life of parts subjected to
stress corrosion. Tests carried out on magnesium
test specimens placed under stress in a salt so­
lution gave the following results:
• Ground test specimen: failure after two min­
utes
• Shot peened test specimen: no cracking after
12 days under the same conditions
The tests conducted by W.H. Friske show that
the fatigue life is 1000 times greater for a shot-
peened 304 grade stainless steel part than it is
for a non-shot-peened part (Ref 20). Tests car­
ried out by CETIM on Z6CN18.9 stainless steel
produced similar results (Ref 21).
Effect on Adhesion of Coatings (Ref 22-
25). Most coatings are produced for a specific
reason, particularly to improve the corrosion and
wear resistance of the base material, or to pro­
vide a thermal barrier for use at high tempera­
ture. But this is only achieved if tire coating ad­
heres to the substrate correctly. Adhesion
therefore indicates correct preparation of the sur­
faces to be coated and the quality of the coating
operation. The last few years have seen the ap­
pearance of plasma-spraying techniques, both at
atmospheric pressure and at reduced pressure.
These processes offer a high degree of flexibility
for coatings in critical areas. However, high re­
sidual stress, inherent to the coating method
pig "I () Influence of heat treatment on the residual
stress and the toughness of the interface: case
of plasma-sprayed coatings at atmospheric pressure. TT,
heat treated; STT, as-sprayed
used, can remain in the coatings and in the sub­
strates. They are of several types: microstresses
in the grain, produced during cooling, and
macrostresses affecting the entire coating.
Macrostresses are created not only by cooling
but also by the difference in temperature be­
tween the substrate, the sprayed layer, and the
outside surface. The differential contraction thus
produced between the various materials, due to
the difference in physical and mechanical prop­
erties, determines the stresses in the coating and
the coating-substrate interface. These stresses
therefore influence the mechanical and thermo­
mechanical behavior of the coated parts.
In order to appreciate the quality of a coating,
three types of damage to parts in service can be
considered:
• The coating deteriorates rapidly.
• The properties of the substrate are modified
by the coating.
• The damage is common to both materials. It
is located at the interface and jeopardizes both
the adhesion and the fatigue life.
C. Richard et al. have shown that decreasing
the residual stress by thermal treatment of the
coating considerably improves adhesion at the
interface (Ref 23). Figure 10 illustrates the effect
of residual stress. It can be seen that the apparent
toughness of the interface is improved by 100%
when heat treatment is applied. There is a high
level of residual tensile stress in the test speci­
men without heat treatment. When the level of
residual tensile stress increases, the true tough­
ness of the coating decreases. An increase in the
residual compressive stress produces the oppo­
site effect.
Influence of Residual Stress on the Tensile
Strength, Friction, Wear and Dimensional
Stability. The effect of residual stress on the ten­
sile strength is obvious, particularly in structures
made of composite materials or when the pre­
stressed layer is very thick compared with the
thickness of the parts. In composites, residual
stress is produced as a result of the thermal and
mechanical incompatibility of the reinforce­
ments and matrix. This can influence the mac­
roscopic properties of composites under tensile
or compressive stress (Ref 26).
Little research has been carried out on the ef­
fect of residual stress on friction and wear prop­
erties. Their role is often masked by other param­
eters. The increase of hardness during treatment
and changes in the toughness and adhesion of
antiwear coatings due to residual stress can con­
siderably affect the resistance to friction. Up un­
til the present, tliis effect has been integrated into
the global parameter of adhesion. In the future,
work wall be carried out to fry'' to detennine the
real effect of residual stress.
The problem of dimensional stability lias been
known for a long time. When a part is machined
that contains residual stress produced by heat
treatment or welding, the shape of the part can
change after operation due to the relaxation of
residual stress. This is why stress-relieving treat­
ments are frequently used to avoid this type of
defect. Reference 27 gives a very methodical ap­
proach to defining the criteria and processes re­
lating to relieving stress in ivelded structures.
The same type of reflection can be applied to
other types of parts.
Taking Residual Stress into Account
when Calculating the Expected
Fatigue Life
In the previous section, the different effects of
residual stress on the mechanical strength of
structures and materials were mentioned. Al­
though the ability to quantitatively estimate the
fatigue life taking residual stress into account is
just beginning, it is still too early to extend these
predictions to other types of stress that are far
more complex and involve physical and chemi­
cal phenomena. Statistics show that failures of a
purely mechanical origin are mainly due to fa­
tigue. It is for the reasons indicated previously
that this article only addresses problems con­
cerning the prediction of fatigue life. Two arti­
cles (H. P. Lieurade and A. Pellissier-Tanon) in
Ref 13 deal with the question of predicting the
effect of residual stress on crack propagation
phase. Although, they concern welded struc­
tures, the concepts developed in these two ref­
erences can be applied to other types of struc­
tures. By limiting the approach to prediction of
the fatigue life to the fatigue cracking initiation
stage, the problem of predicting the fatigue life
of mechanical components subjected to a high
cycle fatigue can be analyzed.
Calculating the Effect of Residual Stress on
the Fatigue Strength. Based on the experimen­
tal results mentioned previously, it would seem
that a linear relationship of the Goodman type
can be used to take residual stress into account:
W = °D - TT (°rn + Or) (Eq!)
where aa is the amplitude of admissible stress,
<ym is the mean fatigue stress, oD is the purely
reverse tensile fatigue limit, Rm is the true rup­
ture strength, and gr is the residual stress mea­
sured in the direction of the applied service
stress. The numerous studies mentioned in Ref
28 show that the effect of residual stress is
greater when the properties of the materials are
high.
If we try to represent the development of oa
according to the residual stress gr by an equation
of the following type:
- g d - a X oR (Eq 2)
the experimental results generally show that a
increases with the strength of the material; for
example, in the case of machining stresses in an
XC38 grade steel, Syren et al. found:
• a = 0 in the annealed state
• a = 0.27 when quenched and tempered
• a = 0.4 when quenched
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem /17
Unfortunately, these results are in contradic­
tion with an equation of the Goodman type. In
Eq 2, the coefficient a is none other than what
is usually called the endurance ratio:
Od
a fatigue test, and therefore stabilized, it is some­
-Km
This parameter decreases as the rupture strength
of steels increases.
This apparent contradiction is probably ex­
plained by the fact that the residual stress relax­
ation phenomenon has not been taken into ac­
count. The value of the residual stress cR to be
introduced into equation of type 1 or 2 men­
tioned previously, must correspond to the stabi­
lized fatigue stress, or the coefficient of influence
will include the relaxation process. The article
by D. Lóhe and O. Voehinger in this Handbook
presents a large number of results concerning the
relaxation of residual stress under mechanical
and thermal loading. References 29 and 30 pro­
vide the information on the relaxation mecha­
nism of residual fatigue stress as a function of
pja -j -j Use of Haigh diagrams to take longitudinal re­
sidual stress into account (XC42 steel
quenched after induction heating). A through D represent
results of repeated bending tests; X, repeated tension test.
Table 2 presents fatigue test resu Its that correspond to A to
D.
xa, MPa
Fig. 12 Use of the Dang Van criterion to take residual
® stress into account (XC42 grade steel quenched
after induction heating). A through D represent repeated
bending test; X, repeated tension test.
the cyclic behavior of the materials. However,
Syren’s results show that relaxation is much
greater when the mechanical properties are
lower.
When these experimental results are used with
the residual stress measured after carrying out a
times possible to use an equation such as Eq 2.
In the case of the fatigue bending test on cylin­
drical XC42 steel bars quenched after induction
heating (Table 2), the fatigue test results for the
different treatments correspond perfectly to the
Haigh diagram, provided any possible influence
of transverse residual stress on the fatigue stress
is ignored (Fig. 11).
It is not possible, however, to extend these
results to all materials and to the different manu­
facturing processes that introduce residual stress.
Also, preliminary tests are needed to validate the
methodology. The use of residual stress in cal­
culations based on endurance diagrams of the
Haigh or Goodman type usually only allows for
an estimation of the increase in fatigue strength
as a function of the residual stress. Secondly, this
approach only allows for the combination of uni­
axial stresses. Yet the residual stresses produced
by the various manufacturing methods used to
make the part are always multiaxial. The stresses
on the surface are biaxial while those inside the
part are triaxial. Depending on the area in which
the fatigue crack is initiated (on or below the
surface), the biaxial or triaxial stresses need to
be included when calculating the fatigue life.
This raises the problem of choosing a multiaxial
fatigue stress criterion. A simplified approach
based on an endurance diagram can therefore
only be an approximation.
The test carried out by the CETIM (Ref 16)
shows that the traditional Mises and Tresca cri­
teria can only be used in the presence of higher
mean or residual stress. In this case, rt is pref­
erable to use criteria (Ref 31) that include the
amplitude of octahedral shearing (xocta) or the
maximum shearing (xa) and maximum hydro­
static pressure (Pmax), as indicated here:
At = M, B Pmhp, C Pa!t)
where Ptrhp is the mean hydrostatic pressure, xalt
is the amplitude of octahedral shearing or am­
plitude of the maximum shearing, and P,llt is the
amplitude of hydrostatic pressure.
An example can be given as follows:
t^ = A + B P£hp + C ?£t (Eq 3)
where A, B, C, D, and E are material constants.
If Axalt is taken on the maximum shearing
plane, D = E = 1 and B = C, the result is the
Dang Van criterion (Ref 32).
If Axali is taken on the octahedral shearing
plane, when D = E = 1 and B = C, the Cross­
land criterion results (Ref 33); whenD = E =
1 and C = 0, the Sines criterion (Ref 34); and
when D = E = 1 and B C, the Kakuno cri­
terion (Ref 35).
This type of development can be continued to
invent new “criteria,” but it leads to complica­
tions because of the increasing number of param­
eters that need to be determined. Even with a
linear relationship of the Dang Van type, two
Wohler curves have to be determined to obtain
at least the two points needed to produce the di­
agram. If additional constants are added, the test
plane will be even greater, which means that the
criterion cannot be used in industry. As a result,
the criterion to be used must be simplified as
much as possible. This case deals with radial
loading problems (ctj = ICX <j2 = K2 c3), and a
relationship of Eq 3 is sufficient. To simplify
matters further, the Crossland or Dang Van cri­
terion can be used. In the case of combined and
out-of-phase loading, new criteria have been de­
veloped to take tire out-of-phase effect into ac­
count (Ref 36-39).
But as yet, these criteria have not been vali­
dated in a study in which combined and out-of­
phase residual stresses have been taken into ac­
count. When the fatigue stress is complex, it is
also very difficult to calculate the expected re­
sidual stress relaxation.
When fatigue cracks are initiated on the sur­
face, the stresses to be taken into account are
biaxial; this gives the following for the Cross­
land or Dang Van criterion:
(22\
T'octa ~~Z~ I & Z & —— ^la^2a)
Tmax - j (ffia + <*2a + <hm + °2m + <Vr + °2r)
where ala, o2a represent the amplitude of the
main reversed fatigue stresses (ala > o2a); olm,
o2rn represent the average value of the main fa­
tigue stresses; and c1R, g2r are the residual stress
values measured in the two main directions (sta­
bilized values).
To use the multiaxial fatigue criteria, the ref­
erence curve for the material being considered is
needed, just as it is when using the Goodman or
Haigh diagram. Reference 16 shows that the use
of Crossland or Dang Van criteria takes the in­
crease in the bending fatigue strength into ac­
count perfectly as a function of the residual
stress introduced by the various treatment con­
ditions (Fig. 12).
When the multiaxial aspect is brought into the
picture, the method that consists in introducing
residual stress into the calculation in the same
way as a mean stress, therefore, seems to give
satisfaction. The whole problem lies in defining
the residual stresses to be included in the cal­
culation.
Taking residual stress into account is essential
for couect prediction of the fatigue limit. Figure
13 shows the important role played by compres­
sive residual stress. If it is not taken into account,
the fatigue strength is underestimated (Fig. 13a).
If the residual stress measured or calculated is
used without taking relaxation of the residual
stress into account, the fatigue strength is over-
18/ Effect of Materials and Processing

estimated (Fig. 13b). The correct method con­
sists in calculating the fatigue strength after tak­
ing relaxation into account (Fig. 13c).
In order to correctly evaluate the effect of re­
sidual stress, various problems must be solved:
• Measuring methods must be available to de-
termine residual stress in the critical zone. A
large range of measuring methods currently
exists and it is possible to take measurements
(Ref 1) in most of the cases studied, particu­
larly as a result of development of the x-ray
method and the incremental hole method.
• When a complete measurement profile is
available of the residual stress in the surface
layer in which the fatigue crack is initiated,
the profile sometimes has high stress gradi­
ents. It is then difficult to know what stress
value to choose—the surface stress or the
stress peak that is often slightly below the sur­
face (in the case of shot peening, for exam­
ple).

zg, MPa zg, MPa za, MPa To make a correct calculation, it would be
necessary to use calculation methods that take
the stress gradient into account and make the cal­
culation not only for a single point, but for a
sufficient thickness of the material (thickness of
critical layer) for it to be representative of the
basic volume in which the fatigue damage pro­
cess occurred (Ref 31). Figures 14 and 15 give
an example of processing of our results (details
can be found in Ref 29) in the case of the fatigue
Fig. 13 Illustration of the different methods used to take residual stress into account of a shot-peened spring steel. Figure 14 shows
the fatigue results on a Dang Van diagram, tak­
ing both the residual stress and its relaxation into
account. A fairly good correlation can be ob­
zg, MPa (Surface)
served. This indicates that a multiaxial fatigue
criterion taking the hydrostatic pressure into ac­
count can be used to predict the fatigue strength
in the presence of residual stress. Since, in this
case, ffie crack initiation zones are below the sur­
face, calculations were made for different critical
layer depths. Figure 15 shows the results ob­
tained for a critical layer depth of 100 jum. Better
alignment of the experimental points was ob­
served. This example illustrates the possibility
of improving the calculation precision by using
the critical layer thickness approach. It is par­
ticularly relevant in the case of notched parts.
It has long been known that residual stresses
are not stable when they are subjected to fatigue
loading. To calculate the expected fatigue life,
precise information is therefore needed in order
F¡g "J 4 Fatigue results for a 45SCD6 steel treated under different conditions in a Dang Van diagram, taking the residual to introduce stable residual stress values into the
stress on the surface into account. Xian, results obtained by Xi'an Jiaotong University; CETIM, resultsobtained
by CETIM
calculation presented previously, that is, the
stress values that are really likely to be present
in the part during the best part of its lifetime.
The stress must therefore be measured on a
zg, MPa
part already under cyclic loading or relaxation of
the residual stress estimated according to expe-
600

■^ 500 -

400
"*• •*»
300

200 ■ Xian
° CETIM
100

-300 -200 -100 100 200 300 400 500

x, MPa

pig j 5 Fatigue results for a 45SCD6 steel treated under different conditions in a Dang Van diagram, taking the residual F|a *1 Prediction of the fatigue life using the Dang
stress into account using the "critical layer" approach. Xian, results obtained by Xi'an jiaotong University; Van criterion for a shot-peened 35NCD16
CETIM, results obtained by CETIM steel, without taking residual stress into account
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem / 19
rience or modeling. In Ref 29 and 30, a complete
model was presented using FEM to determine
the stabilized residual stress after fatigue load­
ing. This estimation of the residual stress can
then be used to calculate the fatigue life of a part,
taking residual stress into account. Despite the
initial definition of the Dang Van criterion,
which proposes that it only be used in cases of
fatigue strength with an unlimited number of cy­
cles, an attempt was made to extend this criterion
to include a limited fatigue life with a very large
number of cycles (more than 2 X 106) (Ref 40).
Figure 16 shows an example of the fatigue life
estimated by calculation. First, a fatigue strength
diagram of the Dang Van type was defined ac­
cording to the fatigue life obtained from a series
of fatigue life contours. Then the residual stress
relaxation was calculated using FEM (Ref 29).
Finally, the stabilized residual stress was intro­
duced into the diagram. In this example, in the
case of a loading of ± 550 MPa, the point cor­
responding to loading is inside the limit of the
fatigue life at 107 cycles. No failure occurs. For
a loading of ± 600 MPa, the point corresponding
to loading including the residual stress is be­
tween the line corresponding to 5 X 106 cycles
and that of 2 X 106 cycles. Failure therefore
''alt
Illustration of the effect of the surface finish and
Fig. 17
strain hardening on the fatigue strength
pjo "I g Effect of the resistance of the base metal on the
increase in the fatigue strength after shot-
peening treatment, distinguishing between the effect of
strain hardening and that of residual stress
occurs between 2 and 5 million cycles. The tests
give an average fatigue life for the previously
mentioned loading in the order of 3.5 million
cycles. This example shows that, if the cyclic
properties of the material are correctly known, it
is possible to predict the fatigue strength of the
material in the presence of residual stress.
However, it should not be forgotten that other
factors must also be taken into account in cal­
culating the fatigue life—the introduction of re­
sidual stress is often accompanied by other
changes in parameters that have an influence on
the fatigue strength. In particular, these include:
• A new roughness that changes the local stress
concentration
• Additional strain hardening of the surface due
to plasticizing
• A new metallurgical structure of the surface
layers
Figure 17 shows the effect of the surface finish
and strain hardening on the fatigue strength of
materials. It can be seen that an increase in the
roughness decreases the safety area, and strain
hardening increases the safety area, provided it
does not damage the material.
In the case of thermal or thermochemical sur­
face treatments (induction quenching, case hard­
ening, etc.), for example, it is necessary to take
the new fatigue strength of the treated layer into
account in the calculation.
The problem is more complex in the case of
residual stress introduced by plastic deformation
(pre-straining, machining, shot peening, roller
burnishing), since it is more difficult to distin­
guish between the influence of residual stresses
and residual microstresses present in the grains
of the deformed material and that of strain hard­
ening of the material.
Evans (Ref 41) made this distinction in the
case of shot peening; to do so, he earned out
three types of fatigue tests on materials with
various mechanical properties:
• Fatigue tests on a non-shot-peened material
• Fatigue tests on a shot-peened material
• Fatigue tests on a shot-peened material, but
with a mean test stress cm, which compen­
sated for the surface residual stress. In this
type of test, the effect of the macroscopic re­
sidual stress is cancelled out and the fatigue
strength obtained only depends on the in­
crease in the mechanical properties of the
plastically deformed material and the residual
microstresses distributed throughout the ma­
terial. The results obtained are presented in
Fig. 18.
It can be observed that, for materials with low
resistance, the increase in the fatigue strength is
mainly due to surface strain hardening. On the
other hand, for highly resistant materials, it is
mainly the influence of the residual stress that
governs the fatigue strength. When materials
have low^ elastic limits, the stresses introduced
by shot peening relax much more easily than
they do when the elastic limit is high. This test
only shows a general tendency and does not ex­
actly show? what the author is trying to demon­
strate, since in the two types of tests for the same
material, the ratio of i?(amin/amax) is modified.
As has been shown, the residual stress relaxation
changes wffien the R ratio is varied (Ref 29). The
real contribution of each factor will therefore be
different from that indicated in Fig. 18.
It can thus be seen that taking residual stress
into account in the calculation requires a serious
examination of the different parameters in­
volved. When reliable results are needed, fatigue
tests will no doubt need to be carried out on the
part or the structure concerned. However, mod­
eling enables the variation in the different pa­
rameters to be rapidly simulated in order to find
an optimal solution.
Partial Summary. The previous results show
that it is now possible to take residual stress into
account in calculations designed to predict the
fatigue life using a global approach. This must
take the relaxation of residual fatigue stress into
account, as well as the other effects (strain hard­
ening, hardness) introduced by the manufactur­
ing method used. A multiaxial fatigue criterion
that can integrate both the problem of residual
stress and the effect of the stress gradient applied
to a zone in the presence of stress concentration
has been developed, that is, the Crossland or
Dang Van criterion. It is used for a stabilized
state of residual stress, averaged out for a basic
volume of damage (thickness of critical layer),
and applied within a network of contours that
represents the fatigue life. In the future, tests wall
be carried out to validate this type of criterion in
the case of combined stresses on notched parts
in the presence of residual stress.
Incorporating the Notion of
Residual Stress into the Design
Office
Incorporating the notion of residual stress into
the design office must be gradual and can be di­
vided up into several phases.
Today, very few industrial sectors consider
the residual stress parameter directly. In techni­
cal specifications, requirements are included that
are often closely related to residual stress with­
out actually naming it. An Almen intensity must
be guaranteed in the case of shot peening, for
example, a roller-burnishing load, a machining
procedure or a minimum treated thickness in the
case of thermal or thermochemical treatment,
and a maximum dimensioning tolerance in the
case of a machined or welded part.
In the first phase of incorporation, a semi-
quantitative notion can be used to evaluate the
increase in performance in terms of fatigue life
or fatigue strength. A few examples can be pre­
sented. Table 3 gives an example of the effec­
tiveness of shot peening in increasing the fatigue
life of different types of mechanical parts, and
Fig. 19 shows the beneficial role played by roller
burnishing on the fatigue strength of spherical
graphite cast iron crankshafts. Figure 20 shows
20 / Effect of Materials and Processing

a horizontal comparison of gains to be expected According to a mechanical approach, we can • For a cyclic softening material, Hie residual
in terms of fatigue strength from various surface make the following general predictions (Ref 30): stresses relax wi th 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 Hie gain achieved. Each indus­ Table 3 Increase in the fatigue life of various mechanical components as a result of shot
trial sector must cam' out this type of compari­ peening
son for the treatments and materials used in order
Type of part Type of str ess Increase in the fatigue life (°/o)
to help engineers design their products more ef­
fectively. Spindles Reverse bending 400-1900
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 sendee 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 100-340
grated tools for taking the residual stress into Helical springs Fatigue life in sendee 3500
account. The following paragraph presents an Torque rods Dynamic stress 140-600
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
laxation has been proposed in the first section.
Secondly, a method to predict fatigue life by tak­
ing the stabilized residual stresses into account
is presented. This design tool is based on the
FEM. It has been applied to shot-peened
35NCD16 grade steel. The different fatigue pa­
rameters often used in material research are stud­
ied. On the other hand, an experimental inves­
tigation about this material had been done by
AAl
Bignonnet (Ref 42). The results of the study
show that this design tool on fatigue developed
by the Laboratory of Mechanical Systems En­
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.
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
ITT by C02 laser, «=0.1
relaxation during cyclic loading and the influ­ I TT by C02 laser, R = —1
ence of the stable residual stresses on the fatigue 3 TT by laser shock, R = 0.1
fife are studied.
I ST by nitriding R = 0.1
In only a few cases are the residual stresses
systematically analyzed using measurement of 3 TT by induction R = 0.1
the residual stress state during and after fatigue I 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 3 ST by shot peening R = 0.1
residual stress distribution during and after fa­
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 20 Beneficial effect of various surface treatments on the fatigue strength (maximum gain reported in the literature).
Fi8
culate stabilized residual stresses was proposed. TT, thermal treatment; ST, surface treatment
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem / 21
portant in the prediction of residual stress relax­
ation. They make it possible to calculate the re­
sidual stress state for a corresponded number of
cycles.
Then, a method to predict fatigue life while
taking these stabilized residual stresses into ac­
count is presented. The fatigue criterion under
multiaxial stresses is used. After the relaxation,
the residual stresses can be combined directly
with the cyclic loading. They change the value
of the mean stresses and influence the fatigue
life.
As a result, a design tool on fatigue for three-
dimensional components, FATIGUE3D, has
been developed in the laboratory of LASMIS
Fig-21 Basic steps of calculation while taking into account the residual stresses
X yield strength of 1000 MPa, an ultimate tensile
(Ref 43). It can take the residual stresses into
account when calculating the fatigue life of a
structure. It is based on the FEM. With litis tool,
an iso-colored image of distribution of fatigue
life or safety factor can be obtained.
These methods mentioned above are applied
to shot-peened 35NCD16 grade steel. The dif­
ferent fatigue parameters often used in material
research are studied. A comparison with the ex­
perimental results has been carried out (Ref 43).
Basic Steps for the Calculation. Figure 21
shows the elementary steps of the calculation of
fatigue life while taking into account the residual
stresses.
First, the initial state of the residual stresses
Fig. 24 Three-dimensional mesh
can be obtained by the measurement method or
by the simulation of surface treatment. Then, this
initial field of residual stresses can be introduced
by FEM using ABAQUS (Ref 44, 45). Further­
more, a stabilized field of residual stresses can
be predicted after an elastic-plastic calculation,
in which the cyclic behaviors of material are
used. This stabilized field of residual stresses af­
ter relaxation must be taken into account when
calculating title fatigue life. At last, with the help
of a design tool on fatigue, FATIGUE3D, the
distribution of fatigue life and that of the safety
factor on fatigue can be obtained.
Principle and Basic Function. According to
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
fore, two stress-number of cycles (S-N) curves
are needed under simple cases (for example,
bending or torsion). With these two curves, aline
can be determined for a certain number of cycles
(life) in the stress plane P — z (Fig. 22).
A different fatigue life is represented by a dif­
ferent line. If there is a complex stress state, it
gives a point in the plane P — z. Respectively,
the line to which this point is nearest represents
the fatigue life of that stress state. In this way,
the fatigue life for any complex stress state and
for any part of a component can be predicted. A
distribution of the fatigue life is helpful for the
designer.
On the oilier 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 Hie de­
signed life andM' is the point given by the stress
state. The safety factor on fatigue is defined as S
= OMIOM'.
Example and Results
Material and Geometry. The shot-peening
process is a widely used technique because it can
produce a field of residual stress on the surface
of a part. These stresses are compressive and will
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
strength of 1100 MPa, and an elongation of
17.5%) is studied. Many results of fatigue ex­
periments are available regarding tension com­
pression and torsion loading (Ref 44).
The geometry of the part is defined from the
real geometry so that the testing results can be
compared. It is similar to the fatigue test sample,
only the numerical values (radius, length) van'
for tension compression or torsion loading. The
difficulty is to define a thin mesh near the surface
(0.2-0.4 mm, or 0.008-0.016 in.) where the re­
sidual stresses are introduced while maintaining
a normal mesh in other zones. Figure 24 shows
the three-dimensional mesh of the part.
Introduction of the Initial Field of Residual
22 / Effect of Materials and Processing
F'g- 25 Initial distribution of the residual stresses
Stress. The initial residual stress distribution is
calculated from the residual stresses measured
by the x-ray diffraction method in the upper
layer where initial stresses are introduced by sur­
face treatment. In depth, the stresses are calcu­
lated for the structural equilibrium. Figure 25
shows the comparison of initial residual stresses
between the calculation and the experiment.
Prediction of the Residual Stress Relaxa­
tion. In order to predict the relaxation of the re­
sidual stresses, a simplified method proposed by
Lu et al. has been used (Ref 30). It supposes that
the relaxation of the residual stresses depends on
Fig. 26 UXATtlitlkTii 16 S,ade ,**'• *•
ot cycles, Ae„ axial plastic strain range during cyclic loading
elastic-plastic properties of material, because the der the cyclic loading can be obtained. Part of
plastic deformation is the main cause of the re­ the results and their comparison with the test val­
laxation. So, the cyclic behaviors of material are ues have been shown in Fig. 27. In the case of
very important for the prediction of the residual the traction-compression loading, two loading
stresses. However, they can be measured by ex­ levels were calculated. The same level for tor­
periment. sion loading with two different cycle numbers
Figure 26 shows the cyclic behaviors of was also analyzed. Figure 28 shows the stabi­
35NCD16 grade steel, a cyclic softening mate­ lized residual stresses for different traction-com­
rial. pression load levels that are used in the predic­
When the stabilized residual stresses are cal­ tion of the fatigue life. Unfortunately, it is
culated, tlie behavior corresponding to NR/2 is impossible to compare with the experiment re­
used. After an elastic-plastic calculation with sults.
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
for simple traction or traction compression; an­
other is for alternated torsion. These curves are
basic data of a material, and they can be obtained
N, Re(Y.S.), by experimental method.
cycles MPa
Using the program FATIGUE3D, a design
O1 940 tool on fatigue developed in the LASMIS labo­
•2 920 ratory, a distribution of fatigue life and a distri­
o3 910 bution of safety factor for a structure can be ob­
■ 15 870 tained. In tliis example, the fatigue life under
□ 50 830 traction-compression cyclic loading and torsion
a 150 800 loading has been calculated. The stabilized re­
v NpJ2 660 sidual stresses play a role as static load. Figure
29 shows the results of fatigue life and their com­
parison with the experimental results. It is very
clear that the proposed method is available.
Prediction of Admissible Residual Stress.
In tliis approach, a calculation method has been
H 'Vclic yield MK * a function of numb, developed that can predict the admissible resid­
ual stress for a given fatigue life. Tliis tool can
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem/23

100 100

103 cycles, traction compression 550 MPa 102 cycles, traction compression 700 MPa
0 !o
m Axial measurement ■ Axial measurement — ""
to □ Axial calculated (0 □ Axial calculated
CL
s -100 • Tangential measurement y s -100 _ « Tangential measurement
60 o Tangential calculated fryy 60 a Tangential calculated fjf
060 <0
60 60
£ -200 £ -200
to
« (0
Ü -300 S -300
60 <
o: , n n —'
-400 -400,

-500 ____ 1_____________1_____________1_____________1____________ 500 ______________I_____________ I_____________ I_____________ I_____________ I_____________

0.05 0.10 0.15 0.20 0.25 0.30 0.05 0.10 0.15 0.20 0.25 0.30
Depth, mm Depth, mm

F'g- 27 The relaxation results of the residual stresses

be used during the design phase to evaluate
whether or not residual compressive stress needs
to be introduced. The computer code also indi­
cates the level of the residual stress and the zone
in which it needs to be introduced. In this way,
the treatment condition during the mechanical
design phase can be defined. Figure 30 shows a
map of the prestress zone indicated for a notch
sample. It can be seen that in the high stress con­
centration area, residual compressive stress must
be introduced to obtain a predetermined fatigue
Axial residual stresses, MPa
life. In other zones, tensile residual stress is ad­
missible.
The fatigue life can then be used to deduce a
stabilized residual stress. An example of defining
the quenching conditions according to the resid­
ual stress field obtained before relaxation is an­
alyzed.
An inverse technique designed to obtain the
quenching conditions is then developed (Ref 46,
47). In this technique, it is necessary to simulate
quenching using the FEM. To simulate quench-
100
Tracti on-co m pre ssion
o- □ 550 MPa
ing under different conditions, the physical and
mechanical data of the material need to be
known. Generally speaking, these parameters
depend on the temperature, but the surface heat-
transfer coefficient depends not only on the tem­
perature, but also the sample geometry, the quen-
chant, and the quenching temperature. In order
to solve the problem, it is considered that there
is no change in any of the quenching parameters
or the sample geometry. Only the quenching
temperature changes. Quenching at different
temperatures was carried out. This gives the vari­
ation of the surface heat-transfer coefficient as a
function of the temperature for each quenching
temperature. It should be mentioned that numer­
ical methods alone are not sufficient to obtain

a 600 MPa the heat-transfer coefficient. The temperature

•a -100- o 620 MPa must be measured during quenching. Since the
■ 650 MPa heat-transfer-coefficient curve is known, the pa­
• 700 MPa rameters of these curves as a function of the
■S -200 -
quenching temperature can be defined. Once this
3 -300 - coefficient is known, quenching can be modeled
at different temperatures. The quenching tem­
^too perature in the case of water quenching varies
between 20 and 80 °C (68 and 176 °F). The lower
-500
the quenching temperature, the higher the level
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
 24 / Effect of Materials and Processing

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

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

termined by varying the quenching temperature

during simulation. After each simulation, the
calculated residual stress field is compared to
that obtained from the fatigue life. A limit con­
dition can be defined to improve the precision of
the results. When comparing the residual stress
fields, the hydrostatic pressure was used at each
point.

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
I—I -4.24E+01 stress into account. The results of this study
I—I +1.39E+02 show that it is possible to predict the residual
I—I +3.20E+02 stress relaxation and fatigue life, with consider­
I—I +5.01 E+02 ation of the influence of residual stress by the
I—I +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 Hie author is not in a position to pro­
vide the same type of calculation tools for other
properties, such as corrosion resistance and the
adhesion of coatings, it is now reasonable to ex­
pect that the notion of residual stress will be
gradually introduced into the design stage of me­
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.)
With the development of different experimen­
tal and numerical techniques, it is now possible
to introduce residual stress into the design office
for the integrated design of mechanical compo­
nents, thus offering a new concurrent engineer­
ing approach applied to the design of mechanical
components taking residual and applied stress
into consideration. Figure 31 shows the different
connections between residual stress-integrated
design and other sectors that use the concurrent
engineering approach. A mechanical component
designer can simulate dynamic characteristics,
material processing, and product life.
Consideration of residual stress is becoming
increasingly important for two reasons: the in­
troduction of multimaterials that induce residual
stress, and the need for file designer to reduce
the weight of components in order to remain
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
gineering approach The main aim is to develop an integrated qual-
 Prestress Engineering of Structural Material: A Global Design Approach to the Residual Stress Problem / 25
ity control tool. For industrial applications, fu­
ture developments are necessary:
Measurement techniques
• Improvement of ultrasonic and magnetic
measurement methods
• Integration of the portable optical method for
strain measurement in destructive techniques
Processing and materials
• Development for the industrialization of new
prestress processes: ultrasonic shot peening,
laser shock, surface nanocrystallization, and
so on.
• Optimization of residual stress in advanced
materials: functional gradient coating system,
for example, plasma spray coating, PVD,
CVD, or diamond-like carbon (DLC) coating;
metal-matrix composite; electronic packag­
ing; intermetallic materials
Modeling
• Development of advanced tools for the pre­
diction of initial residual stress in various pro­
cesses: forging, casting, machining, welding,
plasma spray coating, composite processing,
electronic packaging manufacturing, mechan­
ical surface treatment
• Integration of the residual stress modeling
method into a global life design (3-D) and the
creation of optimization codes for the design
of mechanical components using the concur­
rent engineering approach
With the recent progress in the field of re­
search and development, it is now possible to
introduce a new area of research: prestress en­
gineering of structural materials (PESM or
PRESMA). In the near future, the mechanical
engineer will be able to use these tools in a pre­
stressed concrete approach to civil engineering.
The ENSPED program in Europe is an excellent
example of the cooperation of industrial and re­
search partners. Using this new approach, the fa­
tigue behavior and mechanical behavior of new
materials can be considerably improved, increas­
ing two- or threefold in some cases. In fact, many
failures occur in the area close to the surface.
Improving the mechanical behavior is often only
necessary on the surface (fatigue, fretting fa­
tigue, wear, stress corrosion). As a result, this
type of approach can be expected to develop
very quickly in order to introduce adequate pre­
stressing treatment in the area indicated by the
advanced design tool.
ACKNOWLEDGMENTS
The author is grateful to all the people at LAS-
MIS working in the field of residual stress for
their help during the preparation of this paper:
Prof. J.L. Chaboche, Dr. D. Retraint, Dr. E. Rou-
haud, Dr. X.L. Gong, Dr. L. Couturier, Dr. R.
Akrache, Dr. Z. Wu, Dr. S. Rasouli Yazdi, Mr.
A. Milley, Mr. D. Deslaf, Mr. B. Guelorget, Mr.
A. Voinier, Mr. F. Belahcene, Mr. K. Gong. Fi­
nancial support from the European Union (under
grant Brite-EuRam, BRRT-CT98-5090, EN­
SPED project), and the National Science Foun­
dation of China (two bases project) is acknowl­
edged.
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Residual Stresses and Fatigue Behavior
D. Lóhe, K.-H. Lang, O. Vohringer
University of Karlsruhe/ Germany
COMPONENTS MAY FAIL DURING SER­
VICE in very different ways. Important aspects
are:
• Onset of plastic deformation or exceeding of
allowable plastic deformation
• Crack initiation or exceeding of allowable
crack length
• Unstable crack propagation that results in
fracture of the component
• Instability such as buckling, which may result
in elastic or plastic collapse and, hence, cat­
astrophic failure
In practice, failure of a component is almost
always detennined by the interaction of several
external parameters, such as unexpected high
static and/or cyclic loads, friction, thermal en­
ergy, oxidation, corrosion, and so forth. On the
other hand, the component itself may contribute
to premature failure, if there is confusion of the
component material, wrong heat treatment, sur­
face decarburization, and so forth.
The residual stress state in a component may
be one of the most important parameters influ­
encing its service behavior, particularly regard­
ing high-strength material states. Residual
stresses may reduce yield or elastic collapse
loads and may promote corrosion cracking (Ref
1, 2). With respect to fatigue, which is the topic
of this article, residual stresses may alter the cy­
clic deformation behavior, promote or retard
crack initiation, accelerate or decelerate crack
propagation, and may be beneficial or detrimen­
tal to finite fatigue life and the endurance limit.
It is important to realize that in a component lo­
cally very high amounts of residual stresses may
exist. For example, in a spring steel up to — 2000
MPa compressive residual stresses may be pro­
duced by a combined warm and stress peening
process (Ref 3).
In practice, no component is free of micro re­
sidual stresses. Almost all components have
macro residual stresses to a certain extent. Only
a small number of components exist where
macro residual stresses are negligible, for ex­
ample after a suitable stress relaxation heat treat­
ment. The reasons for residual stress formation
in components are treated in other articles in this
Handbook. The most important ones are the vari­
ous manufacturing processes. The fundamental
mechanisms of residual stress formation are in­
homogeneous plastic deformation caused by me­
chanical, thermomechanical, or thermal attack
and the development of constraint between dif­
ferent constituents of a component such as
phases or coatings during the formation of the
constituents (e.g., during the coating process)
and/or during cooling from a higher process
temperature (e.g., the sintering temperature).
Manufacturing processes not only result in the
formation of definite macro residual stress states,
but may also effect other changes of the com­
ponent state close to its surface:
• Formation of a specific topography
• Work-hardening or (in very hard material
states) work-softening processes and hence
alteration of the micro residual stress state
• Phase transformation
• Crack initiation
All these processes may change the fatigue be­
havior of a given component. It is hardly possi­
ble to completely separate these influences, even
though this is very important for the understand­
ing of the existing relationships.
Residual Stress
Stability of Residual Stresses. For the as­
sessment of the influence of residual stresses on
fatigue behavior, the stability of the residual
stress state is of utmost importance. The reader
is referred to the article “Stability of Residual
Stresses” in this Handbook, which deals with the
relaxation of residual stresses due to monotonic
or cycling loading or due to thermal energy. It
is shown there that the micro residual stress state
is more stable against mechanically and ther­
mally induced relaxation than the macro residual
stress state. On the other hand, it is also proved
that during fatigue the micro residual stress state
of a given steel may be changed by cyclic hard­
ening and/or cyclic softening processes, which
are closely related to cyclic plastic deformations.
Hence, during fatigue loading of a component
with locally varying macro as well as micro re­
sidual stress states, complex interactions of the
macro residual stress state with the cyclic load­
ing stresses and the micro residual stress state
with work-hardening and/or work-softening
processes occur. In both cases, the amount of
cyclic plastic deformation is the most important
parameter. Since during fatigue loadings that re­
sult in technically relevant lifetimes or in infinite
life, the cyclic plastic deformations decrease
with increasing hardness, it is generally expected
that the influence of macro residual stresses is
lower in low-strength steels than in high-strength
steels.
Comparison between Loading Stresses and
Residual Stresses. Since the alteration of the
micro residual stress state caused by manufac­
turing processes changes the local hardness
within a component and hence the local strength,
it is convenient to comprise the corresponding
influence on the fatigue behavior of the compo­
nent as a change of the local fatigue resistance
of the steel used for the component.
On the other hand, stable macro residual
stresses are static stresses and may be regarded
as locally varying mean stresses. However, it is
important to realize that there are definite differ­
ences between loading mean stresses and resid­
ual stresses:
• Loading mean stresses exist as a consequence
of acting external forces, moments, pressure
and/ or internal pressure, and eventually tem­
perature gradients. Residual stresses exist as
a consequence of inhomogeneous plastic de­
formation and/or as a consequence of con­
straints between different constituents of a
component.
• Distribution and sign of loading mean
stresses depend on the external loading, the
geometry of the component, the elastic-plas­
tic deformation behavior of the material (if
maximum loading stresses exceed the yield
strength or the cyclic yield strength), and on
thermophysical material properties (if tem­
perature gradients exist). Distribution and
sign of residual stresses depend on the
amount and extension of inhomogeneous
plastic deformation in relation to the whole
component volume, on the interaction of me­
chanically and/or thermally driven deforma­
tion during manufacturing processes, on the
strength of the material state, and/or on the
volume fraction, the elastic as well as the
28 / Effect of Materials and Processing
thermophysical properties of the constituents
of the component that impose constraint on
each other.
• Loading mean stresses are in equilibrium
with external forces and moments. Residual
stresses are in equilibrium with themselves
regarding balance of forces and moments
with relation to any sectional area and axis,
respectively. The latter is also true for ther­
mally induced loading stresses.
• Loading mean stresses may be changed and
finally disappear, if external loadings and/or
Ref :i
Fig 3 eve lie deformation curve and development of
Inhomogeneous strain distribution during,c ydic
softening of normalized AISI 41 10 steel. Source:; Ref 6 8
if existing temperature gradients are changed • Stage D: Unstable crack propagation and fail­
and finally removed. Residual stresses may be ure
changed and eventually disappear by ther­
mally and/or mechanically induced relaxa­ An example of the consequences of these fatigue
tion. stages is shown in Fig. 1 in an S-N diagram
• Loading mean stresses are not influenced by (Wohler diagram) for the plain carbon steel SAE
cyclic plastic deformation in stress-controlled 1020 (German grade C 20). which presents ex­
loading, unless stress gradients become very perimental results for persistent slip band for­
high—for example in the root of sharp mation (a, log N s curve), microcrack initiation
notches, where mean stress redistribution (cra/log A) curve), and failure (cy log N { curve)
may occur. Residual stresses always relax, if (Ref 5).
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 of cycles that yields to hysteresis loops. In a
behavior of components. The following sections stress-controlled test, the plastic strain amplitude
of this article discuss the consequences of this eap plotted versus log N results in a cyclic de­
interaction on cyclic deformation behavior, on formation curve that corresponds to the micro-
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) sa 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
state -which is of course always multiaxial CrMo 4) in a normalized state are shown in Fig.
that are relevant for the interaction of the cyclic 2. During stress-controlled push-pull tests with
loading and the residual stress state under con­ R = cTnlln/crmax -1 and oa < R P0 2 - the plastic
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 loading the 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
stress amplitudes. Hence, the fatigue strengths creasing eap values due to cyclically induced
and the cyclic loadings corresponding to finite work-softening effects that are connected with
fatigue lives given in this article are nominal inhomogeneous deformation processes caused
stress amplitudes. First of all, the section “Some by fatigue Liiders bands. This can be proved with
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
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
the . l.S'W tfandbaak (Ref 4). and marked as hatched areas on the specimens
that are allied to the cyclic deformation curve.
Similar macroscopic softening effects occur in
Some Aspects of Fatigue of Steels all normalized states of plain carbon steels and
low-alloy steels with carbon contents below 0.6
(Ref 6-8).
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, t.. and
multaneously with increasing stress amplitude
D:
oa. After reaching a maximum of softening, the
• Stage A: Cyclic deformation with work-hard­ materials behavior is mainly characterized by
ening or/and work-softening effects in the to­ work hardening, and the £a„ values decrease
tal volume (homogeneous loading such as with increasing number of cycles. At the end of
push-pull of smooth specimens) or in the the specimen’s life, the plastic strain amplitude
highest loaded regions (inhomogeneous load­ increases again, however fictitiously as a con­
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 <7a versus eai at N = M tf2, the so-called cyclic
• Stage B: Microcrack initiation and propaga­ stress-strain curve, of this steel is presented in
tion. Normal evolution of a macrocrack in the Fig. 4 together with the monotonic-stress/total-
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
nected with changes in the state of the mate­ than the monotonie curve due to the work soft­
rial in the crack tip plastic zone ening. The cyclic stress-strain curves of plain

carbon Steels with 0.01,0.22,0.45, and 0.80 wt%
C (German grade Ck 01. Ck 22, Ck 45, and C
80) in normalized conditions, determined from
cyclic deformation curves at N = iVf/2, are
drawn up in Fig. 5. With increasing carbon con­
tent and pearl it e content, respectively, an in­
creasing stress amplitude at p = constant oc­
curs due to a phase-hardening mechanism (Ref
8 10).
The cyclic deformation behavior of quenched-
and-tempered steels in stress-controlled experi-
Fie. 4 Monotonic stress-strain curve and cyclic stress-
& strain curve at N /2 of normalized AISI 4140 steel
f
at nearly the same strain rates. Sources Ref 6 -8
Fjo 5 Cyclic stress-strain curves of plain carbon steels
® with the indicated carbon contents (w: ) in nor­
malized conditions. Ref 8 10
68
Residual Stresses and Fatigue Behavior / 29
ments is characterized by a continuous increase
of the plastic strain amplitude that lasts up to
failure. The cyclic softening sets in after an in­
cubation number of cycles jVi, which depend on
the applied loading amplitude. Figure 6 shows
the cyclic deformation curves g^p versus log N
at di fferent stress amplitudes for AISI 4140 tem­
pered at 570 °C. As a consequence of this cyclic
deformation behavior, the cyclic stress-strain
curves of quenched-and-tempered steels proceed
below the monotonic curves (see Fig. 7). In this
material state, the cyclic softening is caused by
an inhomogeneous deformation behavior. The
plastic deformation develops locali zed in distinct
zones and remains localized in these zones up to
failure. Figure 8 shows results from photoelastic
investigation carried out on quenched-and-tem­
pered AISI 4140. In the plastically deformed
zones, the cyclic softening is caused by a rear­
rangement of the dislocations to energetically
more favorable dislocation structures such as cell
structures. As a consequence, the stored strain
energy and the hardness decrease. Within these
plastically deformed zones, microcrack initiation
and propagation occur (Ref 6 8).
Crack Initiation. The plastic strains gener­
ated by a cyclical loading lead to the formation
of microcracks in the material after a certain
Fifi. 7 Monotonic stress-strain curve and cyclic stress-
& strain curve at N,/2 of quenched-and-tempered
AISI 4140 steel at nearly the same strain rates. Source: Ref
Fifi 8 Cyclic deformation curve and development of
^ Inhomogeneous strain distribution during cyclic
softening of quenched-and-tempered AISI 4140 steel.
Source: Ref 6-8
number of cycles. These fatigue cracks usually
develop at the surface. Only in special cases—
for example, very heterogeneous materials such
as case-hardened steel—or at special loading
conditions—such as Hertzian pressure—fatigue
cracks may initiate below the surface. The first
microscopic cracks can appear in a very early
stage of the cyclic loading. Depending on the
loading conditions and the material, microcracks
can already be detected after 0.1 to 10Í4 of the
lifetime and number of cycles to failure, respec­
tively.
In ductile materials, changes of the surface
structure precede fatigue crack initiation. Fatigue
slip bands (persistent slip bands, PSBs). which
often are connected to extrusions and intrusions,
arise from irreversible gliding. These persistent
slip bands are often places in which first fatigue
cracks initiate. The crack initiation at persistent
slip bands often is typically for lower to middle
loading amplitudes. At higher amplitudes, cracks
may also initiate at grain boundaries. Crack ini­
tiation and the first phase of crack propagation
in ductile materials are controlled by shear
stresses. Within the first grain layers, the cracks
grow at an angle of 45°’ to the load axis. This
phase is called stage I crack growth. After reach­
ing a certain length, the cracks become the so-
called stage II cracks. Further propagation of the­
ses cracks is controlled by normal stresses. Stage
II cracks grow approximately rectangular to the
load axis. In brittle materials, crack initiation is
often observed at inclusions and other defects.
Crack Propagation. To describe the stress
and strain field in front of a crack tip the loading
details and the geometry of a cracked specimen
or component must be considered. If the plastic
zone in front of a crack tip is small in comparison
with the dimensions of the specimens or com­
ponents. the linear elastic fracture mechanics are
applicable, and the local loading conditions in
front of the crack tip can be described by the
stress intensity factor, K. Therefore, Paris,
Gomez, and Anderson (Ref 11) considered the
stress intensity factor as a driving force for the
propagation of a crack and suggested a crack
growth equation in the form:
2dN= ü • (S*T (Eq 1)
where da/dK is the crack growth rate, AA' the
range of the mode I stress intensity factor, and
C and m are constants (Ref 12). With this equa­
tion, which is the well-known Paris law, it is
possible to describe the crack propagation in the
midrange of the crack growth rate. Figure 9
shows the qualitative features of the crack
growth behavior in a double logarithmic plot of
the growth rate versus the range of the stress
intensity factor for experiments with constant
stress range Act = cmax — ct^. Distinct curves
are observed for different mean stresses <ym or
values of R = amin CTniax. respectively. The
lower parts of the curv es exhibit a threshold
value of AK below which crack growth is essen­
tially arrested. Typically, the crack growth
30 / Effect of Materials and Processing
Stress intensity factor range, log AK
g Crack propagation rate versus stress intensity fac­
tor range for stress ratio values R, > R 2 > R 3
log aa
Fig. 1 0 Stress Wohler curve (S-N curve)
Fig. 1 1 Total strain Wohler curve
rate in this region is below 10“8 mm/cycle. The
upper parts of the curves represent the crack
growth behavior as the K max values approach the
critical stress intensity factor K lc, which marks
the onset of unstable crack propagation. Then the
crack growth rate increases boundlessly.
The Paris law does not represent the complete
crack growth curves shown in Fig. 9. The upper
part of the curves depends on K lc, and the lower
part on the threshold value AK ± . Therefore, sev­
eral complementations were suggested. An equa­
tion that incorporates all of the features of crack
growth curves has been used by NASA (Ref 13).
It has the form:
da _ C • (1 - Rf ■ AK” ■ (AK - AK th f
dÑ [(1 - R) • K lc - AK\q
(Eq 2)
This equation is able to account for the threshold
effect, the R ratio effect, and the final instability
effect. By suitable choice of the exponents, this
equation can accept a number of different vari­
ants of crack propagation laws. For m = p = q
= 0, for example, the Paris law is obtained.
The concepts of linear elastic fracture me­
chanics and the use of the stress intensity factor
are limited to cases in which small-scale yielding
develops at the crack tip. Moreover, the appli­
cability of Eq 1 and 2 is restricted to sufficiently
long macroscopic cracks. Short cracks can grow
at smaller ranges of the stress intensity factor as
AKfa. At comparable AK values, they can exhibit
clearly higher crack growth rates than long
cracks (Ref 14).
Lifetime Behavior. The lifetime behavior of
steels is commonly described in an S-N diagram
(Wohler diagram) (Ref 15), where the loading
amplitude is plotted versus the number of cycles
to failure in double logarithmic scaling. For
stress-controlled fatigue tests, the S-N curve is
frequently described by three straight lines (see
Fig. 10). In the range of the quasi-static strength
R m (N f < NJ and the fatigue strength RfN >
Nf\ the endurable stress amplitude is constant
and given by the ultimate strength R m and the
fatigue strength Rf, respectively. In the range of
finite life (.N s < N f < N e\ the Basquin relation
(Ref 16):
o„ -c», ' iVrr' (Eq 3)
often describes the lifetime behavior satisfacto­
rily. af is the fatigue strength coefficient and (3
the fatigue strength exponent.
In the case of total-strain-control led fatigue
tests the e^t values in the total strain Wohler
curve (Fig. 11) can be separated into the elastic
and plastic parts:
£a,t £a,e "I” £a,p (Eq 4)
From experience it is known that both parts ex­
tend exponentially from the number of cycles to
failure N& which means that the plots log eae
versus log N { and log eap versus log N {are linear.
Quantitatively, the following relationships are
valid:
£a,p = £f • Nfa (Eq5)
and
£a,e = OfIE * Nf* (Eq 6)
with Sf the fatigue ductility coefficient, af the
fatigue strength coefficient, a the fatigue ductil­
ity exponent, (3 the fatigue strength exponent,
and E the Young’s modulus. Rearrangement of
both equations yields to:
£a,p ' Nfa = constant (Eq7)
and
• E • Nfp = oa • Nfp = constant (Eq 8)
which are the well-known relationships from
Coffin-Manson (Ref 17, 18) (Eq 7) and Basquin
(Eq 8).
Tensile mean stresses promote crack initiation
and accelerate crack propagation. Therefore, the
fatigue strength R f decreases with increasing
mean stresses. This correlation is normally rep­
resented in a Smith (Ref 19) or in a Haigh (Ref
20) diagram. As an example of such fatigue
strength diagrams, Fig. 12 shows a Haigh dia­
gram. The fatigue strength R f is plotted versus
the mean stress cm. The Goodman approxima­
tion (Ref 21):
R f = R'l • (1 - a JR m ) (Eq 9)
which represents a straight line between the fa­
tigue strength Rf at <jm = 0 and the tensile
strength Rm, is frequently used to estimate fa­
tigue strength. For practical use, the allowable
stresses are restricted by the demand that mac-
roscopically no plastic deformation should oc­
cur. This restriction leads to a straight line con­
necting the yield strength R e at both axes.
Through this, the allowable stress amplitudes lie
in the hatched area in Fig. 12. The slope of the
Goodman straight line is often also described as
mean stress sensitivity M = R°f • am/Rm. The
Goodman approximation normally leads to con­
servative estimations. Often, the Gerber parabola
(Ref 22):
R f = R'¡ ■ [1 - (aJR m )2 ] (Eq 10)
is used as a nonconservative estimation of the
fatigue strength. Mostly, experimental results
range between the Goodman and the Gerber ap­
proximations.
In the range of infinite lifetime, the influence
of mean stresses can be described by damage
parameters. Two frequently used damage param­
eters are the one proposed by Smith, Watson,
and Topper (Ref 23):
^Wr = + om) • e^t • E (Eq 11)
and the one proposed by Ostergren (Ref 24):
 Residual Stresses and Fatigue Behavior / 31

/'osx = 7(0. + om) • ■E by shot peening or deep rolling. Characteristic

(Eq 12) — 400 MPa show cyclic softening from the first
cyclic deformation curves for stress-controlled cycle and higher plastic strain amplitudes during
CTa and am are the imposed stress amplitude and push-pull loading of different heat treated the first cycles for stress amplitudes aa between
mean stress, respectively, eat 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 Young’s in unpeened and in Shot peened conditions with the plastic strain amplitudes of the shot peened
modulus. Normally, for e%t and i: 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 aa 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 cfs = 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
tion, the characteristic cyclic deformation behav­
Characteristic Examples. The influence of
ior of quenched-and-tempered steels occurs with
macro and micro residual stresses on the cyclic
a quasi-elastic incubation period, which is fol­
deformation behavior can be studied very well
lowed by cyclic softening until crack initiation.
after mechanical surface treatments, for example
After shot peening that generates surface com­
pressive residual stresses ars = —410 MPa, the
onset of cyclic softening is shifted to smaller
numbers of cycles. Furthermore, it is interesting
to note that for identical stress amplitudes and
comparable numbers of cyeles, the higher plastic
strain amplitudes are always measured for the
shot peened specimens. Figure 13(c) shows a
compilation of cyclic deformation curves for an­
other quenched-and-tempered (570 °C/2 h) AISI
4140 steel with a higher strength compared with
the steel condition in Fig. 13(b). In this case, the
shot peened condition that has surface compres­
sive residual stresses c13 = —530 MPa is char­
acterized for all investigated cra values by small
(a) measurable plastic strain amplitudes during the
first cycle that diminish or disappear first of all
with an increasing number of cycles. After a sub­
sequent regime of quasi-elastic behavior, cyclic
softening, which yields to lower plastic strain
amplitudes and larger numbers of cycles to fail­
ure in comparison with the unpeened conditions,
is dominant.
The effect of deep rolling on the behavior of
Fig 14 Cyclic deformation curve? for stress-controlled the cyclic deformation curves is presented in Fig.
push-pull loading of (a) normalized and (b) ni- 14(a) for the normalized plain carbon steel SAE
trocarburlzed specimens of the SAE 1045 steel in unpeened 1045 (German grade Ck 45) (Ref 27). At com­
and deep-rolled conditions. Source: Ref 27
parable stress amplitudes essentially smaller
plastic strain amplitudes are measured in the
deep-rolled condition. In this materials state, the
cyclic softening effects are extremely restricted,
but continue during the whole lifetime until
crack initiation. As a consequence of the smaller
plastic strain amplitudes at identical stress am­
plitudes, higher numbers of cycles to failure are
observed for the deep-rolled condition compared
with the normalized ones. Figure 14(b) shows
the influence of deep rolling in the case of a ni-
trocarburized SAE 1045 steel. Due to the differ­
ent microstructures in the near-surface areas of
the specimens, the same stress amplitudes yield
plastic strain amplitudes that are five limes
Number of cycles, N smaller than those of the normalized state. The
Number of cycles, N deep-rolling process modifies the cyclic defor­
(c) Fig. 15 Cyclic ill-formation curves ol dlffeti’nimechan-
¡rally surface treated materials for stress-con- mation curves of the nitrocarburized specimens
Fig. 1 3 Cyclic deformation curves for stress controlled trolled push-pull loading in the low-cycle fatigue (ECF) re­ in a manner similarto 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- a, 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 41-10 in unpeened and shot peened conditions. ing a • -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
32 / Effect of Materials and Processing
push-pull loading with the stress amplitudes in­
dicated for a normalized SAE 1045 steel (Ref
28, 29). Results for annealed as well as for shot
peened or deep-rolled conditions are shown. One
can clearly see that both mechanical surface
treatments considerably diminish the plastic
strain amplitudes. Due to the thicker affected
surface layer in the case mentioned first, the ef­
fect for deep-rolled states is more pronounced
than for shot peened states. Because fatigue
1 ^ Cyclic stress-strain curves of deep-rolled AISI
304 (rolling pressure 150 bar, surface residual
stresses of *** - 350 MPa) using compact as well as hollow
specimens with different percentages of strain-hardened
layers compared with an untreated state and a shot peened
condition (ars «= - 450 MPa). Source: Ref 28, 29
(a)
10 102 103 104 105 106
1
Number of cycles, N
(b)
F¡g j True plastic strain amplitude (a) and plastic
mean strain versus number of cycles (b) for
stress-controlled push-pull loading of normalized notched
specimens (notch factor K t = 3.0) of the SAE 1045 steel in
unpeened and shot peened conditions. Source: Ref 30, 31
damage is clearly correlated with plastic strain
amplitude, the benefit of mechanical surface
treatments becomes obvious. The influence of
mechanical surface treatments on cyclic plastic­
ity can be summarized in cyclic stress-strain
curves, which correlate stress amplitudes and
plastic strain amplitudes for, for example, half
the number of cycles to failure (see the section
“Cyclic Deformation Behavior”). Figure 16, as
an example, shows data for an austenitic AISI
304 steel in shot peened as well as deep-rolled
conditions compared with untreated specimens
(Ref28,29). Effects of mechanical surface treat­
ments are more distinct with a higher ratio be­
tween the area of affected surface layer and the
cross section of the specimen. In the case pre­
sented here, hollow thin-walled specimens were
prepared from compact specimens for analysis.
As shown in Fig. 16, cyclic yield strength con­
siderably increases compared with compact
specimens, if only the fatigue behavior of the
surface layers of mechanically surface treated
components is investigated.
If residual stresses are present in the root of
notched specimen, marked changes always occur
in the initial parts of the notch root cyclic defor­
mation curves (8^p/log N curves) and in the
notch root cyclic mean strain curves (sm/log N
curves) that depend on the sign and the magni­
tude of the residual stresses. Characteristic ex­
amples are presented in Fig. 17 for normalized
True plastic strain amplitude (a) and plastic
Fig. 18
mean strain versus number of cycles (b) for
stress-controlled push-pull loading of quenched-and-tem-
pered (400 °C/2 h) notched specimens (notch factor K t =
3.0) of the SAE 1045 steel in cut-milled and shot peened
conditions with different surface residual stresses. Source:
Ref 30, 31
specimens and in Fig. 18 for quenched-and-tem-
pered specimens of SAE 1045 with a notch fac­
tor K t = 3.0 that were investigated in push-pull
tests (Ref 30,31). Figure 17(a) compares the cy­
clic deformation curves of material states with
very low residual stresses (produced by milling
and subsequent annealing) with rather high re­
sidual stresses (produced by shot peening). In
both conditions plastic deformation occurs in the
first cycle at nominal stress amplitudes a^a
above 150 MPa. The annealed state yields con­
tinuous cyclic softening for all investigated a^a
values. Contrarily, the initial plastic strain am­
plitudes of the shot peened condition that are
much less dependent on the stress amplitude
compared to the milled and annealed state are
reduced during the first cycles. This is a result
of residual stress relaxation that is the more pro­
nounced the higher the nominal stress amplitude
is (see the following section “Evaluation of Ex­
perimental Results”). The consequences are
smaller effective stress amplitudes and smaller
s^p values in the following cycles. Hence, the
observed cyclic work hardening is fictitious.
However, at higher numbers of cycles, cyclic
softening occurs with lower e^p values than in
the unpeened condition.
On the other hand, as can be seen from Fig.
17(b), the shot peening notch root residual
stresses have an influence on the initial parts of
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
stresses in the notch, the initial parts of the em/
log N curves show negative plastic mean strains,
where the magnitudes of em increase with in­
creasing nominal stress amplitude. The minima
of 6m are shifted to lower numbers of cycles with
increasing <jna values. However, from the min­
ima of 6m at approximately 5% of the number of
cycles to failure, the em/log N curves show in­
creasing mean strains for all nominal stress am­
plitudes. Simultaneously, a decrease of the ten­
sile compliance in the hysteresis loops that
intensifies with an increasing number of cycles
is observed. By that, the compressive compli­
ance is approximately constant. This finding
proves that this increase of the mean strains with
the number of cycles is caused by an increase of
the number of microcracks and/or the growth of
microcracks. These sections are indicated by
dashed lines in the em/log JV curves of Fig. 17(b).
The true plastic strain amplitudes in the cyclic
deformation curves of the quenehed-and-tem-
pered (400 °C/2 h) specimens in Fig. 18(a) are
influenced by the magnitude of the notch root
residual stresses, but not by their sign (Ref 30,
31). All investigated conditions in Fig. 18(a)
show for the initial cycles fictitious cyclic-work­
hardening effects due to the relaxation of resid­
ual stresses ars of the surface layers (a15 = 460
MPa and —320 MPa produced by upcut milling
as well as —710 MPa by shot peening). Up to
N = 20 cycles, increasing magnitudes of the
compressive residual stresses cause higher neg­
ative mean strains. However, positive milling re-
 Residual Stresses and Fatigue Behavior / 33

sidual stresses yield to positive mean strains. The
increases in the plastic mean strains that appear
for the numbers of cycles above the minimum of
em are caused also by microcracks as described
previously.
Evaluation of Experimental Results. In rela­
tively soft material states, as for example in nor­
malized as well as in quenehed-and-tempered at
high-temperature conditions, the consequences
of mechanical surface treatments by shot peen-
ing or deep rolling on the cyclic deformation be­
havior are mainly caused by near-surface micro
residual stresses, that is, work hardening of the
surface layers, because the macro residual
stresses are relaxed very soon by cyclic plastic
deformation (see the article “Stability of Resid­
ual Stresses” in this Handbook). This relaxation
of macro residual stresses is shown in Fig. 19(a)
for shot peening residual stresses in the notch
root of a normalized SAE 1045 steel (Ref 30,
31) under the loading conditions of Fig. 17(a).
The dislocation structures in the ferrite after the
mechanical surface treatment are not stable and
change during cyclic loading in energetically
more favorable arrangements. The formation of
typical fatigue-induced dislocation structures is
combined with cyclic softening effects as pre­
sented in Fig. 13(a), 14(a). and 17(a). The small
plastic strain amplitudes of the shot peened or
deep-rolled conditions and the resulting in­
crease in fatigue life are caused by the re­
stricted mean free path of the mobile dislocations
in the work-hardened surface layers.
In hardened as well as in quenched-and-tem-
pered at low temperature conditions, the changes
in the cyclic deformation behavior result not
only from surface hardening or softening effects,
but also from the more stable residual stresses as
can be seen in Fig. 19(b) for notch root residual
stresses of the quenched and tempered (400 °C!
2 h) SAE 1045 steel under the loading condi­
tions of Fig. 18(a) (Ref 30, 31). The conse­
quences are a considerable influence of the
residual stresses on the cyclic behavior, espe­
cially with regard to the development of mean
1 10 102 103 104 105 106
Number of cycles, N
(a)
plastic strain of notched specimens (see Fig.
18b).
A study of the residual stress effects on the
cyclic deformation behavior seems to be possi­
ble by their simulation by applied mean stresses,
which are homogeneously distributed over the
cross section of the specimen. An example is
presented in Fig. 20 for smooth, normalized SAE
1045 steel specimens that were stress-controlled
loaded in push-pull tests with a constant mean
stress of cm = — 300 MPa (Ref 32). The cyclic
deformation curves at stress amplitudes cra =
125 and 150 MPa in Fig. 20(a) show first of all
a quasi-elastic incubation interval, followed by
considerable cyclic softening within some cy­
cles. Subsequently, within some further cycles,
cyclic work hardening occurs to such an extent
that extremely low plastic strain amplitudes re­
sult. For <ra & 200 MPa. the compressive stress
peak | am — aa ], which is higher than the yield
strength, induces plastic deformation in the first
cycle. This procedure is followed by a rapid cy­
clic work hardening in such a manner that at óy­
eles above 100 extremely low eap values are ob­
served. As a consequence of the constant
compressive mean stress, the specimens shorten
for all investigated stress amplitudes, as proved
by Fig. 20(b). For aa a 200 MPa. the mean
strains increase considerably and continuously.
However, for ct„ < 200 MPa the s, „ values sat-
urate above 20 cycles.

Influence of Residual Stresses on

the Crack Initiation

Characteristic Examples. Crack initiation

occurs as a consequence of mierostructural
changes in metallic materials during cyclic load­
ing. Different mechanisms are responsible for
their formation (e.g.. Ref 33). If it is accepted
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
to crack initiation A,, it follows that residual
el 1 10 102 103 104 10s 10® Fjg 20 IJlast'c Strain amplitude fa) 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 oresym., = 300 the number of cycles to crack initiation. How­
(a) MPa for specimens of the normalized SAE 1043 steel. ever. experimental investigations concerning the
Source: Kef 32 influence of macro and micro residual stresses
on crack initiation are scarce. This is due to the
difficulties connected with the observation of the
formation and the propagation of small cracks.
100
1 11 A recently published investigation gives a re­
(A) Untreated
port on the influence of mechanical surface treat­
80 (B) Deep rolled
ments on crack initiation and crack propagation
2 (5) Shot peened
2 60 in push-pull loading of steels (Ref 28). In un­
rm Macrocracks
(>750 gm) treated materials, crack initiation normally takes
1 Short cracks place at positions of high localized slip, for ex­
40 B (200-750 urn) ample, at extrusions and intrusions that are con­
Microcracks nected with persistent slip bands. However* as
20 (>200 gm)
shown in Fig. 21 in shot peened and deep-rolled
No damage
'1 El marks
conditions of the austenitic steel AISI 304, crack
ua & Cs)
Fifí 19 R('si‘Fml stress relaxation during stress-cou- formation occurs later than in the untreated state
trol Ied push-pu 11 loac 11 ng of notched sped mens due to the consequence of numerous obstacles
(notch factor K t = 3,0) for (a) normalized SAE 1045 In shot FÍ®. 21 lnfluence °f mechanical surface treatments on
peened conditions and fb) quenched-and-tempered (400 the damage evolution of the push-pull loaded
for slip (dislocations, grain and twin boundaries)
°C/2 It) SAE 1045 in cut-milled and shot peenédlconditlons, austenitic: Steel AISI 304. = 320 MPa; R = - 1; A, N, in the work-hardened surface layer that impede
Source: Kef 30, 31 = 385:9; B, N, = 4445; C, N, = 20,265. Source: Ref 28 localized slip. In these surface-work-hardcned
34 / Effect of Materials and Processing
conditions, no persistent slip band is observed at
all. Furthermore, crack propagation is slower
than in the untreated state due to the effect of
micro structure and compressive residual
stresses. Similar results are found in Ref 28 for
the normalized steel SAE 1045, in Ref 34 for the
plain carbon steel SAE 1080, and in Ref 35 and
36 for a high-strength spring steel AISI 6150
(German grade 50 CrV 4).
However, as reported in Ref 1, the crack ini­
tiation time of shot peened specimens is some­
times shorter than that of unpeened specimens
despite increased lifetimes. One example is
given in Fig. 22 for the quenched-and-tempered
steel SAE 1045 in the case of bending fatigue
tests in seawater (Ref 37). With the exception of
high stress amplitudes, the cracks are formed
earlier in shot peened specimens than in ground
ones. This finding is attributed to an enhanced
crack initiation at micronotches resulting from
shot peening, which is obviously supported by
corrosion pittings in the case of seawater envi­
ronment. However, the number of cycles to fail­
ure of the shot peened conditions are higher than
that of ground conditions.
Residual stresses may have a remarkable in­
fluence on the location of crack initiation. In the
case of bending fatigue, for example, cracks may
start below the surface, if the magnitude of the
pjcj 22 Stress amplitude versus number of cycles to
crack initiation and to failure of a quenched-
and-tempered SAE 1045 steel under bending fatigue load­
ing in seawater. Source: Ref 37
Crack initiation sites versus stress amplitude of
Fig. 23 a hardened SAE 1045 steel in different shot
peened conditions. Source: Ref 38, 39
compressive residual stresses near the surface is
high enough. Characteristic results are presented
in Fig. 23 for shot peened bending specimens in
a hardened state of the steel SAE 1045 with the
bending fatigue strength R f = 960 MPa after
shot peening with the shot size d = 0.3 mm and
R f = 1050 MPa with d = 0.6 mm, respectively
(Ref38,39). For stress amplitudes oa > Rf, crack
initiation was observed directly at the surface.
However for oa < Rf, subsurface cracks occurred
as shown in Fig. 24. If the centers of the rosettes
on the scanning electron micrographs (SEMs)
are considered to be the crack initiation points,
it is obvious that the crack initiation depth in­
creases with decreasing stress amplitude (Ref
39). At stress amplitudes that result in a fatigue
life N f above 107 cycles, crack initiation is lo­
cated approximately 0.3 mm below the surface.
These findings stimulated the development of a
concept of the local fatigue strength (see the par­
agraphs on experimental results in the section
“Influence of Residual Stresses on S-N curves”
in this article).
Evaluation of Experimental Results. The def­
inition of the number of cycles to crack initiation
N { and particularly the establishment of the af­
filiated crack length is of decisive meaning for
the evaluation of the influence of different pa­
rameters on N { from experimental results from
(a)
200 jam
i-------- 1
(b)
200 jam
i---- -—i
(c)
200 jam
i------ 1
(d)
200 jam
(e)
200 jam
(f)
200 jam
(g)
200 jam
i——i
FÍS 24 Scanning electron micrographs of fractured
& specimens of hardened and shot peened SAE
1045 at different stress amplitudes, (a) aa = 1300 MPa. (b)
oa = 1 250 MPa. (c) oa = 1 200 MPa. (d) aa = 1100 MPa.
(e) aa = 1000 MPa. (f) aa = 950 MPa. (g) aa = 900 MPa.
Source: Ref 39
literature. If the corresponding crack length
amounts to only some grain diameters, then N {
is determined by shear-stress-controlled pro­
cesses in stage I of crack propagation. However,
if crack lengths of several hundred microns ap­
pear (stage II of crack propagation), N { will be
determined by normal-stress-controlled pro­
cesses. In the last case, stable macro residual
stresses may have a considerable influence on
the N { values.
The experimental results achieved until now
for crack formation directly at the surface with
an appropriate consideration of the N { definition
show increasing numbers of cycles to crack ini­
tiation, if the surface area:
• Becomes work hardened by mechanical sur­
face treatment
• Bears additional compressive macro residual
stresses
• Is smoothed by polishing or deep rolling
However, decreasing values are observed,
if in the surface area:
• The roughness is increased, for example, by
shot peening
• Tool marks or material overlaps from shot
peening or deep rolling exist
• Tensile macro residual stresses occur that fa­
vor interface cracks between matrix and hard
second phases.
In this context, an investigation of the fatigue
crack initiation in double-edge notch specimens
of SAE 1080 steel with a fine-grained, spheroid-
ized microstructure shows considerable effects
of the macro residual stresses (Ref 34). In a
press-fitted condition, large compressive resid­
ual macro stresses occur that remained relatively
stable throughout the fatigue life and thus greatly
increased the numbers of cycles to crack initia­
tion N {. With reference to the Basquin-relation-
ship, Ni is estimated from the following relation­
ship:
2aa
Ni = (Eq 13)
a- - (aa + o15 ).
where N { is defined as the number of cycles at a
crack length of a = 0.1 mm, a1* is the macro
residual stress, oais the applied stress amplitude,
and of = 2315 MPa and b{ = —0.197 are ma­
terial constants.
Influence of Residual Stresses on
the Crack Propagation
Characteristic Examples. During cyclic
loading, the lifetime of components is deter­
mined significantly by the stage of crack prop­
agation, especially in the case of existing macro
residual stresses. Crack propagation as a conse­
quence of fatigue loading without mean stresses
can be described, with the exception of the crack
initiation and the near-fracture stage, by the Paris
equation (see Eq 1):
 Residual Stresses and Fatigue Behavior / 35
da these descriptions imply that a propagating crack
= C(AK)m (Eq 14)
dÑ itself is surrounded by a typical residual stress
field as shown in Fig. 25(a) for a high-strength
where AK is the stress intensity range and C and structural steel of the European grade S690QL1
m are constants. Mean stresses are taken into ac­ (Ref 40, 41). A crack was produced by cyclic
count by the Foreman equation: loading up to.a stress intensity range of AK x =
47.4 MPa Jm. The distribution of the macro re-
da C(AK)m
(Eq 15)
dÑ (1 - R)KC - AK
deep-rolled steel AIS I 304. Stress amplitude aa = 320 MPa,
Fig. 25 Res'dual stress component <j r y s versus distance surface residual stresses ars -200 MPa (75 bar), -350
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 AK = 47.4 MPa Jm (a) and an over­ bar). Source: Ref 29
load of AK = 94.8 MPa Jm (b). Source: Ref 40, 41
Fig. 29 Crack propagation rate da/dN versus stress in­
tensity range AK in the heat-affected zone of
EN S355 steel in an as-welded condition and after a stress-
Source: Ref 40, 41 relief heat treatment. Source: Ref 44
sidual stress component ajf, which acts perpen­
dicular to the crack flanks, shows maximum
compressive residual stresses of approximately
— 350 MPa at the crack tip. The alteration of this
distribution after application of 20 overload cy­
cles with an overload ratio X = 2 (AK Y = 94.8
MPa Jm) is given in Fig. 25(b). In front of the
crack tip, a larger maximum value and a larger
area with compressive residual stresses com­
pared with Fig. 25(a) are developed. The influ­
ence of different overload cycles on the crack
propagation rate is shown in Fig. 26 for X = 2
and 3. For both overload ratios, a delayed retar­
dation of crack propagation occurs that is more
pronounced for X = 3 than for X = 2 due to the
effect of overload-induced compressive residual
stresses. Thus, by sufficiently high overloads,
crack arrest can be produced (Ref 42).
If a crack propagates into a macro residual
stress field, the crack propagation behavior can
be considerably influenced by magnitude and
distribution of the residual stresses. This is
shown in Fig. 27, in which crack propagation
rates within an autofrettaged tube of SAE 4337
steel are compared with those in the untreated
material (Ref 43). Asa consequence of the au-
tofrettaging process, a triaxial residual stress
state is created with very high compressive re­
sidual stresses near the inner surface of the tube.
In agreement with Eq 14, loading with a constant
stress intensity range results in a constant crack
propagation rate in re sidual-stress-free tubes.
However, if the crack propagates through the
compressive residual stress field at the inner sur­
face of the autofrettaged tube, considerably
smaller crack propagation rates occur.
Crack velocity is influenced by work harden­
ing as well as by residual stresses in mechani­
cally treated surface layers. This is demonstrated
in Fig. 28 for differently surface-rolled AISI304
stainless steel. The crack propagation rate dal
dN y which was determined by analyzing stria-
tions on cracked surfaces, increases with increas­
ing rolling pressure and is considerably
diminished compared with untreated specimens
(Ref 29).
Finally, the influence of welding residual
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 AK diagram (Ref 44). The crack propa­
gation rate in the heat-affected zone is consid­
erably lower in the as-welded state than in the
stress-relieved state due to the distribution of
welding compressive residual stresses.
Evaluation of Experimental Results. For
practical purposes, it is very important to know
that crack propagation through residual stress
fields can be modeled quantitatively by intro­
ducing an effective stress intensity range AK eñ .
This can be seen in Fig. 30, which shows crack
propagation rates da/dN in welded and un­
welded specimens of SAE 1019 steel (Ref 45).
Exactly at the welding seam, tensile residual
stresses of about 340 MPa exist that disappear
in a distance of 10 mm. Figure 30 presents crack
propagation rates in the unwelded base material
36 / Effect of Materials and Processing
O as a function of AK for different stress ratios R.
o
As expected, with increasing R values, higher
crack propagation rates are observed. It is im­
portant to note that a mode I crack can only grow
during that portion of loading cycle where the
crack is open. This portion is influenced by the
R value itself and the near-crack-tip residual
stress distribution. The effective stress intensity scribed by a single, relatively narrow scatter
range can be determined quantitatively as the
difference between the maximum stress intensity
and the stress intensity where the crack opens:
AATc;v = /. in,, — K ,,p (Eq 16) residual stress fields can be quantitatively de­
(a) If the influence of the residual stress contribution ual-stress-free materials are available and the re­
on A'op is known, AAC. can be estimated and used sidual stress distribution is known.
o
o to predict the fatigue crack growth. Thus, the
double logarithmical plot of the crack propaga­
tion rate da/dN versus the effective stress inten­
sity range AAoffin Fig. 30(c) shows that all mea­
sured data points form a narrow scatter band. In
welded specimens, the (da/dN)/ÁK relations are
completely changed (e.g., Fig. 30a and b). Ob­
viously, for small AK values the crack propa­
gation behavior is entirely controlled by the
welding residual stress state, which leads to
identical crack propagation rates irrespective of
the R ratio. However, outside the volume areas
(b)
0
o
F¡„ 3-] Alternating bending S-N curves of notched
®" specimens of normalized plain carbon SAE
1045 steel after annealing, downcut mi I ling and upeut mill­
ing. Source: Ref 47-49
Fig. 30 ( rack propagation rate da/dN versus stress in- Fjg 32 Alternating bending fatigue strength of milled
tensity range AKin the base material (a) and (c) ®* smooth and notched specimens of normalized
and versus effective stress intensity range AK t „ (b) and (d) plain carbon SAE 1045 steel versus surface residual stress.
In the welded zone of the SAE 1019 steel. Source: Ref 45 Source: Ref 47-52
with high tensile residual stresses, individual
curves for each R value used are observed. For
R = —« (pulsating compression), first increas­
ing and then decreasing crack propagation rates
are observed indicating the influence of the ten­
sile residual stress field. However, also in this
case, the erack propagation behavior can be de­
band if the influence of the welding residual
stresses on the AK values appearing at the crack
tip is taken into account (see Fig. 30d). In this
way, the crack propagation behavior in macro
scribed if crack propagation data of macro resid­
Influence of Residual Stresses on
S-N Curves
Characteristic Examples
Low-Strength Steel. Figure 31 shows S-N
curves for alternating bending of normalized
SAE 1045 steel (German grade Ck 45) (Ref 47-
49). The notched specimens had a stress-con­
centration factor kt = 2.5. The stress gradient at
the notch root du/dz related to the maximum
stress a (normalized stress gradient r|):
1 do
n 6 dz
z=0 (Eq i?)
was 5 mm-1. All data are nominal stress ampli­
tudes and are valid for a failure probability of
50%. The bending fatigue strength was evalu­
ated at an ultimate number of cycles N u = 10'.
By downcut milling and upeut milling, surface
residual stresses of 242 and —234 MPa, respec­
tively, were generated. The corresponding S-N
curves are almost identical. A third batch of
specimens was annealed 2 h at 700 °C after
downcut milling. The annealing results in a re­
duction of bending fatigue life and betiding fa­
tigue strength (Ref 47- 49).
The alternating bending fatigue strengths of
milled smooth and notched specimens with dif­
ferent geometries are plotted in Fig. 32 as a func­
tion of the surface residual stresses (Ref46 -52).
Again, all data are given for a failure probability
of 50%, and the bending fatigue strengths are
nominal stress amplitudes at N u = 107. With
increasing stress-concentration factor and de­
creasing stress gradient, the bending fatigue
strength decreases. The influence of the stress-
concentration factor is clearly visible from a
comparison of the specimens with the same
value rj — 2 mm-1, but different values kx =
1.7 and 2.5, respectively. On the other hand, the
increase of T| from 2 to 5 mm 1 at specimens
with kt = 2.5 results in a significant increase of
bending fatigue strength. It is also interesting to
note that specimens with k, = 4.4. r| = 15 have
a somewhat higher strength than specimens with

kt = 2.5, rj = 2 mm-1. However, with regard
to the residual stress state, there is no significant
influence on the bending fatigue strength, even
though the range of residual stresses covered
comes to more than 1000 MPa regarding speci­
mens with kt = 4.4, T) = 15 mm-1. Careful
inspection of the hardness of the specimens
tested shows that a positive slope of the lines in
Fig. 32 is not related to the changing (macro)
residual stress state, but to different hardness of
the specimen and, hence, differences in the mi­
cro residual stress state produced by different
Fie. 33 ^-N curves °f specimens made from normal-
ized plain carbon SAE 1015 steel in the as-
heat-treated state and after an additional deep rolling for
(a) push-pull loading and (b) rotating bending. After Ref 53
Fig 34 Alternating bending S-N curves of notched pj<r 3 ^
specimens made from quenched-and-tem-
pered (60 °C/2 h) plain carbon SAE 1045 steel after differ-
ent grinding processes. Source: Ref 47-49
machining procedures. After correction of the
data points given in Fig. 32 to the same hardness,
it turns out that the bending fatigue strength is
hardly changed or slightly diminished at most,
if the residual stresses change from compressive
to tensile (Ref 49).
S-N curves for push-pull loading of smooth
specimens made from normalized SAE 1015
steel (German grade Ck 15) in the as-heat-treated
state and after an additional deep rolling are
shown in Fig. 33(a) (Ref 53). Again, the fatigue
behavior in the range of finite fatigue life and the
fatigue strength do not differ much. Figure 33(b)
shows a plot of S-N curves for rotating bending
of the same material states. Now, by deep rolling
finite fatigue life is increased by one order of
magnitude or more, and the bending fatigue
strength is increased significantly.
Medium-Strength Steel. Figure 34 shows S-
N curves that were determined in alternating
bending on notched specimens of quenehed-and-
tempered (600 °C/2 h) SAE 1045 steel (Ref 47-
49). All data are valid for a failure probability
of 50% and N u = 107. Three batches of speci­
mens were manufactured by grinding. The grind­
ing parameters (final feed, cutting speed) and the
resulting depth distributions of residual stresses
are given in Fig. 35 (Ref 47-49). Specimens
F¡„ 35 Depth distribution of the residual stress in
notched specimens made from quenched-and-
tempered (600 °C/2 h) plain carbon SAE 1045 steel by dif­
ferent grinding processes with the indicated two steps ofla)
final feed and cutting speed. Source: Ref 47-49
cc
Q- 400
S?
£ 300
a>
c
<D
W 200
0
.05
TO . _ _
'n
05100
c
'~0
c
o
co 0
-500 -250 0 250 500 750
Surface residual stress (of), MPa
Alternating bending fatigue strength of ground
smooth and notched specimens made from grinding and after additional shot peening. (b) Notched
quenched-and-tempered plain carbon SAE 1045 steel
sus surface residual stress. Source: Ref 47-52
Residual Stresses and Fatigue Behavior / 37
with rather small and with compressive surface
residual stresses yield identical fatigue behavior.
It should be noted that the surface layer bearing
compressive residual stresses is rather small.
Contrarily, the generation of tensile residual
stresses causes a significant decrease of bending
fatigue strength and a rather small decrease of
finite fatigue life, which obviously vanishes at
high stress amplitudes.
The alternating bending fatigue strength of
ground smooth and notched specimen with dif­
ferent geometries made of the same material
state is plotted in Fig. 36 as a function of the
surface residual stresses (Ref47-52). Similar to
Fig. 32, the influences of the stress-concentration
factor and the normalized stress gradient are
clearly discernible. However, contrary to the
normalized steel there is distinct reduction of the
bending fatigue strength with increasing tensile
residual stress, this being more pronounced in
the comparison of smooth specimens with
notched specimens. In the range of compressive
residual stresses covered, the influence of resid­
ual stress on bending fatigue strength is rather
small.
The S-N curves of smooth specimens in the
ground state and after an additional shot peening
are compared in Fig. 37(a) (Ref 47-49). There
is a distinct increase of the bending fatigue
strength by shot peening, but a rather small in-
(b)
Fi«. 37 Alternating bending S-N curves of specimens
made from quenched-and-tempered (600°C/2
h) plain carbon SAE 1045 steel, (a) Smooth specimens after
specimens
ver- after milling, grinding, and grinding with addi­
tional shot peening. Source: Ref 47-49
38 / Effect of Materials and Processing
fluence on finite fatigue life. Figure 37(b) com­
pares S-N curves of notched specimens which
were milled, ground, and shot peened after
Fig. 38 Alternating bending fatigue strength of
quenched-and-tempered (600 °C/2 h) plain
carbon SAE 1045 steel versus surface residual stress eval­
uated from Fig. 36 and 37
co
Alternating bending S-N curves of smooth
Fig. 39 specimens made from blank-hardened AISI
5115 steel in the as-blank-hardened and with different con­
ditions shot peened states including one with a subse­
quently electropolished surface. 1, as-blank-hardened; 2,
shot velocity v = 23 m/s, coverage c = 100%, mean di­
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,
v = 81 m/s, c = 600%, d = 0.6 mm; 6, v = 53 m/s, c
= 100%, d = 0.6 mm, 100 gm surface layer electrolyti-
cally removed. After Ref 54-56
Fig. 40 Depth distribution of the residual stress in spec-
¡mens made from blank-hardened AISI 5115
steel in the as-blank-hardened (1) and in different condi­
tions ofthe shot peened state (3), (4), and (5) corresponding
to Fig. 39. After Ref 54-56
grinding. Again, in the range of finite fatigue life,
the influence of the different manufacturing pro­
cesses is almost negligible. The relative increase
of the bending fatigue strength by shot peening
is more pronounced compared with smooth
specimens. It is interesting to note that milled
specimens have a higher bending fatigue
strength than ground ones, even though they
have lower compressive residual stresses (— 159
Fig. 41 Bending fatigue strength smooth and notched
specimens made from quenched-and-tem-
pered SAE 5135 steel versus deep-rolling force. After Ref
57
F¡«. 42 Alternating bending S-N curves of notched
specimens made from quenched plain carbon
SAE 1045 steel after different grinding processes. Source:
Ref 47-49
F¡g 43 Depth distribution of the residual stresses in
notched specimens made from quenched plain
carbon SAE 1045 steel and ground with the two steps of
final feed and cutting speed indicated. Source: Ref 47-49
MPa) at the surface than the latter ones ( — 221
MPa).
Figure 38 shows plots ofthe alternating bend­
ing fatigue strengths evaluated from Fig. 37 as a
function of the surface residual stresses. The ar­
rows mark the shift in bending fatigue strengths
and surface residual stresses produced by shot
peening. Additionally, data points of ground
specimens with negligible or tensile residual
stresses shown in Fig. 36 are included. In the
case of notched specimens, all data points lie on
a common line with the slope — 0.154 except for
ground specimens with compressive residual
stresses at the surface. Regarding smooth spec­
imens, the influence of tensile residual stresses
on the bending fatigue strength is much more
pronounced than the influence of compressive
residual stresses.
Figure 39 shows S-N curves for alternating
bending of smooth specimens (rj = 1 mm“ ]) of
blank-hardened AISI 5115 steel (German grade
16 MnCr 5) determined in the unpeened and
various shot peened states including one with
eleetrolytically removed surface layer (Ref 54-
56). The corresponding depth distributions of re­
sidual stresses are given in Fig. 40. From the
comparison of both figures, it becomes clear that
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
rotating bending fatigue strength of smooth and
notched specimens made from quenched-and-
tempered SAE 5135 steel (German grade 37 CrS
4) is shown in Fig. 41 (Ref 57). In both cases, a
maximum of the fatigue strength occurs at a cer­
tain force. However, the increase of the fatigue
strength of notched specimens (kt = 2) by deep
rolling is much more pronounced than that of
smooth specimens. In the end, the optimal bend­
ing fatigue strength of notched specimens—
which is a nominal stress amplitude—is higher
than the bending fatigue strength of smooth
specimens.
High-Strength Steels. S-N curves for alter­
nating bending of notched specimens of
quenched SAE 1045 steel in differently ground
conditions are compared in Fig. 42 (Ref47-49).
The grinding parameters (final feed, cutting
speed) and the resulting depth distributions of
residual stresses are given in Fig. 43. Similar to
ground quenched-and-tempered specimens, the
fatigue behavior of specimens with very small or
compressive residual stresses (which have a very
small penetration depth) hardly differ. Tensile
residual stresses, however, not only cause a
strong reduction of bending fatigue strength, but
also of finite fatigue life.
In Fig. 44, the bending fatigue strength that
was evaluated from Fig. 42 and corresponding
data from tests on smooth specimens are plotted
as a function of the surface residual stresses. The
negative influence of tensile residual stresses on
the bending fatigue strength of smooth speci­
mens is even more pronounced compared to
notched specimens. The influence of compres­
sive residual stresses generated by grinding is

much smaller than the influence of tensile
stresses.
In Fig. 45(a), the S-N curves of smooth spec­
imens in the ground state and after additional
shot peening are compared (Ref46-49). Similar
to quenehed-and-tempered specimens (see Fig.
37), shot peening produces a significant increase
of the bending fatigue strength. Contrary to the
results of the medium-strength steel, however,
there is also a very pronounced increase of finite
Surface residual stress (o^, MPa
P¡g 44 Alternating bending fatigue strength of ground
smooth and notched specimens of quenched
plain carbon SAE 1045 steel versus surface residual stress.
Source: Ref 47-49
(a)
(b)
Fig. 45 Alternating bending S-N curves of specimens
made from quenched plain carbon SAE 1045
steel, (a) Smooth specimens after grinding and after addi­
tional shot peening. (b) Notched specimens after grinding,
milling, and grinding with additional shot peening with
shot of the indicated hardness. Source: Ref 46-49
Residual Stresses and Fatigue Behavior / 39
fatigue life, which comes up to one and a half
orders of magnitude at high stress amplitudes.
The S-N curves of notched specimens of the
same steel state after grinding and after addi­
tional shot peening with shot of different hard­
ness are shown in Fig. 45(b). Compared to
smooth specimens, shot peening produces a
much stronger increase of the bending fatigue
strength. Again, there is also a remarkable in-
Fig. 46 Alternating bending fatigue strength of smooth
® and notched specimens made from quenched
plain carbon SAE 1045 steel with different surface condi­
tions versus surface residual stress
47 Changes of alternating bending fatigue strength
AR f relative to changes of surface roughness
height AR h versus surface hardness HV5 for different heat
treated SAE 1045 and AISI 5115 steels. After Ref 58, 59
Fig. 48 Surface residual stress in notched (k t = 1.7)
0 upcut milled specimens made from normal­
ized plain carbon SAE 1045 steel during alternating bend­
ing fatigue at different nominal loading amplitudes versus
number of cycles. Source: Ref 49
crease of finite fatigue life. Additionally, the S-
N curve of milled specimen is included. Finite
fatigue life and bending fatigue strength of these
specimens are lower compared to shot-peened
ones, even though they contain very high surface
compressive residual stresses of —1200 MPa.
In Fig. 46, the bending fatigue strength data
already plotted in Fig. 44 are complemented by
data evaluated from Fig. 45. The arrows mark
the shift in bending fatigue strengths and surface
residual stresses produced by shot peening.
Similar to the discussion of Fig. 39 and 40, it
becomes obvious that the magnitude of surface
residual stress is not a suitable parameter for the
assessment of the influence of shot-peening-in-
duced residual stresses on the fatigue strength.
Evaluation of Experimental Results
Low-Strength Steels. Regarding Fig. 31 to
33, different machining processes or process pa­
rameters were applied to the specimens investi­
gated producing different surface topographies.
In Fig. 47, the ratio ARf/ARh, which gives the
change of the alternating bending fatigue
strength of differently treated SAE 1045 and
AISI 5115 steels per pm increase of roughness
height is plotted as a function of the hardness at
the surface (Ref 58, 59). As is well known from
many other investigations, the susceptibility of
the bending fatigue strength to roughness in­
creases with increasing hardness. For the steel
states investigated, a value of 2 MPa/pm can
serve as a guide. Since the roughness height of
the specimens did not vary by more than 2 pm,
the results plotted in Fig. 31 and 32 are hardly
influenced by surface topography. It should be
kept in mind, however, that a large increase of
surface roughness will significantly decrease the
fatigue strength even in low-strength material
states.
In low-strength steels, cyclic plasticity ap­
pears if the cyclic loading approaches the fatigue
strength. Extensive cyclic plasticity occurs in the
range of finite fatigue life, being combined with
cyclic softening and/or hardening processes (see
the section “Some Aspects of Fatigue of Steels”
in this article). Cyclic plasticity results in macro
residual stress relaxation, which is more rapid
the higher the cyclic loading is (see the article
“Stability of Residual Stresses” in this Hand­
book). Figure 48 (Ref 49) shows the relaxation
of the surface residual stresses during alternating
bending fatigue in notched upcut milled speci­
men made from normalized SAE 1045 steel
starting at an initial value of —590 MPa. The
bending fatigue strength amounts to 190 MPa
(see Fig. 32). During loading with an amplitude
of 185 MPa just below the fatigue limit, the
change of the macro residual stresses is almost
negligible. During all other fatigue loadings, ex­
tensive residual stress relaxation occurs. There­
fore, almost no influence of macro residual
stresses is found in Fig. 31 and 32 (Ref 47-52).
The amount of cyclic plasticity, which occurs
during cyclic loading resulting in a given finite
40 / Effect of Materials and Processing
fatigue life or which corresponds to the fatigue
limit, decreases with increasing strength of the
steel. This results in decreasing residual stress
relaxation rates and finally in stable macro resid­
ual stresses. On the other hand, in a low-strength
steel, local work hardening may occur during
manufacturing processes such as milling, turn­
ing, or grinding. In other words, the micro resid­
ual stress state is changed, mainly by the increase
of the dislocation density. As discussed in the
article “Stability of Residual Stresses” in this
Handbook, the resistance of the micro residual
stress state against cyclic relaxation is much
higher compared to that of the macro residual
stress state. So one may assume that macro re­
sidual stresses that exist in a part of a component
that has undergone work hardening by manufac­
turing processes are more stable than expected
from the basic strength of the material. Looking
at Fig. 32, this relationship may be responsible
for the small reduction of the bending fatigue
strength by tensile residual stresses that occurs
in some of the specimen series investigated.
A much more important consequence of the
change of the micro residual stress state by local
work hardening is the direct alteration of the lo­
cal fatigue behavior. Increasing strength reduces
the local cyclic plastic deformation at a given
external loading, thus increasing the number of
FÍS. 49 Changes of alternating bending fatigue strength
AR f relative to changes of surface hardness
AHV 5 versus surface hardness HV 5 for different surface
roughnesses heights R h . After Ref 58, 59
Fig 50 Fat¡giienotch factor k f of specimens made from
quenched-and-tempered (600 °C/2 h) plain
carbon SAE 1045 steel versus surface residual stress.
Source: Ref 47-49
cycles to crack initiation and decreasing the
propagation rate of short cracks (Ref 60, 61).
Therefore, as is evident from Fig. 31, a residual
stress relief heat treatment that eliminates the
machining-induced work hardening reduces the
finite fatigue life and the fatigue limit of nor­
malized SAE 1045 steel. At rather high loading
amplitudes, this influence vanishes because then
the cyclic deformation behavior is almost en­
tirely governed by cyclic softening and harden­
ing processes during the fatigue loading (see the
section “Cyclic Deformation Behavior” in this
article) irrespective of initial variations of the lo­
cal work-hardening state.
A smaller influence of the micro residual
stress state appears in Fig. 33(a) and a somewhat
stronger one in Fig. 33(b). Here, it becomes clear
that even in a rather soft material state such as
normalized SAE 1015 steel, an improvement of
the fatigue behavior can be obtained from local
work hardening. In this case, the depth of the
surface layer of the smooth specimens influenced
by deep rolling is relatively large compared to
the milled specimens, which are the basis of Fig.
31 and 32. Nevertheless, push-pull loading (Fig.
33a) without stress gradient reveals a small in­
fluence of deep rolling, because of two major
effects. First, the crack initiation site may be
shifted below the work-hardened zone. Then, the
small increase of the fatigue strength mirrors the
benefit of omitting surface effects (such as spee-
Number of cycles, N
(a)
(b)
Fig. 51 Surface residual stress in smooth and notched
specimens made from quenched-and-tem­
pered (600 °C/2 h) plain carbon SAE 1045 steel versus
number of cycles (a) at a I ifetime of approximately 2 X 106
cycles and (b) at a lifetime of approximately 105 cycles.
Source: Ref 47-49
imen roughness, corrosion, oxidation) on the
crack initiation. Secondly, if crack initiation
occurs at the surface, the influence of the work-
hardened zone may also be rather small, be­
cause—at a given loading—a stress redistribu­
tion may occur from the softer core region of the
specimen to the work-hardened zone. This effect
is combined with cyclic plasticity in the core re­
gion and, hence, with rather high loading ampli­
tudes. The first effect predominates in the range
of the fatigue limit, where cyclic plasticity is
small, and the second one in the range of finite
fatigue life. On the other hand, during rotating
bending (Fig. 33b) with a distinct stress gradient,
crack initiation always occurs at the surface. If
the work-hardened zone is thick enough, there is
no stress redistribution from the core region—
which is then purely elastically loaded—to the
work-hardened zone. Again, at very high loading
amplitudes, the cyclic softening /hardening pro­
cesses produced by the cyclic loading itself push
the influence of the initial work-hardening state
into background.
In Fig. 49, the ratio ARf/A//F, which gives
the increase of alternating bending fatigue
strength per unit hardness, is plotted as a func­
tion of the hardness itself (Ref 58, 59). The di­
agram shows that the sensitivity of the fatigue
strength to the hardness decreases with increas­
ing hardness. Taking into account that the resis­
tance of the macro residual stress state against
cyclic relaxation is low in low-strength steels, it
becomes clear from Fig. 49 that—besides the
change of the surface topography—the altera­
tion of the micro residual stress state is the gov­
erning parameter for the assessment of the influ­
ence of machining on the fatigue behavior of
components made from low-strength steel.
Medium-Strength Steel. A detrimental effect
of tensile grinding residual stresses appears in
Fig. 34 and 36 on alternating bending fatigue
strength, being more pronounced for smooth
than for notched specimens. Therefore, the fa­
tigue notch factor decreases with increasing re­
sidual stress, as shown in Fig. 50. There is re­
laxation of surface residual stresses during
bending fatigue loadings of smooth and notched
specimens, which results in lifetimes of approx­
imately 2 million cycles, as shown by Fig. 51(a).
The stress relaxation in the notched specimens
is significantly more pronounced than in smooth
ones. An elastic estimation of the stress in the
notch root a* = kt • ana yields a much higher
value than the stress amplitude in the smooth
specimens. Even though a* is only an upper
bound for the true stress at the notch root, it be­
comes clear that it is the higher local cyclic load­
ing in notched specimens that causes the stronger
cyclic stress relaxation and, hence, the smaller
residual stress sensitivity of the bending fatigue
strength compared to smooth specimens. Re­
garding the relatively high loadings indicated in
Fig. 51(b), stress relaxation in notched specimen
is almost complete at the end of fatigue life, and
therefore only a small influence of initial macro
residual stresses on fatigue life at high loadings
is expected. This is shown in Fig. 34.

According to Fig. 34 and 36, the beneficial
effect of compressive grinding residual stresses
on bending fatigue strength is small regarding
smooth and almost negligible regarding notched
specimens. Again, the smaller effect in notched
specimens is due to a stronger residual stress re­
laxation. However, during cyclic loading corre­
sponding to the fatigue limit, a considerable por­
tion of the initial residual stresses is retained to
the ultimate number of cycles even in notched
specimens. Therefore, and in view of the small
penetration depth of the compressive residual
stresses (~20 pm, see Fig. 35), one would as­
sume that the crack initiation site is shifted be­
low the surface. However, this could not be
proved unambiguously in either smooth or
notched specimens (Ref 49). Therefore, it is
thought that very thin surface zones bearing
compressive residual stresses do not retard the
initiation and early growth of microcracks.
Regarding smooth specimens in Fig. 38, a
smaller effect of compressive residual stresses
produced by grinding or shot peening appears
compared to tensile grinding residual stresses,
even though crack initiation occurred always at
the surface. The small influence of compressive
Distance from surface, mm
52 Res'dual stress of smooth ground and addi­
tional shot peened specimens made from
quenched-and-tempered (600 °C/2 h) plain carbon SAE
1045 steel before loading and after 107 cycles versus dis­
tance from surface. Source: Ref 46-49
. 53 Residual stress of notched ground and addi­
tional shot peened specimens made from
quenched-and-tempered (600 °C/2 h) plain carbon SAE
1045 steel before and after loading at different nominal
stress amplitudes versus distance from surface. Source: Ref
46-49
Residual Stresses and Fatigue Behavior / 41
grinding residual stresses was already attributed
to their small penetration depth. Contrarily, as
evident from Fig. 40, compressive residual
stresses generated by shot peening have a rather
large penetration depth. However, since the
bending fatigue strength of shot peened speci­
mens (414 MPa) is much higher than that of
specimens with tensile grinding residual stresses
(195 MPa), also the residual stress relaxation is
more pronounced during corresponding cyclic
loadings. As shown in Fig. 52, residual stresses
relax significantly during fatigue loading, which
does not cause failure within 107 cycles. Fur­
thermore, the surface roughness of the shot
peened specimens (R h = 35.6 pm) was much
higher than that of ground specimens (R h = 6.5
pm) (Ref46-49). If the bending fatigue strength
of shot peened specimens is corrected for the
high surface roughness by means of Fig. 47 and
is plotted in Fig. 38 at the surface residual stress
remaining after 107 cycles (see Fig. 52), one gets
a data point that lies significantly above the ex­
trapolated relationship between bending fatigue
strength and tensile residual stresses.
The relationship between bending fatigue
strength and surface residual stresses of notched
specimens (Fig. 38) is described by a straight
line except for specimens with compressive
grinding residual stresses as already discussed.
In all cases, crack initiation occurred at the sur­
face of the specimens that failed. Since the ex­
trapolated straight lines for smooth and notched
specimens cross at a tensile surface residual
stress of approximately 750 MPa the fatigue
notch factor approaches a unity with increasing
tensile residual stress (see the paragraphs on me­
dium-strength steel in the section “Haigh Dia­
gram” in this article). Again, different residual
stress relaxation plays an important role. As
shown in Fig. 51(a) (Ref 49), and discussed pre­
viously, the residual stress relaxation in a smooth
specimen loaded just above the fatigue limit,
which failed after 2 million cycles, is signifi­
cantly smaller than in a notched specimen that
failed after approximately the same number of
cycles. Figure 53 proves that residual stress re­
laxation is even more significant up to a distance
of 100 pm from the surface during fatigue load­
ing of shot peened notched specimens, which did
not fail up to 107 cycles. During fatigue loading
resulting in a fatigue life of approximately 104
cycles, residual stress relaxation is almost com­
plete. Therefore, no influence of macro residual
stresses appears in the low-cycle fatigue range
(see Fig. 37b).
From Fig. 51(a) and 53, it follows that at the
fatigue limit, the residual stress relaxation in shot
peened notched specimens with compressive
tensile residual stresses is more pronounced than
in ground notched specimens with tensile resid­
ual stresses. For this comparison, in Fig 51(a)
only the stress relaxation up to the appearance
of a crack (arrow at 5 X 105 cycles) may be
regarded, because the final relaxation is influ­
enced by crack propagation and does not exist
in Fig. 53. Furthermore, the surface roughness
of shot peened notched specimens (R h = 18.0
pm) was larger than that of ground specimens
(Rh = 5.5 pm). Therefore, the question arises
why the data points of shot peened specimens do
not fall below the solid line drawn in Fig. 38.
Careful inspection of microhardness distribution
and the width of x-ray interference lines as a
function of the distance from the surface show
that—compared to grinding—shot peening pro­
duces a more intense work hardening which, in
addition, penetrates into a larger depth. The same
holds for smooth specimens. The work harden­
ing reduces cyclic plasticity and retards crack
initiation. Hence, it becomes clear that the bend­
ing fatigue strength of medium strength steel is
strongly influenced by both the micro and the
macro residual stress states and their stability
against cyclic loading. However, in the low-cy­
cle fatigue (LCF) range, the macro residual stress
state is unstable and the influence of the (more
stable) micro residual stress state vanishes in
view of the strong cyclic-softening processes oc­
curring during this loading condition (see the
section “Cyclic Deformation Behavior” in this
article). Therefore, neither an influence of the
macro residual stress state nor an influence of
the micro residual stress state appears in Fig. 37
at high loading amplitudes.
Figure 40 shows that rather different depth
distributions of compressive residual stresses
can be produced in smooth specimens (r| = 1
mm-1) made from a medium-strength steel by
shot peening with different peening parameters
(see also the article “Stability of Residual
Stresses” in this Handbook). To understand the
influence of the surface roughness, the work
hardening and the macro residual stress state
produced by shot peening on the resulting bend­
ing fatigue behavior it is necessary to discuss
crack initiation and crack propagation sepa­
rately, and this is done in the section “Propagat­
ing and Nonpropagating Cracks” in this article.
Some relationships, however, should be pointed
out here. The highest bending fatigue strength
(curve 6 in Fig. 39) was determined for speci­
mens shot peened according to curve 4 in Fig.
40. Then, a 100 pm thick surface zone was elec-
trolytically removed, shifting the maximum
compressive residual stresses to the surface and
reducing the surface roughness. The smooth sur­
face (R h = 3 pm) and the work hardening of the
surface zone oppose crack initiation. The rela­
tively high compressive residual stresses at the
surface hinder microcrack propagation. This in­
fluence outweighs the larger maximum and the
greater penetration depth of the compressive re­
sidual stresses according to curve 5. In this shot
peening state, a higher surface roughness (.R h =
43.8 pm) and a lower work hardening at the sur­
face result in crack initiation at a lower stress
amplitude, and the lower surface compressive re­
sidual stresses offer less resistance to early mi­
crocrack propagation. On the other hand, in the
range of finite fatigue life, there is almost no ad­
vantage of the electropolished state 6 compared
to the initial shot peened state 4 and a clear dis­
advantage compared to state 5. Here, the higher
number of cycles to crack initiation (state 6) is
42 / Effect of Materials and Processing
almost compensated (state 4) or overbalanced
(state 5) by a slower rate of crack propagation
due to the larger penetration depth and—in the
case of state 5—the higher amount of the com­
pressive residual stresses. Since the surface
roughness, the surface work-hardening state and
the surface residual stress state (see Fig. 40) of
the material states 2 to 5 do not differ much, they
have similar resistance to crack initiation at the
surface. Hence, the different fatigue strength ap­
pearing in Fig. 39 is determined by the apper­
taining resistance to microcrack propagation,
which, in turn, depends on the depth distribution
of the compressive residual stresses. This is dis­
cussed in more detail in the section “Propagating
and Nonpropagating Cracks” in this article.
A very interesting example of the interaction
of changing surface roughness as well as micro
and macro residual stress state in a medium-
strength steel are given in Fig. 41. The strong
increase of the rotating bending fatigue strength
of notched specimens by deep rolling is clearly
attributed to the generation of micro- and macro­
stresses with a rather large penetration depth. It
is interesting to note that the resistance to micro­
crack initiation is hardly influenced by the deep­
rolling treatment (Ref 57), and the increasing
bending fatigue strength is almost entirely com­
bined with an increasing resistance to micro-
p j<7 54 Fatigue notch factor k f of specimens made from
quenched plain carbon SAE 1045 steel versus
surface residual stress. Source: Ref 47-49
Distance from surface, mm
Fig. 55 Residual stress of smooth ground and addi-
tional shot peened specimens made from
quenched plain carbon SAE 1045 steel before loading and
7
after 10 cycles versus distance from surface. Source: Ref
46-49
crack propagation, resulting in crack arrest at
stress amplitudes increasing with the deep-roll­
ing force. At relatively high forces, however, the
bending fatigue strength decreases, because then
the impairment of the surface zone by the strong
increase of the surface roughness and micro­
cracking as well as an unfavorable residual stress
state at the surface enhances the formation of
rather long initial cracks that only arrest at re­
duced stress amplitudes. The bending fatigue
strength of smooth specimens increases only
weakly with increasing rolling force. Regarding
the maximum value, an increase of only 15% is
achieved, compared to 120% in the case of
notched specimens. Since the stress gradient is
rather small in smooth specimens, there is some
speculation (Ref 56, 57) that the crack initiation
site is shifted below the surface by deep rolling.
Then, the small increase of the fatigue strength
mirrors the benefit of omitting surface effects
(such as specimen roughness, corrosion, oxida­
tion) and the effect of a decreasing local stress
amplitude on the crack initiation. This mecha­
nism is discussed in detail in the section “Haigh
Diagram” in this article. At high rolling forces,
however, the crack initiation occurs at the sur­
face again, where it is enhanced by a high rough­
ness, an increased roughness sensitivity due to
work hardening, and an unfavorable residual
stress state. Therefore, the bending fatigue
strength decreases, and there is no improvement
by deep rolling at all. In the end, the maximum
bending fatigue strength of the notched speci­
mens (remember, evaluated as nominal stress
amplitude) is higher than the maximum bending
fatigue strength of the smooth specimens. These
results show that the gradients of the micro and
the macro residual stresses in comparison to the
gradient of the loading stresses are of great im­
portance, and this will become even more evi­
dent in the next section.
High-Strength Steels. The S-N curves of
quenched SAE 1045 steel in Fig. 42 prove that
there is a detrimental effect of tensile grinding
residual stresses on bending fatigue strength and,
contrary to the quenched-and-tempered state (see
Fig. 34) also on finite fatigue life. This is because
there is only a weak relaxation of the initial re­
sidual stresses even at rather high stress ampli­
tudes. Similar to quenched-and-tempered speci­
mens, compressive grinding residual stresses
with very small penetration depth (~20 pm, see
Fig. 43) have almost no effect on bending fatigue
strength and finite fatigue life. Therefore and
since in the quenched state the compressive re­
sidual stresses are retained to the largest part dur­
ing fatigue loading in the range of the fatigue
limit, one may expect that crack initiation occurs
below the surface. Analogous to the quenehed-
and-tempered state, this could not be proved def­
initely (Ref 49). Since in the quenched state a
grinding-induced work softening occurs close to
the surface and an influence of the surface rough­
ness always exists, it is very probable that crack
initiation occurs at the surface. Then, one must
conclude that compressive residual stresses with
a penetration depth of only 20 pm do not retard
or stop the propagation of microcracks existing
after crack initiation.
The extrapolated bending fatigue strength ver­
sus surface residual stresses curves in Fig. 44
cross in the range of tensile residual stresses at
1125 MPa. This means that the fatigue notch
factor becomes unity. On the other hand, at neg­
ligible or compressive residual stresses, the fa­
tigue notch factor approaches the stress-concen­
tration factor, as shown in Fig. 54. Qualitatively
similar to the quenched-and-tempered state, the
influence of tensile residual stresses is stronger
than that of compressive residual stresses and the
residual stress sensitivity of notched specimens
is smaller than that of smooth ones. However,
this cannot be explained by different residual
stress relaxation so far. Careful x-ray analyses
prove that in notched specimens loaded with a
stress amplitude of450 MPa and in smooth spec­
imens loaded with 750 MPa (corresponding to
the fatigue limit of each) the relaxation of com­
pressive residual stress is small and of equal
amount. This is not astonishing, since an elastic
estimation of the stress amplitude in the notch
root (a* = kt * a = 765 MPa) yields almost the
same value as the stress amplitude of the smooth
specimen. No corresponding measurements for
smooth and notched specimens with tensile re­
sidual stresses were performed. However, since
the fatigue limit is reduced by tensile residual
stresses, it is clear that their relaxation is negli­
gible.
A comparison of Fig. 45(a) with Fig. 37(a)
shows that the shot peening treatments per­
formed increases the bending fatigue strength of
smooth specimens in the quenched state less
than in the quenched-and-tempered state. In
view of the different residual stress states and
their different stabilities in both heat treating
states, this finding is rather astonishing. In Fig.
55, the depth distribution of residual stresses in
shot peened quenched specimens before fatigue
loading and after 107 cycles at the fatigue limit
is shown. In the range of specimen scatter, the
results are identical. Contrary to quenched-and-
tempered specimen (see Fig. 52), the shot peen­
ing residual stresses are much higher and much
more stable in quenched specimens. However,
in the former, crack initiation occurs at the sur­
face. Hence, the shot-peening-induced changes
of the micro and the macro residual stress state
have a strong influence on the measured bending
fatigue strength. In smooth quenched specimens,
cyclic loading at the fatigue limit initiates cracks
below the surface. Therefore, the influence of the
shot-peening-induced changes of the residual
stress state have a rather small influence on the
measured bending fatigue strength. This is
treated more detailed in the section “Modeling
the Influence of Residual Stresses on Fatigue Be­
havior.” Contrarily, in the range of finite fatigue
life, crack initiation in both states occurs at the
surface, and there is a strong influence of shot
peening regarding quenched specimens and a
very small one regarding quenehed-and-tem-
pered specimens. This finding is directly corre­
lated with very different residual stress relaxa-
 Residual Stresses and Fatigue Behavior / 43
tion. While surface residual stress relaxation is duces a strong increase of both fatigue limit and
definitely complete in quenched-and-tempered finite fatigue life. Milling, which may generate
specimens after 50,000 cycles at a stress ampli­ rather high compressive residual stresses, is less
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
at 1200 MPa (Ref 49), although there may be appropriate parameter to assess bending fatigue
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
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
obtained from shot peening. Now, the data of
ground notched specimens with tensile or neg­
co _ _ _ ligible residual stresses and of notched speci­
Q_ 800 mens peened with shot of different hardness are
described satisfactorily by one common line
qc"
—
-C
600 covering a residual stress range of 2350 MPa.
D)
C The data points of ground and those of milled
0 specimens bearing compressive residual stresses
% 400
O fall below this line, which has the slope — 0.214.
.05 In Fig. 56, it becomes even more clear than in
is 200 Fig. 46 that the improvement of the bending fa­
O)
c tigue strength of smooth specimens by shot
§0 peening is very limited. As a consequence, the
m -1500 -1000 -500 0 500 1000 notch effect on bending fatigue strength is com­
Maximum residual stress (o^ax )■ MPa pletely eliminated at high compressive residual
stresses.
FÍ2. 56 Alternating bending fatigue strength of smooth It is interesting to look at the stability of very
and notched specimens made from quenched
plain carbon SAE 1045 steel with different surface condi­ high compressive residual stresses. As already
tions versus surface residual stress shown in Fig. 55, fatigue loading of smooth
specimens in the range of the fatigue limit does
not cause any significant change of the residual
stress state. As shown in Fig. 57(a), the same
holds for notched specimens peened with shot of
relatively low hardness, which have a very simi­
lar depth distribution of the residual stresses.
Elastic calculation of the minimum stress 70 pm
below the notch root (at the maximum of the
compressive stresses) yields the value —2035
MPa. This stress value may occur more than 107
times without effecting any change of the resid­
ual stress state. As shown in Fig. 57(b), notched
specimens peened with shot of higher hardness
bear even higher compressive residual stresses.
Distance from surface, mm In this case, elastic calculation of the minimum
(a) stress in a depth of 100 pm yields the initial
value —2475 MPa and the value —2130 MPa
Distance from surface, mm
(b)
Fie. 57 Res'dual 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 R f of smooth and notched specimens made from a medium-strength
Ref 46-49 steel versus residual stress. After Ref 1, 62
after ~107 cycles. In this case, a significant re­
laxation and redistribution of the residual
stresses occur.
Modeling the Influence of Residual
Stresses on Fatigue Behavior
Haigh Diagram
Basic Relationships. One obvious way to ac­
count for the influence of (macro) residual
stresses on the fatigue behavior is to treat them
as local mean stresses. In doing so, one has to
realize that there are several important differ­
ences between (loading) mean stresses and re­
sidual stresses, as discussed in the section “Com­
parison between Loading Stresses and Residual
Stresses” in this article. Figure 58 shows a Haigh
diagram for smooth and notched specimens
made from a medium-strength steel (Ref 1, 62).
The Goodman approximation (see Eq 9) is used
to account for the influence of residual stresses
on the fatigue strength. If the amount of the min­
imum stress or the maximum stress in smooth
specimens does not exceed the critical stress am­
plitude cr^crit, which is a function of the cyclic
yield strength (see the article “Stability of Re­
sidual Stresses” in this Handbook), the residual
stresses do not relax, and the line AB gives the
influence of the residual stress on the fatigue
strength. Then, all combinations of residual
stress and stress amplitude inside the shaded area
result in neither residual stress relaxation nor fa­
tigue failure. However, if the amount of the min­
imum stress or the maximum stress exceeds the
critical stress amplitude, it is assumed that the
residual stresses relax to the value given by the
points A and B, respectively, and the fatigue
strength remains constant at the value given by
these points. In the case of notched specimens,
the cyclic yield strength and the notch fatigue
strength (both in terms of nominal stress ampli­
tudes) are less than the respective values of
smooth specimens. However, the ultimate tensile
strength of notched specimens is larger than that
of smooth ones in such a material state because
44 / Effect of Materials and Processing
of the triaxial Stress state in the interior of the
notched specimens. Now, the Goodman relation­
ship holds between points C and D, and residual
stress relaxation occurs outside the lightly
shaded area. From these relationships, it is ex­
pected that the residual stress sensitivity of
notched specimens is less than that of smooth
specimens.
Application to a High-Strength Steel. Fig­
ure 59 shows Haigh diagrams for smooth and
notched specimens made from a high-strength
steel, which are adopted to Fig. 44, 46, and 56.
In Fig. 59(a), the data paints give the correlation
(a)
(b)
FÍS. 59 tiii'ti diagrams. Bending fatigue strength R of
smooth and notched specimens made from
quenched plain carbon SAI 1045 steel with different sur­
face conditions, (a) Versus surface residual stress, (b) Versus
maximum residual stress
t ground
oo shot peened
400
a milled
300 smooth
T) = 0.4
cun
100
-750 -500 -250 0 250 500 750\ 1000
Surface residual stress of [MPa] R„
FJo 60 Haigh diagram. Bending fatigue strength R, gjj
smooth and notched specimens made from
quenched-and-tempered (600 C/2 h) plain carbon SAE
1045 steel with different surface conditions versus surface
residual stress
between the residual stress and the nominal smooth and notched specimens via the dif­
stress amplitude at the surface. In Fig. 59(b), the ferent ultimate tensile strengths.
data points give the correlation between the max­
imum residual stress and the nominal stress am­ In the range of compressive residual stresses,
plitude at the locus of the maximum residual the relationships are much more difficult. The
stress. In the range of tensile residual stresses, fatigue strength of smooth specimens is much
this is always the surface. The arrows connecting less than expected by the Haigh diagrams, re­
some dala points illustrate the residual stress re- gardless of whether the existing surface or the
laxation that occurs during bending fatigue load­ maximum residual stresses are concerned. In the
ing. The ultimate tensile strength R m = 1910 case of shot peened specimens, this finding is
MPa of smooth specimens was taken from Ref clearly related to subsurface crack initiation.
49. The ultimate tensile strength of notched Therefore, neither the stress state at the surface
specimens is unknown, but the value 2000 MPa. (Fig. 59a) nor the stress state in the depth of the
which results from an extrapolation of the data maximum compressive stresses (Fig. 59b) is di­
given in Fig. 44, is reasonable for this high- rectly relevant for the fatigue strength. Regard­
strength material state and the stress-concentra­ ing notched specimens, the fatigue strength of
tion factor 1.7 (Ref 63, 64). The cyclic yield shot peened states is much higher than expected
stresses of smooth and notched specimens are by the Haigh diagram, if it is correlated with the
also unknown. Flowever, using the results shown surface residual stresses (Fig. 59a). This simply
in Fig. 55 (smooth specimens) and Fig. 57(a) means that crack initiation must occur at the sur­
(notched specimens), a border line for residual face, if the specimens are loaded with amplitudes
stress relaxation can be obtained. As obvious in the range of the fatigue limit. On the other
from the figures and discussed in the previous hand, the stress amplitude in the depth of the
section, the cyclic loading indicated there causes maximum of the compressive stresses of shot
no residual stress relaxation. The corresponding peened specimens is somewhat lower than ex­
data points are given in Fig. 59(b) as open square pected from the Haigh diagram (Fig. 59b). The
(smooth specimens) and open circle without ar­ same holds for the data points of milled speci­
row (notched specimens). Assuming that resid­ mens, which have maximum compressive resid­
ual stresses at the surface. These findings can
ual stress relaxation starts at a limiting amount
of tile minimum or maximum stress irrespective only be understood if crack initiation and crack
of the fractions of the mean stress and the stress propagation or crack arrest are treated separately.
amplitude, one gets the shaded areas in which This is done in the sections “Concept of Local
the residual stresses are stable. These areas are Fatigue Strength” and "Propagating and Non­
transferred to Fig. 59(a), too. The tw o open cir­ propagating Cracks.”
cles connected with an arrow illustrate the Application to a Medium-Strength Steel. In
change of the amount of the surface residual medium-strength steels, residual stress relaxa­
stress (Fig. 59a) and of the minimum stress (Fig. tion definitively influences the relationships in
59b) during the cyclic loading of notched spec­ the Haigh diagram. Since the manufacturing pro­
imens indicated in Fig. 57(b). In milled speci­ cess. which generates the macro residual
mens, there is also some residual stress relaxa­ stresses, almost always changes the micro resid­
tion as indicated by the triangles connected with ual stresses and, hence, the local cyclic yield
an arrow. Obviously, the amounts of the mini­ strength, there are no unique borderlines for the
mum stresses are reduced to a value correspond­ onset of residual stress relaxation as assumed in
ing to the border line, confirming this estimation. Fig. 58. Nevertheless, Fig. 60 tries to bring the
Extrapolation of this line to zero residual stress results shown in Fig. 36 and 38 into a Haigh
yields the values 1785 MPa (smooth specimens) diagram.
and 1660 MPa (notched specimens), respec­ Regarding smooth specimens, the ultimate
tively, which are higher than the corresponding tensile strength was taken from Ref 49. In
yield strengths (Ref 49). ground specimens with tensile residual stresses,
Ev en though there are some uncertainties in stress relaxation (marked by an arrow) brings the
establishing the relationships in Fig. 59. the fol­ corresponding data point rather close to the
lowing conclusions can be drawn for a high- Goodman line. The border lines for the onset of
strength steel with tensile residual stresses: residual stress relaxation are constructed using
• Residual stress relaxation has no influence re­ this data point. However, these border lines are
garding the effect of tensile residual stresses not valid for shot peened specimens, in which
on the fatigue strength. the residual stresses relax to a much smaller ex­
• The influence of tensile residual stresses on tent than expected as shown by the lower arrow.
the bending fatigue strength corresponds sat­ Obviously, the resistance to residual stress relax­
isfactorily to the Goodman approximation. ation is enhanced by shot peening, which results
This means that the residual stress sensitivity in a stronger work hardening and. hence,
and the mean stress sensitivity of the bending stronger increase of micro residual stresses than
fatigue strength is almost the same. grinding. Work hardening, however, should also
• In this formalism, the different residual stress increase the fatigue strength at zero residual
sensitivity of smooth and notched specimens, stress and. hence, should produce deviations
which causes a reduction of the fatigue notch from the solid line established with the aid of the
factor with increasing residual stress (see Fig. data points of ground specimens. However, as
54), is related to the different stress states in already discussed in the paragraphs on medium-

strength steel in the section “Evaluation of Ex­
perimental Results,” there is a detrimental effect
of a very high surface roughness. The second
arrow illustrates the correction, which is based
on Fig. 47, for this effect. Compressive residual
stresses produced by grinding show some relax­
ation, although their initial value is inside of the
border lines. This finding is consistent with the
consideration given so far, since work hardening
is almost negligible in this specimen. Moreover,
the data point corresponding to the relaxed com­
pressive grinding residual stresses still falls be­
low the Goodman line. This finding was already
attributed to the low penetration depth of the
grinding residual stresses.
The residual stress sensitivity of note lied spec­
imens with Ay = 1.7 is significantly smaller than
that of smooth specimens, even though the con­
sideration is based on the relaxed residual
stresses. Therefore, the different residual stress
sensitivity of the fatigue strength of smooth and
notched specimens, respectively, is not solely
based on different residual stress relaxation, and
the third conclusion given previously for a high-
strength steel is also valid for a medium-strength
steel to some extent. Front an extrapolation of
the Goodman line plotted, an ultimate tensile
strength of 1133 MPa is obtained, which is sig­
nificantly higher than the ultimate tensile
strength of smooth specimens. Again, this find­
ing results from the triaxial stress state in the
interior of the notched specimens and is consis­
tent with data measured on other medium-
strength steels (Ref 63, 64). Regarding material
states with compressive residual stresses, the
data point of milled specimens comes rather
close to the Goodman line. No measurements
were done concerning the stability' of this resid­
ual stress state. Since the data point falls inside
of the border lines, the residual stress state
should be stable. Contrarily. there is some relax­
ation of the compressive residual stresses in
ground specimens even though their initial value
falls inside of the border lines, too. Again, this
is a consequence of different micro residual
stress states. Similar to smooth specimens, the
data points fall below the Goodman line as a
result of the small penetration depth of the com-
Fig 61 Smith-Watson-Topper parameter verst® num-
^ ber of cycles to failure for specimens made
from normalized SAE 1045 and AISI 304 steel in different
surface conditions. After Ref 28
Residual Stresses and Fatigue Behavior / 45
preserve grinding residual stresses. The same in shot peened as well as deep-rolled conditions
holds for notched specimens with kt = 2.5,1) = in comparison with the untreated states. For each
5. The data points of shot peened specimens fall steel, a unique curve is obtained for the three
above the expected relationship as a conse­ material conditions. Hence, concerning these
quence of pronounced work hardening, which steels the quantities that are included in the SWT
increases both fatigue strength and resistance of parameter the maximum stress and the total
the compressive residual stresses against relax­ strain amplitude (see Eq 11)—form a reliable
ation. basis for the assessment of the influence of re­
From the relationships shown in Fig. 60, the sidual stresses on the fatigue life.
following conclusions can be drawn for a me­
dium-strength steel:
Concept of Local Fatigue Strength
• Residual stress relaxation plays a significant
role for the influence of residual stresses on Basic Relationships. As shown in the previ­
fatigue behavior. ous section, in the paragraphs on applying the
• Residual stress relaxation depends on the Haigh diagram to high-strength and medium-
work hardening produced by the various strength steels, the use of the Haigh diagram for
manufacturing processes. Not only the the assessment of the effect of residual stresses
amount, but also the penetration depth of on the fatigue behavior has serious limitations.
work hardening is important. As a conse­ Regarding, for example, smooth specimens
quence, even for one initial material state made from a high-strength steel, shot peening
there are no uni que borderlines for the onset produces much less improvement in fatigue
of residual stress relaxation. strength than expected from the residual stress
• If comparable work-hardening states (or mi­ state. This finding is combined with subsurface
cro residual stress states) are concerned, the crack initiation. Regarding medium-strength
influence of relaxed residual stresses on the steel, difficulties arise because not only the
bending fatigue strength corresponds satisfac­ (macro) residual stress state is changed by manu­
torily to the Goodman approximation. This facturing processes, but also the micro residual
means that the relaxed residual stress sensi­ stress state. The latter influences the fatigue
tivity and the mean stress sensitivity of the strength at zero mean stress and the resistance of
bending fatigue strength is almost the same. the residual stress state against relaxation. There­
• In this formalism, the different initial residual fore, it is appropriate to look for the local fatigue
stress sensitivity of smooth and notched spec­ strength, which depends on the local micro re­
imens. which causes a reduction of the fatigue sidual stress state, the local macro residual stress
notch factor with increasing residual stress, is state, and (as far as crack initiation at the surface
related to both the different residual stress re­ is concerned) on the topography of the surface
laxation and the different stress states in of the component. Strictly speaking, the local re­
smooth and notched specimens via the dif­ sistance against fatigue crack initiation is con­
ferent ultimate tensile strengths. cerned, as shown later.
The concept of the locally effective fatigue
Damage Parameters strength, which has its origin in Ref 38 and 39,
enables quantitative predictions of the effect of
As discussed in the section “Lifetime Behav­ the depth distributions of residual stresses on the
ior,” there are some so-called damage parameters locus of crack initiation as well as on the fatigue
that correlate fatigue life with loading parame­ strength. The basic assumption of the concept is
ters. The well-known Manson-Coflin relation­ that a crack can only be initiated at or below the
ship (Eq 5) is not applicable to material states surface if the local loading stress exceeds the lo­
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
stress via the maximum stress. With the limita­ pose. it is necessary to have a good knowledge
tions already outlined in the previous section, of the depth distributions of the fatigue strength
one could try to use these parameters to assess in the residual-stress-free conditionR°(z) as well
the effect of residual stresses on fatigue life. as of the macro residual stress (?s(z) and the re­
However, the application of the Ostergren pa­ sidual stress sensitivity m(z). The locally effec­
rameter requires the knowledge of the local tive fatigue strength R^z) as a function of the
plastic strain amplitude, which in turn needs so­ distance x from the surface is calculated by the
phisticated modeling of the local cyclic elastic- relationship:
plastic deformation behavior. This seems not to
be a useful approach. However, the Smith-Wat- R,(r) = R°t(z) - m(z) ■ o'\z) (Eq 18)
son-Topper parameter (SWT parameter) is easier
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 3/ of the
and AISI 304). Figure 61 shows characteristic Goodman relationship (eg.. Eq 9) if the residual
plots of the SWT parameter versus the number stresses are stable. Then, the residual stress sen­
of cycles of stress-controlled tests on both steels sitivity is determined approximately by m(z) =
46 / Effect of Materials and Processing
Rf(z)/R m (z) (Ref 39). However, if residual stress
relaxation occurs, the residual stress sensitivity
m is smaller than the mean stress sensitivity M,
if the initial residual stress distribution is used
(Ref 39, 62). However, if the relaxed residual
stress distribution is used, the residual stress sen­
(a)
(c)
F¡„ 62 distribution of residual stress (a) and (b) and distribution of loading stress and local fatigue strength for loadings
in the tange of finite and infinite lifetime (c) and (d) for smooth (a) and (c) and notched (b) and (d) specimens
made from a high-strength steel
(c)
Fig 63 Distribution of the local fatigue strength and the loading stress for different stress amplitudes with marking of
s’* the locus of crack initiation (a) and (b) and distribution of residual stress (c): and (d) for specimens made from
a quenched SÁE 1045 steel after shot peening with shot with a mean diameter of 0.6 mm (a) and (c) and 0.3 mm (b) and
(d), respectively. After Ref 38, 39
sitivity m again approaches the mean stress sen­
sitivity M as shown in the paragraphs applying
the Haigh diagram to medium-strength steels in
the previous section. The depth distributions of
the tensile strength R m (z) and of Rf(z) can be
estimated from appropriate correlations with
(d)
(d)
measured depth distributions of the hardness
(see e g., Ref 65).
Application to High-Strength Steels. In a
high-strength steel, manufacturing processes
may generate very large (macro) residual
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
rather small. Therefore, the local fatigue strength
is almost entirely determined by the initial ma­
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
corresponding depth distributions of the loading
stress. It becomes clear from this figure that the
improvement of the fatigue strength for infinite
life of smooth specimens (low stress gradient)
by shot peening is small because crack initiation
occurs below the surface in a depth with vanish­
ing residual stresses. Contrarily, with increasing
stress amplitude, the crack initiation site is
shifted toward the surface, and the shot-peening-
induced stresses influence crack initiation and
early fatigue crack growth. Hence, there is a
large influence of shot peening on the low-cycle
fatigue strength and a small influence on the
high-cycle fatigue strength. This is shown in Fig.
45(a). Contrarily, crack initiation in notched
specimens (high stress gradient) occurs always
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
that fatigue life determining cracks initiate only
in places where the loading stress exceeds the
local fatigue strength is verified by several ex­
perimental results (e.g., Ref 38, 39, 62). Figure
63 presents for two series of specimens of the
aforementioned investigations from Ref 38 and
39 on hardened and shot peened SAE 1045 steel
graphs of the depth distribution of the local fa­
tigue strength (see Fig. 63a and b). Rf loc can be
calculated from the compressive residual stress
distributions (Fig. 63c and d) under the assump­
tion of uniform hardness. The closed circles
mark the initiation sites of damage-relevant
cracks for each load stress distribution, which
could be taken from SEM of the fracture surface
(see Fig. 24). As can be seen, the actual crack
initiation positions agree with the expectation af­
ter the concept of the local fatigue strength. For
high stress amplitudes (>1150 MPa), the cracks
that determine fatigue life can initiate at the sur­
face. For lower stress amplitudes (<1150 MPa),
the damage behavior is changed. Of course,
stress amplitudes between 1000 and 1100 MPa
are able to initiate cracks at the surface (open
circles in Fig. 58a and b). However, these stress
amplitudes are too small to propagate the cracks
into greater depth because of the high compres-

sive residual stresses existing there. This aspect
is treated in more detail in the paragraphs on
high-strength steel in the section “Propagating
and Nonpropagating Cracks.” At stress ampli­
tudes below 1000 MPa, cracks are generated
only beneath the surface as expected by the plot­
ted straight lines of the loading stress in com­
parison with the courses of the local fatigue
strength (Fig. 62a and b). The fatigue strength^
is determined by the maximum loading stress
amplitude, which in any cross section of the
specimen exceeds the local fatigue strength and
initiates a crack that is able to propagate. The
corresponding distributions are plotted in Fig.
63(a) and (b) as dashed straight lines.
Figure 64 applies the concept of local fatigue
strength to shot peened smooth and notched
specimens according to Fig. 55 to 57. In notched
specimens peened with shot of low (Fig. 64a)
and high (Fig. 64b) hardness and loaded in the
range of the fatigue strength, crack initiation is
predicted at the notch root, as actually observed.
However, the surface loading stress amplitude is
much higher than the surface fatigue strength.
The same result is obtained from the Haigh di­
agram in Fig. 59(a). Therefore, one has to as­
sume that loading stress amplitudes below the
fatigue limit can initiate a crack at the surface
(a)
Fig. 64 Distribution of the local fatigue strength and the loading stress with marking of the locus of crack initiation
for notched (a) and (b) and smooth (c) specimens made from a quenched SAE 1045 steel after shot peening
with a shot of a hardness of 46 to 50 HRC (a) and 54 to 58 HRC (b) and (c), respectively. Source: Ref 49
(a)
Fig Distribution of the local fatigue strength and the loading stress with marking of the locus of crack initiation
for notched (a) and smooth (b) specimens made from a quenched-and-tempered (600 °C/2 h) SAE 1 045 steel
after shot peening with a shot of a hardness of 46 to 50 HRC
Residual Stresses and Fatigue Behavior / 47
and that the fatigue strength is not determined
by the maximum loading stress amplitude that
does not initiate a crack. This shows the limita­
tions of the concept of the local fatigue strength
and is treated in more detail in the paragraphs on
high-strength steel in the section “Propagating
and Nonpropagating Cracks.”
Figure 64(c) shows that crack initiation in
smooth specimens is expected below the surface
where the local fatigue strength is hardly in­
creased by compressive residual stresses. This is
verified by metallographical investigation (Ref
46, 49). This is the reason for the small improve­
ment of the bending fatigue strength by shot
peening shown in Fig. 45, 46, 56, and 59. How­
ever, from Fig. 45(a) it becomes clear that shot
peening significantly improves finite fatigue life.
This finding cannot be understood on the basis
of the local fatigue strength alone and is treated
in the paragraphs on high-strength steel in the
section “Propagating and Nonpropagating
Cracks.”
In the case of notched specimens finished by
milling (see Fig. 45b, 46, and 56), the concept
of local fatigue strength predicts crack initiation
below the surface, because the gradient of the
residual stresses is steeper than the gradient of
the loading stresses. Hence, the increase of the
Distance from surface, mm
(b) (c)
(b)
bending fatigue strength is smaller than expected
in view of the high surface compressive residual
stresses (see the Haigh diagram in Fig. 64a), but
larger than in shot peened smooth specimens
with subsurface crack initiation. This is a con­
sequence of the higher loading stress gradient in
notched specimen compared to smooth speci­
mens. However, crack initiation below the sur­
face of these specimens was not proved (Ref 49).
Application to Medium-Strength Steels.
The application of the concept of the local fa­
tigue strength to medium-strength steels is some­
what more difficult compared to high-strength
steels because residual stress relaxation becomes
important. Therefore, a knowledge of the initial
depth distribution of the residual stresses and of
the residual stress sensitivity m or of the relaxed
residual stress distribution is necessary. In Fig.
65, the concept is applied to shot peened smooth
and notched specimens made from quenched-
and-tempered SAE 1045 steel. The initial and
relaxed residual stress distributions are given in
Fig. 52 and 53. Again, in notched specimens
(Fig. 65a) crack initiation at the surface is pre­
dicted as actually observed. Regarding smooth
specimens, crack initiation below the surface is
expected. Contrarily, crack initiation at the sur­
face is found in metallographical investigation.
In both cases, the difference between local load­
ing stress and local fatigue strength is small
throughout the depth range under consideration.
Therefore, factors such as the high roughness of
the smooth specimens may well account for the
deviation of the expected locus of crack initia­
tion.
Propagating and Nonpropagating
Cracks
General Remarks. It is well known that in
notched specimens or components that are
loaded in the range of the fatigue strength, cracks
may initiate in the root of sharp notches and may
arrest in a certain depth, where the driving force
for crack propagation falls below its threshold
value because of the steep drop of the loading
stress. In most cases, such sharp notches are not
relevant for components (Ref 57, 66). However,
in the presence of high residual stresses, the in­
teraction of loading stresses and residual stresses
may produce strong gradients of the driving
force for crack propagation making crack arrest
possible even in notches with low stress-concen­
tration factor. On the other hand, in smooth spec­
imens with large compressive residual stresses
at and below the surface, crack initiation may
occur below the surface because the gradient of
loading stresses is small. Then, the question
arises whether or not the crack can propagate
toward the surface where its propagation is hin­
dered by the residual stress field. Both situations
are illustrated by the Haigh diagrams in Fig. 59.
In the case of shot peened smooth specimens,
the fatigue strength falls below the values ex­
pected by the Haigh diagrams, because crack ini­
tiation occurs below the surface, where no ben-
48 / Effect of Materials and Processing
eficial effect of the compressive residual stresses
is effective. Contrarily, the combination of sur­
face loading stress and surface residual stress oc­
curring at the notch root of specimens with kt =
1.7 (Fig. 59a) falls significantly above the cor­
responding Goodman line. As already men-
Fi„ 00 Range of effective stress intensity factor AK eff
with and without consideration of the residual
stresses versus distance from surface for ground notched
specimens made from a quenched SAE 1045 steel at cyclic
bending loading (Kt = 1.7, T] = 2)
0 0.1 0.2 0.3 0.4 0.5 0.6
Distance from surface, mm
Fi„ 0j Range of effective stress intensity factor AKeff
without and with consideration of the initial
and the relaxed, respectively, residual stresses versus dis­
tance from surface for shot peened (shot of a hardness of
54 to 58 HRC) notched specimens made from a quenched
SAE 1045 steel at cyclic bending loading (k t = 1.7, T) =
2)
68 RanSe °f effective stress intensity factor AK eff
without and with consideration of the initial
and the relaxed, respectively, residual stresses versus dis­
tance from surface for shot peened (shot of a hardness of
46-50 HRC) notched specimens made from a quenched
SAE 1045 steel at cyclic bending loading (Kt = 1.7, t \ = 2)
tioned, this means that cracks initiate at the notch
root, but are arrested below the surface.
A crack is arrested when the driving force for
its propagation falls below the threshold value:
A^eff = K max — K op < AA^eff (Eq 19)
(see Eq 16). The following concerns alternating
bending fatigue (R = — 1). In a rough approx­
imation, it is assumed that K op equals zero, re­
sulting in:
A&'eff = k, ■ o„ a • J% ■ tiY = K max (Eq 20)
for smooth (kt = 1) and notched (kt > 1) spec­
imens without residual stresses. is the nom­
inal stress amplitude. If residual stresses are
present, the maximum stress is increased or de­
creased, depending on the sign and the amount
of the residual stresses, leading to:
AATeff (kt ’ *-Va ____
+ 0 ") • J% ■ c,Y = K max (Eq 21)
if < 0 or:
AK &ff = kt • Aan • Jk • oY (Eq 22)
Application to a High-Strength Steel. In a
high-strength SAE 1045 steel, literature data for
the threshold value K^ef{ fall in the range from
2.2 to 3.2 MPa Jm (Ref 67). As a first example,
ground notched specimens (kt = 1.7, rj = 2)
with tensile residual stresses (see Fig. 43, curve
with open circles) are treated. Concerning the
half-elliptical cracks that initiate at the notch
root, a geometry factor Y = 1 is assumed. The
interaction of this residual stress state with the
loading stress amplitude aa = 230 MPa—which
corresponds to the fatigue strength—results in
the depth distribution of AATeff shown in Fig. 66.
In a depth of 5 pm only, AK eff exceeds the
threshold value. Therefore, a crack that initiates
at the notch root will always propagate into the
interior of the specimen, and the fatigue limit
69 ^an8e °f *he effective stress intensity factor
AK^ for subsurface crack initiation without and
with consideration of the initial and the relaxed, respec­
tively, residual stresses versus distance from surface for
ground and additional shot peened smooth specimens
made from a quenched SAE 1045 steel at cyclic bending
loading (t] = 0.4)
corresponds to the maximum stress amplitude
that does not initiate a crack. This is in full agree­
ment with the Haigh diagram in Fig. 59(a). It is
interesting to note that AK ef{ has a local maxi­
mum in a depth of 80 pm. Up to a depth of 150
pm, the residual stress field increases signifi­
cantly AK eff as compared with the loading of a
specimen without residual stresses (dotted line).
A completely different situation prevails re­
garding shot peened notched specimens (kt =
1.7, T] = 2) with the initial and the relaxed re­
sidual stress distributions shown in Fig. 57(b).
As shown in paragraphs on high-strength steel
in the sections “Haigh Diagram” and “Concept
of Local Fatigue Strength,” a crack will initiate
at the notch root if a specimen is loaded in the
range of the fatigue strength. Hence, if the crack
has the length a, the loading stress and the resid­
ual stress in the distance a from the surface de­
termines if the crack will continue propagation
or not. In Fig. 67, AK eñ is plotted versus the
distance from the surface. If the initial residual
stress distribution is concerned, AK eñ becomes
zero at a depth of 40 pm, and higher stress am­
plitudes than the measured bending fatigue
strength would be necessary to propagate a crack
into the interior of the specimen. However, if the
relaxed residual stress distribution is concerned,
AA^eff approaches the threshold range between 50
and 200 pm below the surface, and cracks may
or may not propagate. Hence, the fatigue limit
corresponds to the boundary between propagat­
ing or nonpropagating cracks that initiate at the
notch root. It is interesting to note that at depths
greater than 0.3 mm, AK eff becomes much larger
than in Fig. 66 as a consequence of the high load­
ing amplitude. This means that the strong in­
crease of finite fatigue life by shot peening is
entirely based on very small crack propagation
rates at small distances from surface.
Regarding shot peened notched specimens
with the residual stress distributions shown in
Fig. 57(a), almost no residual stress relaxation
occurs during loading in the range of the fatigue
limit. Therefore, the depth distributions of AK eff
corresponding to the initial and the relaxed re­
sidual stress distributions shown in Fig. 68 are
almost the same. At a depth of 40 pm, AK e{f
becomes zero and exceeds the threshold value
only at a depth of 170 pm. Therefore, one would
expect that cracks could still be arrested at stress
amplitudes higher than the measured bending fa­
tigue strength. This shows the limitations of the
simple estimation given here.
Figure 64(c) shows that crack initiation in shot
peened smooth specimens with the residual
stress distribution plotted in Fig. 55 occurs be­
low the surface at a depth of 500 pm. For the
following rough estimation, it is assumed that
the crack has a circular shape (see Fig. 24), that
it propagates with the same rate toward the sur­
face as well as into the interior of the specimen,
and that the residual stresses in depths greater
than 500 pm are zero. If the loading stress in the
depth of the crack front and a geometry factor Y
= 0.63 (Ref 68) are used for the calculation of
AA^eff, one finds the relationship shown in Fig.

69. It becomes obvious that a crack, once initi­
ated, can propagate. Regarding crack propaga­
tion toward the surface, the simple model pre­
dicts very slow crack growth in the range 72
Fig. 70 ^an8e °f the effective stress intensity factor
® AKeff with and without consideration of the re­
sidual stresses versus distance from surface for ground
notched specimens made from a quenched-and-tempered
(600 °C/2 h) SAE 1045 steel at cyclic bending loading (/ct
= 1.7, Ti = 2)
Distance from surface, mm
Fig. 71 Range of the effective stress intensity factor
AK eff without and with consideration of the ini­
tial and the relaxed, respectively, residual stresses versus
distance from surface for ground and additional shot
peened notched specimens made from a quenched-and-
tempered (600 °C/2 h) SAE 1045 steel at cyclic bending
loading (fct = 1.7, r] = 2)
0 0.1 0.2 0.3 0.4 0.5
Distance from surface, mm
72 RanSe the effective stress intensity factor
AiCeff without and with consideration of the ini­
tial and the relaxed, respectively, residual stresses versus
distance from surface for ground and additional shot
peened smooth specimens made from a quenched-and-
tempered (600 °C/2 h) SAE 1045 steel at cyclic bending
loading (t] = 0.4)
Residual Stresses and Fatigue Behavior / 49
between 300 and 200 pm below the surface and
finally crack arrest. However, in this stage of
crack propagation the crack extension will be
large compared to the depth of the compressive
residual stresses. Therefore, loading stress redis­
tribution will occur, as will relaxation of the
compressive residual stress field in the process
zone ahead of the crack front. The crack will
continue to propagate toward the surface causing
final failure. Then, the fatigue limit is correlated
with the maximum stress amplitude that does not
cause crack initiation below the surface. There­
fore, the improvement of the fatigue strength of
smooth specimens by shot peening is limited, as
shown in Fig. 45(a). However, Fig. 69 illustrates
that the overall value of AK eff and, hence, the
driving force for crack propagation is rather
small (compare, for example, Fig. 69 with Fig.
66 in view of the very different loading stress
amplitudes). Therefore, already in the transition
from infinite to finite fatigue life—where crack
initiation still occurs below the surface (see Fig.
63)—there is a strong influence of shot peening
on fatigue life, as shown also in Fig. 45(a). The
influence of shot peening on finite fatigue life
increases with increasing stress amplitude, be­
cause the crack initiation site is shifted toward
the surface, as discussed in the paragraphs on
high-strength steel in the section “Concept of
Local Fatigue Strength.”
Application to a Medium-Strength Steel. In
a medium-strength SAE 1045 steel, the threshold
value ranges from 2.3 to 3.3 MPa Jm (Ref
67). In the following, ground notched specimens
(kt = 1.7, r| = 2) with tensile residual stresses
(see Fig. 35, curve with open circles), are treated.
The interaction of this initial residual stress state
with the loading stress amplitude aa = 143
MPa—which corresponds to the fatigue
strength—results in the depth distribution of
AKeff shown in Fig. 70. At a depth of 15 pm,
AAfeff exceeds the range of threshold values.
Therefore, a crack that initiates at the notch root
will always propagate into the interior of the
specimen, and the fatigue limit corresponds to
the maximum stress amplitude that does not ini-
73 Influence of the nominal bending stress ampli­
tude on the length of arrested cracks in deep-
rolled notched specimens (k t = 2) made from SAE 5135
steel with the ultimate tensile strengths indicated. After Ref
66
tiate a crack. Again, similar to the quenched state
(see Fig. 66), AATeff has a local maximum in a
depth of 70 pm, and up to a depth of 150 pm the
residual stress field increases significantly AK eff
as compared with the loading of a specimen
without residual stresses (dotted line).
The corresponding relationships for shot
peened notched specimens with the residual
stress distributions shown in Fig. 53 are given in
Fig. 71. The loading stress amplitude aa = 310
MPa which corresponds to the bending fatigue
strength, is considered. From Fig. 60 it becomes
clear that crack initiation at the notch root occurs
under such loading conditions because the cor­
responding data point (open square) falls signifi­
cantly above the Goodman relationship. On the
basis of the initial residual stress distribution,
there is no driving force for the propagation of
such a crack up to a distance of 170 pm from
the notch root. However, if the distribution of
the relaxed residual stresses is considered, AK e f f
comes close to the threshold in depths ranging
from 30 to 200 pm. Therefore, the fatigue limit
corresponds to a loading condition where cracks
that initiate at the notch root may propagate or
not.
In the case of smooth shot peened specimens
with the residual stress distributions shown in
Fig. 52, it is difficult to determine on the basis
of the concept of the local fatigue strength
whether crack initiation occurs below or at the
surface, if the loading approaches the fatigue
limit (see paragraph on medium-strength steel in
the section “Concept of Local Fatigue Strength”
and Fig. 65b). Actually, crack initiation at the
surface is observed that is favored by the rather
high roughness. Figure 72 gives the depth dis­
tribution of AATeff for the loading stress amplitude
<7a = 414 MPa, which corresponds to the bend­
ing fatigue limit. Regarding the initial residual
stress state, the longest nonpropagating crack
would have a length of 250 pm. Due to stress
relaxation, this value is reduced by 50%. Still,
rather long cracks have to be formed during the
initiation stage to be able to propagate into the
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
stress amplitude at which crack arrest is ob­
served may be very large in deep-rolled speci­
mens, which have rather small or even tensile
residual stresses at the notch root, but large com­
pressive residual stresses down to a relatively
great depth below the surface. Then, the length
of an arrested crack will strongly depend not
only on the depth distribution of the residual
stresses, but also on the loading stress amplitude.
This is proved by Fig. 73 concerning notched
specimens ( k t = 2) made from differently heat
treated SAE 5135 steel with the ultimate tensile
strength indicated (Ref 66). The diagram gives
the length of arrested cracks as a function of the
nominal stress amplitude. The higher the
strength of the material state, the less the crack
length increases with increasing stress amplitude
because the amount and the stability of the com-
50 / Effect of Materials and Processing
pressive residual stresses produced by deep roll­
ing increase with increasing hardness. From this
figure it becomes clear that the large increase of
the notch fatigue strength visible in Fig. 41 is
almost entirely based on an increase of the re­
sistance against crack propagation produced by
deep rolling.
In view of the relationships presented so far,
it is interesting to look again at Fig. 39 and 40.
The lowest bending fatigue limit was determined
with ground specimens having low tensile resid­
ual stresses at the surface (curve 1 in both fig­
ures). An increase of 324 MPa (curve 6 in Fig.
39) was achieved with specimens that were shot
peened according to curve 4 in Fig. 40 and from
which a surface layer of 100 pm thickness was
pjp 74 Range of the effective stress intensity factor A/Ceff without and with consideration of the initial and the relaxed,
respectively, residual stresses versus distance from surface for (corresponding to Fig. 39) shot peened smooth
specimens made from a blank-hardened AISI 5115 steel at cyclic bending loading
Fig 75 Influence of the macro residual stress and some other parameters on the fatigue strength of smooth and notched
specimens made from a low-strength steel (lower band), a medium-strength steel (middle band), and a high-
strength steel (upper band)
removed electrolytically, resulting in a shift of
the maximum compressive residual stresses into
the surface. Taking the slope of the straight line
for smooth specimens, q = 0.4, in the range of
(initial) tensile residual stresses in Fig. 36 as a
rough approximation, one would expect a dif­
ference of both specimen series of 316 MPa
caused by the different residual stresses. On the
other hand, on the basis of the Goodman line in
Fig. 60, one would expect a much higher differ­
ence of 429 MPa. This shows that stress relax­
ation occurs in this medium-strength steel state,
as expected. Anyway, the bending fatigue limit
of both specimen series is determined by crack
initiation at the surface. The specimens corre­
sponding to curve 5 in both figures have a lower
fatigue limit, but higher finite fatigue lives than
the specimens corresponding to curve 6. Apply­
ing the same procedure with the aid of Fig. 36
as above to the surface residual stress state, an
increase of the bending fatigue limit of 220 MPa
compared to ground specimens is expected. Ac­
tually, a difference of 279 MPa is determined.
This finding means that the bending fatigue limit
is not determined by crack initiation at the sur­
face, but by the largest amplitude at which crack
arrest below the surface occurs. These relation­
ships become more clear in Fig. 74. There, AKeñ
for surface cracks developing in conditions 5 and
6 at nominal stress amplitudes corresponding to
the bending fatigue strength are plotted as a
function of the distance from the surface. Re­
garding the initial residual stress distribution,
cracks smaller than 320 pm (condition 5) or 100
pm (condition 6) would not be able to propagate.
Actually, stress relaxation occurs, the extent of
which, however, is not given in Ref 54 to 56. If
it is assumed that the residual stresses relax by
50%, one gets the curves for the relaxed residual
stress state in the figure. Now, one can see that
a crack once initiated in condition 6 will con­
tinue propagation. Hence, the bending fatigue
strength of this condition is determined by the
resistance against crack initiation, as stated
above. Contrarily, in condition 5 the bending fa­
tigue strength corresponds to the maximum
nominal stress amplitude at which crack arrest
below the surface occurs.
From these considerations, it becomes clear
that the depth distribution of relaxed residual
stresses must be taken into account to gain a re­
liable assessment of the influence of residual
stresses on the fatigue behavior of medium-
strength steel. Frequently, these data are not
known. Then, the use of initial tensile residual
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
is important to estimate the remaining residual
stresses conservatively, for example with the ar­
ticle “Stability of Residual Stresses” in this
Handbook.
Summary and Recommendations
Some important conclusions that can be
drawn from this article are illustrated by Fig. 75,
in which the fatigue strength Rf is plotted as a
function of the macro residual stress. The fol­
lowing parameters are regarded:
• The material strength; a low-strength steel
(for example, a normalized steel, lower band
in the figure), a medium-strength steel (for
example, a quenched-and-tempered (at a me­
dium temperature) steel, middle band in the
figure), and a high-strength steel (a quenched

or quenched-and-tempered (at a low tempera­
ture) steel, upper band in the figure) are con­
cerned
• The depth distribution of the macro residual
stress cf5, characterized by its sign, magni­
tude, and gradient if5
• The depth distribution of the micro residual
stress oí!micro
jíTO
• The notch factor kt (smooth and mildly
notched specimens are regarded in the figure)
• The gradient of the loading stress ifs
• The surface topography, characterized by Hie
roughness height Rh
Low-Strength Steel
In a low-strength steel, there will be no or very
little influence of the macro residual stress, be­
cause it is relaxed more or less completely if the
cyclic loading approaches the fatigue strength
(see Fig. 32 and 48). A change of the micro re­
sidual stress state by work hardening may sig­
nificantly increase R( since the resistance against
cyclic plastic deformation and hence, crack ini­
tiation increases (see Fig. 31). Then, also the re­
sistance against macro residual stress relaxation
is raised resulting in a certain sensitivity of the
work-hardened zone to macro residual stress.
This may be detrimental or beneficial (see Fig.
33b) for R( depending on the sign and the mag­
nitude of the macro residual stress. The influence
of the surface topography is rather small in a
low-strength steel (see Fig. 47). The fatigue
notch factor k{ is significantly smaller than the
notch factor kt because cyclic plastic deforma­
tion and stress redistribution occur in the notch
root (see Fig. 32). With increasing loading stress
gradient at a given kb the fatigue strength in­
creases due to the decrease of the highly stressed
volume of the component or specimen (compare
kt = 2.5,1] = 2 with kt =2.5, T] = 5 in Fig.
32).
Medium-Strength Steel
In a medium-strength steel, there is a signifi­
cant influence of the macro residual stress on/?f
since only a small part of ors relaxes during cy­
clic loading in the range of the fatigue limit (see
Fig. 36, 38, 51a, and 52). However, in the low-
cycle fatigue range, relaxation becomes more
complete with increasing amplitude, and the in­
fluence of the macro residual stress vanishes (see
Fig. 34, 37, 39, 51b). Tensile residual stresses
are always detrimental to R{. Therefore, in the
presence of large tensile residual stresses a me­
dium-strength steel may have equal or even
lower fatigue strength than a low-strength steel
(compare Fig. 32 with 36). If relaxed tensile re­
sidual stresses are concerned, the residual stress
sensitivity m of the fatigue strength approaches
the mean stress sensitivity M (see Fig. 60). In
material states of similar hardness loaded in the
range of the fatigue limit, compressive residual
stresses relax stronger than tensile ones simply
because of the different corresponding stress am­
Residual Stresses and Fatigue Behavior / 51
plitudes. However, the micro residual stress state
may be changed significantly by the processes
that generate the macro residual stress. Hence,
in a medium-strength steel the local resistance to
residual stress relaxation may be quite different
even if the same initial material state is con­
cerned, and unique borderlines for the onset of
residual stress relaxation do not exist (see Fig.
60). A significant benefit from compressive re­
sidual stresses is only obtained if their penetra­
tion depth is sufficiently high and/or their gra­
dient is sufficiently low as compared to the
gradient of the loading stresses. Therefore, com­
pressive residual stresses produced by grinding
do hardly influence the fatigue strength of
smooth and notched specimens (see Fig. 36).
Contrarily, compressive residual stresses gener­
ated by deep rolling or shot peening increase the
notch fatigue strength (see Fig. 38, 39, and 41).
The fatigue strength of smooth specimens is less
improved, if subsurface crack initiation occurs.
Then, the fatigue strength of notched specimens
may even be higher than corresponding values
of smooth specimens (see Fig. 41). This means
that the fatigue notch factor ki becomes less than
unity. At vanishing residual stresses, k¡ comes
rather close to kt if the loading stress gradient is
small, but is significantly less at higher qls val­
ues. With increasing tensile residual stresses, the
fatigue notch factor is reduced again, as expected
on basis of the Goodman relationship for smooth
and notched specimens (see Fig. 58 and 60).
There is a considerable influence of the surface
roughness on the fatigue strength, as shown in
Fig. 47.
High-Strength Steel
In high-strength steels, stress relaxation dur­
ing cyclic loading in the range of the fatigue
strength only occurs in notched specimens bear­
ing very high compressive residual stresses.
Then, the resulting fatigue strength is also Itigh,
and during corresponding cyclic loading very
high magnitudes of the minimum stress occur,
wflich leads to some residual stress relaxation
(see Fig. 57b). Contrarily, in the range of high
tensile residual stresses and cyclic loadings that
lead to infinite life or to technically relevant life­
times the occurring maximum stresses are much
lower and no residual stress relaxation is ob­
served even in the range of low-cycle fatigue.
Consequently, the residual stress sensitivity and
the mean stress sensitivity ofi?f are identical (see
Fig. 59), and the fatigue strength is strongly re­
duced wtith increasing tensile residual stress.
This is also true for the finite fatigue life (see
Fig. 42). In the range of compressive residual
stresses, complex relationships exist. A strong
effect of &s will only occur if cracks are initiated
at the surface. However, in thick smooth speci­
mens or components cyclically loaded in the
range of the fatigue strength, the loading stress
gradient is usually low^er than the gradient of the
local fatigue strength, which depends on the
depth distribution of the residual stresses. Con­
sequently, cracks are initiated below-7 the surface
(see Fig. 62a and c, 63, and 64c) and the im­
provement of the fatigue strength even by high
compressive residual stresses is limited (see Fig.
45 a, 46, and 56). With increasing stress ampli­
tude and hence loading stress gradient, the crack
initiation site is shifted to the surface. Therefore,
the finite fatigue fife is much more improved
than the fatigue strength (see Fig. 62 a and c, 63,
and 45d). In notched specimens, the loading
stress gradient is larger than in smooth ones. If
high compressive residual stresses with a suffi­
cient depth and/or a small gradient exist, crack
initiation will occur in the notch root resulting
in a strong improvement of the fatigue strength
(see Fig. 64a and b, 45b, 46, and 56). However,
if the penetration depth of the compressive re­
sidual stresses is low and therefore the gradient
of the local fatigue strength high—for example,
after grinding—the improvement of the notch
fatigue strength will be small (see Fig. 44 and
59). Frequently, after shot peening or deep roll­
ing, maximum compressive residual stresses oc­
cur below the notch root. Then, the fatigue
strength may not be determined by the maximum
cyclic loading, which does not result in crack
initiation, but by the maximum cyclic loading at
which crack arrest below the surface is possible
(see Fig. 67, 68, and 73). As a consequence of
all these relationships, the fatigue notch factor
may vary strongly in the presence of compres­
sive residual stresses regarding one-notch ge­
ometry and may take values ranging from less
than unity to the notch factor kt, as sketched in
Fig. 75. In fact, regarding smooth and notched
specimens, Fig. 44 and 54 prove that kt of ground
specimens with compressive residual stresses
produced by grinding approaches kt. From Fig.
56 it can be deduced that k{ of shot peened spec­
imens approaches unity. At vanishing residual
stresses, k¡ comes close to kt as expected in a
high-strength steel. With increasing tensile re­
sidual stress, the fatigue notch factor is reduced
and finally approaches unity (see Fig. 44 and 54).
Again, tins finding is in correspondence with the
Goodman relationship for smooth and notched
specimens (see Fig. 58 and 59). The surface
roughness has principally a large influence on
the fatigue strength of high-strength steel, as
shown in Fig. 47. On the other hand, in practice
the roughness height of hard steel is rather low
even after mechanical surface treatments such as
shot peening.
Recommends tions
From all of these relationships, some recom­
mendations may be deduced. In medium- and
high-strength steels tensile macro residual
stresses must strictly be avoided since they al­
ways promote crack initiation and crack propa­
gation and are detrimental to the fatigue strength
and—at least in higher strength steel—to finite
fatigue life. In a low-strength steel, the influence
of tensile macro residual stresses is usually small
or negligible, and the change of the micro resid­
ual stress state by work hardening is much more
important. In most cases, work hardening will be
52 / Effect of Materials and Processing
beneficial for fatigue strength and—if the micro
residual stress state is sufficiently stable—for fi­
nite fatigue life. However, processes must be
avoided in which strong work hardening is com­
bined with the generation of tensile residual
stresses. Then, residual stress relaxation during
cyclic loading will be incomplete, and the det­
rimental influence of tensile residual stresses on
the fatigue strength will appear.
The beneficial influence of compressive
macro residual stresses ranges from almost nil to
the full extent expected after the mean stress sen­
sitivity of the material state under consideration
and depends on the wholeness of the parameter
considered in Fig. 75. In a low-strength steel, it
is recommended to use processes in which the
generation of compressive residual stresses is
combined with strong work hardening. Then,
there will be on one hand the beneficial influence
of work hardening on the reduction of cyclic
plasticity and the increase of the materials resis­
tance against crack initiation. On the other hand,
the resistance against residual stress relaxation
will also increase, resulting in some beneficial
influence of the compressive macro residual
stresses on crack initiation and crack propaga­
tion. One example is deep rolling (see Fig. 33).
Another example would be shot peening. How­
ever, shot peening of a low-strength steel will
produce a rather rough surface, and this will
eventually counterbalance a large part of the
beneficial influence on the fatigue behavior.
In medium-strength steels it is also recom­
mended to utilize processes that produce both
work hardening and compressive macro residual
stresses. Again, deep rolling (see Fig. 41) or shot
peening (see Fig. 37 and 39) can serve as ex­
amples. Now, for a significant effect it is nec­
essary to adjust the penetration depth of the
macro residual stresses and the width of the
work-hardened zone to tire depth distribution of
the loading stress. Clearly, this is impossible in
push-pull loading of smooth specimens or com­
ponents (r|ls = 0) and very difficult in any cyclic
loading of tlrick smooth specimens or compo­
nents, where r\h is rather small. Then, some im­
provement of the fatigue behavior will be ob­
tained because crack initiation at the surface is
retarded or crack initiation is slrifted below the
surface (see Fig. 37a and Fig. 41, smooth spec­
imens). However, in notched or rather thin
smooth specimens or components with higher q 1s
it is possible and recommended to produce a
depth distribution of the macro and micro resid­
ual stresses and, hence, of the local fatigue
strength that ensures that crack initiation can
only occur at the surface. Then, a strong im­
provement of the fatigue strength and finite fa­
tigue life is possible by one of two mechanisms.
On one hand, the resistance of the steel against
crack initiation and growth of very short cracks
may strongly be increased by a smooth surface,
strong work hardening, and maximum compres­
sive residual stresses at the surface. Examples
are given in Fig. 37(b) (shot peened notched
specimens) and Fig. 39 (condition 6, shot peened
smooth specimens). In these cases, the fatigue
strength is determined by the maximum loading
stress amplitude that does not initiate a crack at
the notch root. On the other hand, by high com­
pressive stresses below the surface, the resis­
tance against propagation of cracks with lengths
up to the distance of the residual stress maximum
from the surface may strongly be increased.
Again, strong work hardening, is essential to pre­
vent the compressive residual stresses as much
as possible from relaxation. Examples are given
in Fig. 39 and 40 (condition 5, shot peened
smooth specimens) and Fig. 41 and 73 (deep-
rolled notched specimens). In these cases, the
fatigue strength is determined by the maximum
loading stress amplitude at which crack arrest
below the surface is obtained.
In high-strength steels, residual stress relaxa­
tion is negligible except for extreme conditions
that were discussed above (see Fig. 57b). Apart
from this item, principally the same relationsliips
as just discussed are valid. Again, it is difficult
to achieve a large improvement of i?f in thick
smooth specimens or components, since crack
initiation will occur' below the surface (see Fig.
56, 63, and 64c). However, a significant im­
provement of finite fatigue life in the low-cycle
fatigue range may be obtained, since crack prop­
agation toward the surface is hindered by the
high compressive residual stresses (see Fig. 69)
and/ or the crack initiation site is shifted to the
surface as a result of the increasing loading stress
gradient (see Fig. 63). In thin smooth or in
notched specimens and components it is rec­
ommended to produce high compressive residual
stresses with a large penetration depth by pro­
cesses such as shot peening, deep rolling, and
others described in this Handbook. Then, crack
initiation and early crack growth is forced to oc­
cur at the surface, and enormous increases of the
fatigue strength are obtained by one of the two
mechanisms described previously. However, by
application of the aforementioned processes to a
high-strength steel, frequently rather small sur­
face compressive residual stresses are obtained
and maximum values of |crrs| occur below the
surface. Then, the second mechanism (crack ar­
rest below the surface) is solely effective (see
Fig. 67 and 68), and the fatigue strength maybe
much liigher than expected by the surface resid­
ual stress and loading state plotted in a Haigh
diagram (see Fig. 59a).
Regarding surface roughness, numerous in­
vestigations exist. The interaction of an in­
creased roughness with tensile residual stresses
will always be detrimental to the fatigue strength
and to finite fatigue life, especially in high-
strength steels. In the presence of compressive
residual stresses, different influences exist. If the
fatigue strength is entirely and the finite fatigue
life mainly determined by crack initiation at the
surface, there will be decisive influence of the
surface roughness. A much smaller influence of
surface roughness, however, may exist if the fa­
tigue strength is determined by crack initiation
or crack arrest below the surface or if the finite
fatigue life is mainly influenced by crack prop­
agation below the surface. If compressive resid­
ual stresses are utilized in the dimensioning of
components, it is of utmost importance to ac­
count for their stability. The reader is referred to
the article “Stability of Residual Stresses” in this
Handbook.
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Stability of Residual Stresses
D. Lohe and O. Vohringer, Institut für Werkstoffkunde \ , Universitát Karlsruhe, Germany
RESIDUAL STRESSES are generated in
structural components during manufacturing
processes such as forging, machining, heat treat­
ing, shot peening, and many others. These
stresses are always a consequence of inhomo-
geneously distributed dimensional changes due
to inhomogeneous plastic deformations, ther­
mochemical treatments, and/or phase transfor­
mations. They can be either beneficial or detri­
mental to component behavior in service,
depending on the materials state as well as the
sign, magnitude, and stability of the residual
stresses, mechanical loading, and environmental
conditions (Ref 1-15). Compressive macro re­
sidual stresses in the surface region of materials
with medium and high hardnesses increase the
fatigue life and the fatigue limit at cyclic loading
compared to materials states that are free of re­
sidual stresses. This improvement is caused by
an increased resistance against crack initiation
and, to a certain extent, against crack propaga­
tion if the residual stresses are sufficiently stable
in the areas of highest loading (in most cases, the
component surface areas). Moreover, compres­
sive macro residual stresses can increase the re­
sistance of certain materials against corrosion fa­
tigue and stress corrosion cracking. They can
also improve the wear resistance. Therefore, in
many cases compressive macro residual stresses
are intentionally generated in near-surface re­
gions by controlled heat treatments or by post-
treatments such as shot peening or deep rolling.
The stability or relaxation behavior of these
residual stresses at purely thermal or mechanical
loadings as well as superimposed thermal and
mechanical loadings is thus of decisive impor­
tance for the service behavior of components and
hence of great interest from a scientific as well
as a practical point of view (Ref 16-18). If re­
sidual stresses are relaxed by annealing or me­
chanical treatment, they naturally have little if
any influence on subsequent component failure.
Residual stresses can be reduced or com­
pletely relaxed by the application of mechanical
and/or thermal energy. The elastic residual
strains, se, that are associated with the residual
stresses via Hooke’s law can be converted into
micro plastic strains, sp, by suitable deformation
processes. For example, this transformation can
be achieved by dislocation slip, dislocation
creep, grain-boundary sliding, and/or diffusion
creep (Ref 16-17). If these processes occur to
only a limited extent or not at all, relaxation of
residual stresses is also conceivable by crack for­
mation and propagation. Relaxation of residual
stresses in the real case occurs by complex in­
teraction of a large number of factors. It depends
not only on the residual stress state itself but also
on the material state, loading condition, geom­
etry, and environment of the component under
consideration.
The best known and most important tech­
niques for inducing residual stress relaxation are
annealing (tempering), uniaxial deformation
(drawing, stretching), and cyclic deformation
(Ref 16-18). Relaxation can also be caused by
thermal cycling, quenching, neutron bombard­
ment, the effect of alternating magnetic fields (in
the use of ferromagnetics), vibration, and partial
damage. As discussed in other articles in this
Handbook, residual stresses can be differentiated
by their technological origins (i.e., whether they
were produced during forming, machining, heat
treatment, joining, coating, or casting).
Before the effect of applied thermal or me­
chanical energy on the residual stress state can
be assessed, the latter must be determined quan­
titatively. In the case of mechanical methods, the
necessarily large number of measurements in­
volve considerable expenditure of both time and
money. Most investigations have thus employed
x-ray methods—for example, the sin2\j/ method
(Ref 19) with CrKa radiation on the {211}-in­
terference plane of the ferrite, as well as
interference-profile analyses (e.g., Ref 20, 21).
In this article, current knowledge about resid­
ual stress relaxation of steels is presented in a
condensed and, as far as possible, systematic
form. The abundance of available experimental
data nevertheless necessitates a limited scope.
Thus, the findings of residual stress relaxation
by annealing, tensile loading, compressive load­
ing, and cyclic loading will be taken as examples
to demonstrate universally valid rules. Shot
peening residual stresses are particularly suitable
for such investigations due to their sign and their
relatively large absolute value. Possible formulas
that can be used to quantify residual stress relax­
ation are discussed, and the underlying micro-
structural as well as micromechanical mecha­
nisms are considered.
Relaxation of Residual Stresses by
Annealing
If a pure metal is annealed for several hours
at a temperature of
Ta ~ 0.5 T m [K] (Eq 1)
where Tm is the melting or solidus temperature,
and then cooled slowly to room temper ature, al­
most total relaxation of the residual stresses aris­
ing from forming, machining, heat treatment, or
joining operations can be achieved. The neces­
sary annealing time depends essentially on the
workpiece dimensions and the material state.
Since an annealing temperature of 0.5 Tm cor­
responds to the re crystallization temperature of
ferritic steels, complete relaxation of macro re­
sidual stresses can be expected. In the case of
pearlitic steels, macro residual stresses are com­
pletely eliminated during the pearlite-austenite
transformation above Hie Aj temperature. Micro
residual stresses are considerably reduced but
not entirely removed, since lattice defects (par­
ticularly dislocations) and, in the case of hetero­
geneous materials, the different expansion co­
efficients of the various phases are always
responsible for some micro residual stresses. Re­
sidual stress relaxation by annealing is brought
about by so-called thermally activated processes
for which the annealing temperature and the an­
nealing time are interchangeable within certain
limits. In order to achieve comparable residual
stress relaxation at a lower annealing tempera­
ture, the annealing time must be increased cor­
respondingly (Ref 16, 17).
Thermal residual stress relaxation is funda­
mentally affected by the residual stress state it­
self and by the material state. This is convinc­
ingly demonstrated by the findings presented in
Fig. 1 and 2 (Ref 16, 17), which show the effect
of 1 h anneals on surface macro residual stresses
of a variety of origins in a variety of steels in­
vestigated using x-ray methods. Figure 1 is a bar
chart showing the macro residual stresses present
in the original state and after the normal indus­
trial stress relieving for hardened components of
1 h at 200 °C (390 °F). The materials deformed
in tension have undergone negligible residual
stress relaxation. The greater the original com­
pressive residual stresses, the greater the residual

stress relaxation produced by annealing of
surface-machined specimens: 11% for a plain
carbon steel with 0.45 wt% Carbon, SAE 1045
(Fig. 1C); 17% for SAE 1045 (Fig. ID); and
19% for the rolling bearing steel AISI 52100
(Fig. IE). The most pronounced relative residual
stress relaxation, however, is observed in the
hardened materials: 25% for plain carbon steel
with 0.22 wt% C, SAE 1023 (Fig. IF); and 37%
for SAE 1045 (Fig. 1G).
Figure 2 shows the relative residual stresses
ar=(Ta)/ar=(293 K) for the same steels as a func­
tion of the homologous annealing temperature,
Ta /Tm. It can be seen that a 1 h anneal at 0.5 Tm
(about 600 °C, or 1110 °F) results in complete
relaxation of the macro residual stresses in eveiy
case. Characteristic, material-specific stress-
temperature cuives are obtained. Clearly, resid­
ual stresses produced by hardening are relaxed
at lower temperatures, machining residual
stresses at medium temperatures, and deforma­
tion residual stresses at higher temperatures. In
order to achieve the same degree of residual
stress relaxation, (e.g., 50%) in 1 h in hardened
and in deformed SAE 1045, a temperature dif­
ference of 150 °C (270 °F) is necessary. Fur­
thermore, according to Fig. 1, larger initial re­
sidual stresses result in a shift of the ors versus
T curve to lower annealing temperatures in the
case of hardened or machined materials.
Mi cro residual stresses and their rel axation be­
havior can be determined directly from the half­
width values (HW) of the x-ray interference
lines, which are a measure of the microstructural
work-hardening state as well as the dislocation
density. The change of the HW values are ap­
proximately proportional to the changes of the
micro residual stresses (AHW ~ Aa^icro).
Again, the micro residual stresses in steels are
more effectively relaxed at a higher temperature
and, like macro residual stresses (see Fig. 2),
1045; Ck 22 = SAE 1023; 100 Cr 6 = AISI 52100
hardening micro residual stresses are relaxed at
lower temperatures, such as those produced by
machining; likewise, machining micro residual
stresses are relaxed at lower temperatures, such
as those produced by deformation in tension. In
comparable steel states, micro residual stresses
are relaxed only after a longer period or at a
higher temperature than macro residual stresses
(Ref 16, 17). For example, in order to achieve
50% micro residual stress relaxation in tensile-
deformed SAE 1045 annealed for 1 h, the an­
nealing temperature must be 100 °C (180 °F)
higher than that needed to achieve the same de­
gree of macro residual stress relaxation.
Data pertaining to the thermal relaxation of
micro residual stresses for hardened steels are
available by analyzing x-ray interference lines of
different steels in (Ref 22-24). The mean lattice
distortions (s2)1/2, which are proportional to the
micro residual stresses according to
C'Sic» = E<m ■ <s2>lc (Eq2)
£)no> is the Young’s modulus of iron in the (110)
direction, increase with growing carbon content
mainly due to the increasing dislocation density
and, secondarily, to the increasing number of
solute carbon atoms in octahedral sites of the
tetragonal martensite lattice. Usually, it can be
assumed that with increasing carbon content the
temperature for the onset of residual stress relax­
ation is lowered and the recovery’ rate increases.
However, it must be remembered that with the
annealing-induced formation of carbides on dis­
locations, which leads to their pinning, the re­
laxation procedure slows.
The relaxation behavior of residual stresses
depends for a similar surface treatment, as for
example by shot peening, as shown in Fig. 3 for
the plain carbon steel SAE 1045 with 0.45 wt%
C, from the heat treatment before shot peening
Stability of Residual Stresses / 55
and thus, fr om the har dness of the material (Ref
25). The macro residual stresses (left-hand side
of Fig. 3) and the micro residual stresses (right-
hand side; characterized by the half-width ratio
AHW/ AHWq), yield with the har dness increasing
from the normalized to the quenched and tem­
pered and to the hardened condition, greater re­
laxation rates. Figure 3 also illustrates the delay
of the relaxation of the micro residual stresses,
which was mentioned above in comparison with
file macro residual stresses. Further experimental
investigations of the macro and micro residual
stress relaxation of metallic materials—temper­
ing steel AISI 4140 (Ref 26-28), titanium alloy
TÍ-6A1-4V (Ref 29), and several CuZn alloys and
AlMg alloys (Ref 30, 31)-—lead to similar re­
sults.
Materials with surface residual stresses pro­
duced by grinding, milling, deep rolling, or shot
peening frequently show different residual stress
relaxation behavior when comparing the surface
layer with subsurface areas. In most cases, this
behavior is connected with work-har dening gra­
dients, where an increasing work hardening due
to increasing dislocation densities causes grow­
ing mean strains and greater half-width values.
Characteristic examples of depth distributions
of the macro residual stresses and the half-width
values in SAE 1045, which were produced after
different heat treatments and electrolytical re­
moval of thin material layers, are shown Fig. 4
and 5 (Ref 25). Normalized SAE 1045 samples
in the ground, milled, or shot-peened condition
result in typical depth distributions that depend
on the heat treatment (Fig. 4). In this case, the
relaxation behavior of the macro residual
stresses (left-hand side), and of the half-widths
(right-hand side), is more pronounced at the sur­
face than in deeper layers. After selected an­
nealing treatments, this behavior holds to com­
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
°C, or 1020 °F).
The relaxation behavior of normalized SAE
1045 in the shot-peened condition is reproduced
F¡2. 2 Macro residual stress ratio versus homologous
O* annealing temperature of different steels (see
Fig. 1) after annealingfor 1 h
56 / Effect of Materials and Processing
again in Fig. 5 (top row) in comparison with
shot-peened conditions of quenched and tem­
pered as well as hardened states of SAE 1045.
The shot peening residual stresses in the hard­
ened state (bottom row) are reduced by anneal­
ing of 1 h at 300 °C (570 °F) almost 50% at the
surface and in the depth of the maximum of com­
pressive residual stresses. The corresponding
HW values in the area close to the surface are
smaller than those measured in deeper regions.
This finding is well known from relatively hard
materials, such as hardened steels (>500 HV)
with relatively high dislocation densities, where
the shot peening process causes decreasing HW
values due to work-softening effects (Ref 32).
The higher the hardness, the more effective the
work softening. In these material states, de­
creases in HW values are caused by rearrange­
ments of the dislocations with high density in
low-energy structures. However, in the
quenched and tempered condition, and in the
normalized condition, enlarged relaxation ef­
fects are observed in the surface layer due to a
dislocation-induced higher driving force and the
relaxation rate decreases with increasing dis­
tance from the surface. These findings must be
0 10 100 1000 0 10 100 1000
Anealing time, t a , min
Fig. 3 Macro residual stress ratio versus annealing time, and ratio of the changes of the half-width values AHW/AHW 0
versus annealing time, at different annealing temperatures at the surface of shot-peened SAE 1045 samples in
normalized, quenched and tempered, and hardened states
taken into account for the valuation of residual
stress relaxation of corresponding components.
Thermally Activated Relaxation
Processes
In order to analyze the thermally activated
processes responsible for residual stress relaxa­
tion, the influence of annealing time, ta, and of
annealing temperature, Ta, must be known. If the
time and temperature ranges are sufficiently re­
stricted and if ars(7a,/a)/ars(293 K) = constant
(abbreviated in the following to ars/fTo), the re­
lationship
K = t0 exp (Atf/kTJ
should hold between annealing time and tem­
perature. In Eq 3, t0 is a time constant, k is the
Boltzmann constant, and AH is the activation en­
thalpy for the relaxation process in the ta versus
Ta range under consideration. Data in the form
of crrs versus log ta plots as in Fig. 3 are not
suited to a direct evaluation using Eq 3.
The effect of time on residual stress relaxation
I A complete quantitative description of the
can be linearized with the help of a Zener-Wert-
Avrami function (Ref 33) to:
cfs/cf0s = exp f - (A?a)m] (Eq 4)
where m is a numerical term dependent on the
dominant relaxation mechanism and A is a func­
tion dependent on material and temperature ac­
cording to
A = B exp (-A/Z/kTJ (Eq 5)
where B is a constant. It follows from Eq 4 that
log In (cto/ors) = m log ta + m log A (Eq 6)
(Eq 3)
with the result that for a constant annealing tem­
perature Ta, a plot of log ln(ao/ars) versus log ta
gives a straight line (see Fig. 6).
Corresponding annealing temperatures and
times for gts/&q = constant can be derived from
such plots, as schematically illustrated in Fig. 6
in the log ta versus l/kTa plot. The values for
qñfef = constant lie on a straight line. Based
on Eq 5 and 6, this line results in
AH
log,, = constant + (E,7)
which can be rearranged to give Eq 3. The slope
of the log ta versus l/kT^ plot in Fig. 6 yields to
the activation enthalpy for residual stress relax­
ation.
An experimental verification of Eq 6 is pre­
sented in Fig. 7, with results for shot-peened tur­
bine blades made from a 12% Cr steel that was
annealed for residual stress relaxation in the tem­
perature range from 150 to 600 °C (300 to 1110
°F) up to 104 h (Ref 34, 35). The measuring data
are fitted very well by straight lines with a slope
of approximately m = 0.10. The evaluation of
these lines by Eq 7 leads to the activation en­
thalpy AH 3.5 eV. This finding will be dis­
ü cussed together with the following results.
thermal relaxation of residual stresses is of prac­
tical importance. This was achieved by an exten­
sive study on the steel AISI 4140, which was
quenched, tempered 2 h at 450 °C (840 °F), and
then shot-peened. The shot peening was carried
out with cast steel shot SI70 (44 to 48 HRC), at
a pressure of 1.6 bar and a coverage of 98% (Ref
26, 27). The absolute values of the macro resid­
ual stresses are plotted m Fig. 8(a) versus the
logarithm of the annealing time for different an­
nealing temperatures. They decrease with in­
creasing time and temperature. Because the con­
ventional way for determining the Avrami
quantities AH, m, and B in Eq 4 and 5 requires
strong extrapolations to very high and low an­
nealing times, a new iterative method was used
that allows determination of these parameters by
a nonlinear minimization of the residual sum of
squares (Ref 26, 27). To achieve this, all mea­
surements in the evaluation are taken into ac­
count with the same weight. The algorithm

yields AH = 3.3 eV, m = 0.122, andB = 1.22
X 1021 min~1 for the surface values of the macro
residual stresses. The curves in Fig. 8(a) were
calculated using these constants in Eq 4 and 5.
They describe the time and temperature depen­
dence of the relaxation process very well.
The alterations of surface half-widths by an­
nealing at temperatures between 250 and 450 °C
(480 and 840 °F) for different annealing times
are shown in Fig. 8(b) for the same steel. The
reductions of the HW values are similar to the
relaxation of the macro residual stresses pre­
sented in Fig. 8(a). Again, the Avrami approach
is used to describe the relaxation of half-widths,
applying the new iterative method to the differ­
ences between the half-widths after annealing
and the value HW = 1.65° of a normalized spec­
imen related to their starting values instead of
the ratio Gre( /a,/a)/Go in Eq 4. The curves in Fig.
8(b) were calculated by means of the material
properties AH = 2.48 eV, m = 0.116, and B =
1.09 X 1013 min-1 and agree well with the mea­
sured values. The dependence of the relaxation
of mean strains (e2)1/2 and micro residual
stresses G^cro, respectively, on the annealing
time was measured in the temperature range be­
tween 250 and 450 °C (480 and 840 °F). The
data can also be modeled by the Avrami ap­
proach using <82(Ta, /a))l/2/(e2)1/2 instead of
0 L-------------------- 1------------------- L
Fig. 4 Macro residual stress and half-width of the x-ray interference line versus distance from surface before and after
annealing of ground, milled, and shot-peened SAE 1045 samples in a normalized state
Grs(Ta, ta)/Gqs in Eq 4. The new algorithm was
used to determine the material parameters AH =
2.64 eV, m = 0.096, and B = 5.32 X 1012
min -' , which allow description of the measured
values as shown in Fig. 8(c).
Comparison of these relaxation data in Ref 26
and 27 shows that the relaxation of macro resid­
ual stresses at the surface of the shot-peened state
is a bit faster than the relaxation of half-widths
and mean strains; this corresponds with the fact
that the constant B differs by nearly nine orders
of magnitude (see Table 1). The reason for the
differences in the relaxation rate is that for the
relaxation of macro residual stresses, dislocation
movement is sufficient. For a distinct relaxation
of micro residual stresses, however, additional
dislocation annihilation is necessary. The expo­
nents m show no significant alterations, and the
activation enthalpies approach the values of the
activation enthalpy of self-diffusion of iron: A Hs
2.8 eV. Additional data for the same steel in
a normalized and another quenched and tem­
pered state in Table 1 (with exception of the
hardened state) confirm this statement (Ref 28).
Accordingly, volume diffusion-controlled dis­
location creep in the residual stress field that is
dominated by climbing of edge dislocations
should be the rate-controlling process for the re­
laxation of the shot peening residual stresses of
Stability of Residual Stresses / 57
AISI 4140 in normalized as well as quenched
and tempered states.
In order to obtain some information about the
relaxation behavior of macro residual stresses in
subsurface layers, the values of the residual
stresses after the annealing processes of AISI
4140 mentioned above were measured for dif­
ferent distances from the surface (Ref 26, 27).
The evaluated parameters of the Avrami ap­
proach vary only at the surface itself from those
values measured below the surface. There, the
evaluated data show no significant tendency and
amount to the mean values AH = 2.99 eV, m
= 0.172, and B = 6.09 X 1017 min-1. As
shown in Fig. 9, the dependence of the macro
residual stresses after different annealing times
at 450 °C (840 °F) on the distance from surface
can be described quantitatively using the surface
material properties and the mean values for all
subsurface layers. The agreement between mea­
sured values and modeled curves is very good.
During heating to sufficiently high annealing
temperatures, a distinct relaxation of macro re­
sidual stresses occurs. An attempt was made to
model this behavior by extending the Avrami ap­
proach to nonisothermal stress relaxation (Ref
27). The transient relaxation of the macro resid­
ual stresses was calculated for specimens that
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
was partitioned into a staircase curve with small
equidistant steps and isothermal sections. Cal­
culation of the relaxation was determined by a
numerical integration after the so-called stress-
transient method (Ref 27) under the application
of the Avrami quantities AH, m, and B (Table 1)
which are valid for the surface state. The mag­
nitudes of the macro residual stresses measured
after interruption of the heating and cooling
down to room temperature are marked with tri­
angles. It becomes evident that the stress-
transient method describes the measured values
in an excellent manner. Figure 10 also shows the
isothermally calculated relationship between
heating time and absolute values of residual
stresses. While there are distinct differences dur­
ing the first stage of heating time of approxi­
mately 20 s, the curves calculated isothermally
and by the stress-transient method closely ap­
proach at long annealing times.
A similar discussion of thermally activated
processes was carried out for other steels (Ref
16, 17, 28, 30, 31) and for AlMg alloys and
CuZn alloys (Ref 30, 31) with surface residual
stresses originating from a variety of processes.
In the case of these steels, the activation enthalpy
AH depends on the state of the material and lies
in the range of 1.1 to 2.6 eV. AH is lowest for
relaxation of residual stresses due to hardening
and highest for those due to deformation in soft
annealed states. That proves unequivocally that
residual stress relaxation in steels can occur by
several processes.
Characteristic structural changes occur during
58 / Effect of Materials and Processing
the deformation, machining, or hardening of
steels. Typically, an increase in the dislocation
density and a change in the dislocation arrange­
ment are observed In the case of hardening, the
concentration of solute interstitial atoms differs
from the equilibrium value, and this, together
with the presence of dislocations, has a decisive
influence on the residual stress fields. If a single
heat treatment is carried out in the temperature
range corresponding to recovery (7 < 0.5 Tm),
the dislocations adopt arrangements of lower en-
ergy by elementary processes such as glide and
cross slip by screw dislocations and glide and
climb by edge dislocations. In the case of hard­
ened material, diffusion of carbon atoms depen­
dent on the annealing temperature and accom­
panied by the formation of characteristic
carbides is superimposed on these processes.
The rate-determining process, with the excepti on
of the early stages in the annealing of hardened
steels (Ref 36), is clearly the thermally activated
climb of edge dislocations (Ref 17). If diffusion
of matrix atoms occurs along the edge disloca­
tions to the dislocation core, the activation en­
thalpy should be AH « 0.5 Affs, where AHs is
the activation enthalpy of self-diffusion. If vol­
ume diffusion predominates, the AH value for
climb is determined by AH's. In the real case,
both processes occur simultaneously but to dif­
ferent degrees. The dislocation density and ar­
rangement are of considerable importance. In the
Distance from surface, mm
Macro residual stress and half-width versus distance from surface before and after annealing of shot-peened
Fig. 5
SAE 1045 samples in normalized, quenched and tempered, and hardened states
case of randomly distributed dislocations or tan­
gles of extremely high density', pt—for example,
in hardened steels where pt » 1012 cm-2 (Ref
23, 24)—residual stress relaxation is expected
to involve dislocation-core diffusion-controlled
climb by' edge dislocations. Predominantly vol­
ume diffusion will determine recovery if the dis­
location configurations are relatively stable and
consist of plane arrangements, cell walls, or sub­
grain or low-angle grain boundaries. This recov­
ery process probably occurred in the investigated
shot-peened quenched and tempered steels and
normalized steels as well as nonferrous alloys.
In view of the activation energies, the residual
stress relaxation in the hardened steels can prob­
ably be classified between these two extremes
and occurred by two recovery' mechanisms in
competition with each other.
Up to now, discussion has centered on resid­
ual stress relaxation at temperatures T.d < 0.5
Tm—that is, those temperatures brought about
by' typical recovery' processes. In this case, me­
chanical parameters such as hardness and yield
strength are not significantly altered. During a
recrystallization anneal at T*> 0.5 Tm, the dis­
location density’ rapidly takes very’ small values
as a result of the growth of new grains. This leads
to complete removal of macro residual stresses
and to small micro residual stresses, but is as­
sociated with pronounced changes in mechanical
properties. If extensive residual stress reduction
CD
CN
5
x
is required in a component without significant
change in yield strength or tensile strength, the
annealing temperature and time must be chosen
to correspond with the recovery stage and not
with recrystallization.
Resistance to Residual Stress Relaxation
Residual stress relaxation by heat treatment is
fundamentally impossible if in a predominantly
uniaxial residual stress state or= is smaller than
the creep yield strength. This resistance for the
onset of plastic creep deformation, designated in
the following by Rct, is characterized by the
creep strain limit at vanishingly small plastic de­
formation. As shown schematically in Fig. 11,
/?ce decreases with increasing temperature and
load time. In contrast to relevant times regarding
the cree]) condition of a high-temperature com­
ponent at service, only very short times are nec­
essary' for residual stress relaxation by creep pro­
cesses (dislocation creep, grain-boundary glide,
or diffusion creep). With increasing T and/or t,
Rce approaches a localized residual stress peak
of magnitude cfs. For T = T^, cfis equals Rce
associated with the localized onset of creep de­
formation. Further increases in temperature or
time result in an increasing and measurable mi­
croplastic creep strain. As illustrated in Fig. 11,
residual stress relaxation begins at higher tem­
peratures (7¡) the smaller the load time (í¡) or the
residual stress (a15) and the greater the creep re­
sistance (/?«) of the material. Changes in ñce can
be achieved by deliberate alterations in the state
Schematic of conventional determination of
Fig. 6
Avram ¡approach parameters

of the material. All thermally stable obstacles
that have an additional work-hardening effect
(Ref 17) shift the onset of residual stress relax­
ation and the entire a versus T curve to higher
18
temperatures.
Residual stress relaxation is also affected by
the superposition on a localized residual stress
eft of an applied loading stress cr in the same
8 18
direction. Increasing (/'values shift the onset of
residual stress relaxation to shorter times and/or
lower temperatures according to the relation
Icr* + cP| = R«
Loading stresses acting in opposition to the re­
sidual stresses in a given region of the material
delay the onset of microplastic deformation in
this region. Since the distribution of residual
stresses in a component is always inhomoge­
neous, there will be other regions in which su­
perposition of eft and o ls in the same sense pro­
8
motes plastic deformation. Therefore,it depends
on the superposition of a and rfts at any point
18
in the component if a loading stress retards (la
+ °"U < Icftlmax) or enhances (I® + cft’L,,, 18
> residual stress relaxation.
At this stage it is interesting to explain the
result shown in Fig. 1 and 2, where residual
stress relaxation in a deformed sample of SAE
1045 is delayed in comparison to that in SAE
1023 despite the compressive residual stresses
having double the magnitude. Due to its higher
carbon content, SAE 1045 contains a greater num­
ber of ferrite-cementite phase boundaries than
SAE 1023. These phase boundaries represent sta­
ble obstacles to dislocation dip. Apparently, the
restricted possibilities for recovery-driven move­
ment of dislocations to arrangements of lower en­
Fi8- 7 Plot of log In veisus log fora shot-pee ned 12% Cr steel
Stability of Residual Stresses/59
ergy outweigh the increasing driving force ofthe ened steels occurs more quickly or at lower tem­
larger residual stress. The delayed residual stress peratures, the greater the magnitude ofthe resid­
relaxation in deformed SAE 1045 is thus ex­ ual stresses themselves. This is a consequence of
plained by an increase in the creep resistance^. temperature, time, and stress-dependent pro­
In the case of amultiaxial residual stress state, cesses similar to those observed in so-called pri­
the residual stress eft employed in the arguments
8 mary micro creep. Empirical relationships ofthe
just given must be replaced by an equivalent re­ form
sidual stress <j¡£. If the principal components are
<ft¡8 , cf 28 , and (J38 , it can be formulated to £p = OCOott" (Eq 10)
can be established for constant loading stress eft 8
(Ref 16, 17). C is a quantity depending on the
(Eq 8) temperature and the condition of the material;
/(o? - of)2 + (a? - of)2 + (a? - of)2 (Eq9)
the exponents have the values n > 1 and 0 < m
< 1; and the creep strain increases with applied
on the basis of the von Mises hypothesis. The
stress and with time. Residual stress relaxation
equivalent residual stress is thus dependent on
the differences between the principal residual
stress components. These in their turn are pro­
portional to the shear stresses acting on dislo­
cations in the slip systems. Residual stress relax­
ation therefore does not occur for
18
of, <R<*
but does occur for
The case o¡L8q > obtains only briefly, since the
immediate onset of creep deformation attempts
to restore the condition ®^ = R.,..
8
Effect ofthe Magnitude of Residual
Stresses on Relaxation Behavior
The data in Fig. 1 and 2 clearly show that the
residual stress relaxation in machined or hard­
Annealing time, h
g Influence of annealing tí me and temperatureon
the (a) absolute values of macro residual stress,
(b) half-width, and (c) mean strain and micro residual stress
fogia on the surface and their description by the Avrami ap­
proach for shot-peen ed AIS I 4140 in a quenched and tem­
pered condition
60 / Effect of Material sand Processing

cannot, however, be compared directly to a creep
test. It is much more like a stress relaxation ex­
periment. In Hie latter case, ttie total strain re­
mains constant while elastic strain is converted
into plastic strain. With a homogeneous stress
distribution over the cross section of a specimen,
the following expresa on would be valid
a residual stress relaxation with the Norton ap­
Et = constant = Sp + s. = Sp + — (Eqll)
B
However, macro residual stresses are inhomo-
geneouáy distributed over the cross section, and
for the residual stress relaxation in a localized
area the following relationship holds true:
o? o“
— = constant = s_ + —
g ^g
. _ (<ff - (Eq 12)
^ g
Regarding real values of the reádual stresses,
plastic strains of several tenths of a percentmax-
imum are produced by complete residual stress
relaxation ( < f s — 0); ttiat is, the deformation is
in the microcreep range.
Equations 10 and 11 form the basis for quan­
titative estimates oftheresidual stress relaxation.
Multiaxial and inhomogeneous residual stress
states are neglected or excluded. AlthoughEq 10
cannot be substituted directly in Eq 11 on ac­
count of the variable value of the stress (c =
< f *), it can be seen qualitatively from a combi-
nation of the two expressions that increasing re­
sidual stress values lead to a more effective re­
sidual stress relaxation. Asa result of the greater
driving force, shorter times and/or lower tem­
peratures are necessary. This is in agreement
with the experimental results presented.
The influence of ttie magnitude of the residual
stresses can also be illustrated by describing the
proach, which is known from high-temperature
creep. The total strain rate as the sum of elastic
and plastic strain rate must vanish according to
s,. = Sp + s, = 0 (Eq 13)
Thus, the Norton law and Eq 13
Ép = C*(T) - (d“)“ = - É. = — (Eq 14)
give a proportionality between the elastic and
plastic strain rates, and between the residual re­
laxation rate and the actual residual stress to the
power of the Norton exponent n, respectively.
The ejqierimental data shown in Fig. 12 reveal
strain rates that present a strong dependency on
temperature and residual stress values (Ref 26).
Furthermore, the data reveal strain rates that are
typical for creep processes. This finding supports
the conclusion drawn above that diffiision-
controlled dislocation creep in the residual stress
field should be the rate-controlling process for
the relaxation of reádual stresses in steels.
Residual Stress Relaxation by
Uniaxial Deformation
In certain cases in practice, uniaxial defor­
mation is often employed in addition to stress-
free annealing to relieve reádual stresses. In ttie
case of forming, for example, the reádual
stresses can be reduced by a second forming
stage using a smaller reduction in the cross-
sectional area. This can be achieved by redraw­
ing, restretching, rerolling, represáng, and
straightening (Ref 16, 17). However, these tech­
niques can be used only on simply shaped com­
ponents with a uni form cross section. In the case
of welded seams, a uniaxial load is applied to
reduce or redistribute macro residual stresses.
When a critical value of the applied loading
stress is exceeded, directed diáocation move­
ment converts the elastic strain associated with
the macro residual stress into micro plastic
strain.
Several typical examples will serve to illus­
trate the relaxation of reádual stresses due to
joining and shot peening by uniaxial deforma­
tion. In an evaluation of the effect on the strength
of macro residual stresses setup during welding,
it is important to know the stability of these
stresses on loading the weld Figure 13 illustrates
the conáderable reduction in macro reádual
stresses accompanying tenále loading of joints

Temperature, r

Fig. 11 Creep yield strength versus temperature at dif­

ferent creep times and strain rates
Distance from surface, mm
F ¡g. 1 0 Absolute values of macro residual stress after
Measured and calculated macro residual stress shcrt-time immersion in a salt bath at 450 <'C
at Tt = 450 "C (840 °FJ and different annealing (840 versus time. Comparison is made with curves cal­
times versus distance from the surface of shot-peened AISIculated with the stiess-transient method using the occurring
4140 in a quenched and tempered condition (450 4C, or f($ dependence and with modeling for isothermal anneal­
840 "F, for 2 h) ing.

Table 1 Material properties AH, m, and B of the Avrami approach determined for different
heat treatment conditions of the shot-peened steel AISI 4140
Heal treatmoil MojuiLy prop frtr LH, eV m *1
B, min
Nonroli^d Macro residual stress 330 0.080 1.40 X 10115
Quenched and tempered
650 °C (1200 °F) Macro residual stress 338 0.080 190 X 10*
450 °C (840 °F) Macro residual s tress 329 0.122 122 X 10* Fifi 12 Phtstic stia i n late versus mea n resid ual stress cf
Half-width 2.48 0.116 1 09 X 1012 ° shot-pee ned Al SI 4140 in a q uenched and tem­
Mean strain (micro is) 2.64 0.096 532 X 1012 pe red condition (450°C, or 840 °F, for 2 h). Determined
Hardened Macro residual stress 233 0.110 120 X 10“ from the data of Fig. 8(a)

www.iran-mavad. com
 Stability of Residual Stresses / 61

produced by electron beam welding and tungsten
inert gas (TIG) welding in a maraging steel (Ref
37). In the electron beam welded specimen, it
begins at about 70% of the yield strength R e of
the unannealed weld. Residual stress relaxation
is not complete. In the case of the TIG weld,
noticeable residual stress relaxation first occurs
above R e, By the time the tensile strength R m is
reached, residual stress relaxation is virtually
complete.
Shot peening residual stress states under ten­
sile or compressive loading are unstable, and re­
laxation occurs when critical loading stresses are
exceeded. Corresponding results of surface re­
sidual stresses of the quenched and tempered
steel AISI 4140 are presented in Fig. 14 as a
function of loading stress and in Fig. 15(a) as a
function of total deformation (Ref 38). At tensile
loading, relaxation of the peening-indueed com­
pressive residual stresses in the surface of — 540
MPa (-80 ksi) sets in at 95% of the yield
strength of the unpeened material (Re(t)« /ip0 01ft)
« 1180 MPa. or 170 ksi). In compression, re­
laxation starts at 45° o of the yield strength of the
unpeened material (R e(cl « R p „ 01(cl ** 1300 MPa,
or 190 ksi). In the quenched and tempered con­
dition of this material exists a typical strength-
differential effect of"R^ — R^q k 120 MPa (20
ksi) (Ref 38). The relaxation rate of macro resid-
ual stresses directly after the onset of relaxation
occurs much more rapidly during tension than
during compression. After a total strain s, =
- l% (ols < -1250 MPa, or -180 ksi). the
surface residual stresses o'* are completely re­
moved (see Fig. 15a). ! 1' if, < — 1%. the sign of
C7rs changes. In the case of tensile loading, the
residual stress relaxation, however, is incom­
plete. Thus, the relaxation behavior is different
and anisotropic during tensile and compressive
loading. Combined with the relaxation of macro
residual stresses, only a relatively small decrease
of the half-width values, which are a measure of
the micro residual stresses, is observed at the sur­
face. Figure 15(b) illustrates this behavior as a
function of total strain.
The effect of different strengths on the relax­
ation behavior of shot peening residual stresses
at the surface of AISI 4140 due to uniaxial de­
formation is illustrated in Fig. 16. Results ofFig.
14 for specimens quenched and tempered at 450
°C- (840 °F) are compared with results for nor­
malized specimens and for specimens quenched
and tempered at 650 °C (1200 1) (Ref 39). The
courses of ors versus ols are similar. However,
the absolute values of the critical loading stresses
for the onset of residual stress relaxation in ten­
sion and in compression, in­
crease with increasing yield strength of this steel
in different heat treatment conditions.
Figure 17 represents the influence of loading
stresses g1s on the shot peening residual stresses
cf5 at the surface of quenched and tempered AISI
4140 for different testing temperatures (Ref 40).
The ars versus crls course at 25 °C (75 F) is the
same as in Fig. 14. At higher temperatures (250
and 400 °C, or 480 and 750 T). the initial macro
residual stresses are reduced by heating and
waiting for temperature compensation due to
thermal residual stress relaxation. The values of
the critical loading stresses for the onset of re­
sidual stress relaxation during tension and com­
pression as well as the relaxation rate decrease
clearly with increasing temperature.
The relaxation of macro residual stresses by
uniaxial deformation begins at relatively small
loads or plastic strains. It may be complete or
partial, both the degree and rate of residual stress
relaxation depending on the type and state of the
material as well as on the nature of tiie applied
load.
Resistance to Residual Stress Relaxation
The deformation behavior and relaxation of
macro residual stresses in materials can be
roughly approximated in terms of a cylindrical
rod with longitudinal residual stresses—namely,
constant compressive residual stresses (of) at
the surface and constant tensile residual stresses
(cy)s) in the core (Fig. 18). The surface is char­
acterized by the yield strength R es and the core
by R ec. Plastic deformation commences in the
core at the critical tensile loading stress:

tTcntit) Aef, IL. — (Eq 15)

Plastic deformation under compressive load first

occurs in the surface region due to the superpo­
sition of loading and residual stresses at the criti­
cal compressive loading stress:

Amici. — Fci'.m — |c>A (Eq 16)

Residual stress relaxation does not occur during

tensile loading for
13 Welding residual stress versus tensile loading:
stress of a maraging steel, (a) Transverse resid­ a1' < gjj|y| = R clfy: - o? (Eq 17)
ual stresses in the welding seam center of an electron beam
welded joint, (b) Transverse residual stresses 3 mm (0,12 % and during compressive loading for
in.) from the welding seam center of a TIC welded joint

|<71St -*5- .feel! Pefei.sl - M3 (Eq 1 8 )

The properties and thus have the

meaning of resistances against residual stress re­
laxation by uniaxial deformation.
The critical compressive loading stress,
can be determined experimentally from
corresponding loading and unloading tests. The
yield strength of the surface, M sa «- can be esti­
mated from Eq 16 with measurements of the sur­
face residual stresses and the know ledge of the
initial surface residual stress by this relationship:

•«dee* = MSiiíeJ + Mft (Eq19)

Fig. 14 Fig. 15 Influence of total deformation on (a) the macro

Macro residual stress at the surface versus load­
Inatthe case of a multiaxial residual stress state,
ing stress under tension and compression, re­ residual stress and (b) the half-width change
spectively, of shot-peened AISI 4140 in a quenched and the surface of shot-peened AISI 4140 in a quenched andmodified 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-
62 / Effect of Materials and Processing
sidual stress state that is generated due to vertical
shot peening results on the basis of the von
Mises hypothesis for the onset of residual stress
relaxation at compressive loading to:
<*eq — l^(c),sl
= Mk=))2 + (^)2 + <&*) • <? CEq20)
where oeq is the equivalent loading stress. This
relationship leads to somewhat smaller yield
strengths, as with a uniaxial estimation (Ref 29,
41). The application of Eq20 for the shot-peened
AISI 4140 in different conditions results in the
Re(C),s values summarized in Table 2. The corre­
sponding critical loading stresses for initiation of
macro residual stress relaxation o^c), the yield
strengths of the unpeened conditions Re(c), the
ratio fie(c),s/ñe(c> an¿ the half-widths ratio of sur­
face and core are also indicated For the nor­
malized condition the relation
IRe(c),J > IRs(c)l
is valid. For the quenched and tempered condi­
tions, however, the yield strengths show with
< K*>l
a reverse behavior. The shot peening treatments
thus generate in comparison with the core a
work-hardened surface state in the normalized
condition and a work-softened surface state in
the quenched and tempered conditions. The final
observations seem to be in contradiction with the
work-hardening behavior obtained on the basis
of the measurements of the half-width values of
surface and core. The last column in Table 2
ols, MPa
Fifi 16 Macro residual stress at the surfaceversus loading stress under tension and compression, respectively, of shot-
peened AISI 4140 in different heat treatment conditions: normal ized; quenched and tempered at 450 °C (840
°F), for 2 h (qt 450); and quenched and tempered at 650 °C (1200 5F) for 2 h (qt 650)
presents the ratio HWJHWC with values between
1.05 and 1.58. Therefore, in all cases a peening-
induced microstructural work-hardening effect
appears. The smallest effect occurs at the 450 °C
(840 °F) quenched and tempered condition. The
other heat-treated states show a considerably
larger microstructural work-hardening effect.
These apparent contradictions become clear
with a more exact consideration of the conditions
of the local deformation of the surface layers
during shot peening and the subsequent uniaxial
compression test. Besides a biaxial plastic
stretch-forming of the surface area with maxi­
mum flow stresses and work hardening direct at
the surface, the peening-induced deformations
include additional Hertzian stresses with maxi­
mum effects below the surface (Ref 42). Now,
at the determination of the surface yield strength
Rt(/;Xs uncler homogeneous compressive loading,
the direct surface layer is deformed exactly in­
verse to the deformation direction during shot
peening. In this case, the Bauschinger effect re­
lieves the deformations in the inverse direction
and reduces the resistance of the work-hardened
surface layers due to back stresses and an aniso­
tropic mobility of dislocations. It is known that
the Bauschinger effect appears especially dis­
tinctive in quenched and tempered steels (Ref
43). Therefore, it is not surprising that the shot
peening treatments of quenched and tempered
AISI 4140 lead to values oí Re(c)_sf Re(c) < 1. The
surface yield strengths are controlled not only by
the peening-induced surface work-hardening,
which is characterized by the half-width ratio
HWJHWC, but also by the Bauschinger effect.
Obviously, the condition Rt(S)JRt(S) > 1 is valid
if the peening-induced work-hardening has a
stronger effect than the Bauschinger effect. If the
Bauschinger effect dominates, however, the ratio
of the yield strengths is R^JR^ < 1.
Modeling of the Relaxation Behavior
A quantitative description of the relaxation
behavior of multiaxial macro residual stresses
with known distribution over the specimen cross
section under uniaxial deformation is possible
with the aid of finite-element modeling (Ref 28,
44). Isoparametric rectangular elements with
plane strain behavior were applied for this pur­
pose. The corresponding depth courses of the
macro residual stresses as well as the initial parts
of the stress-strain curves under tensile and com­
pressive loading must be known and must be in­
put with certain assumptions in a discrete fotm.
Figure 19 shows corresponding results of tests
at 25 and 400 °C (75 and 750 °F) for AISI 4140
in a quenched and tempered condition. There is
a good agreement between experimental results
and finite-element modeling. An important find­
ing is that besides the pure mechanical and ther­
mal relaxation of macro residual stresses during
heating and waiting for temperature compensa­
tion, no additional relaxation effects occur under
pj„ -j -j Macro residual stress at the surface versus load-
ing stress under tension and compression, re­
spectively, at different deformation temperatures for shot-
peened AISI 4140 in a quenched and tempered condition
(450 °C, or 840 °F, for 2 h)
Fie 18 Simplified distribution of longitudinal macro
A* residual stress for residual stress relaxation due
to uniaxial loading

quasi-static uniaxial loading at elevated tem­
peratures.
Behavior of Micro Residual Stresses
Micro residual stresses behave in a complex
fashion during the relaxation of macro residual
stresses by uniaxial deformation. So far, only
isolated experimental data based on x-ray profile
analysis are available.
When a material is formed or machined, both
directed and inhomogeneous micro residual
stresses are set up. Those of the first type are the
result of back stresses due to dislocation pileups
at grain or phase boundaries and elastic strained
second phases of heterogeneous materials. If
these dislocations move in the reverse direction
during localized plastic deformation, the back
stresses and hence the directed micro residual
stresses are initially reduced. Further deforma­
tion causes renewed buildup of back stresses in
the opposing direction associated with disloca­
tion multiplication and hardening, which must
once again increase the micro residual stresses.
Dislocation arrangements in a random distri­
bution or in tangles or cells give rise to inho­
mogeneous micro residual stresses. Microplastic
deformation can lead to the rearrangement of
dislocations into arrangements of lower energy
and thus bring about micro residual stress relax­
ation. If new dislocations are produced, a re­
newed buildup of micro residual stresses is su­
perimposed on the relaxation process.
A reduction in the micro residual stresses in
hardened steels is observed both on deformation
and on machining (Ref 16, 17, 32. 45). Two su­
perimposed effects can operate here. After hard­
ening, a very high density of dislocations is pres­
ent- either randomly distributed or in tangles.
Microplastic deformation brings about a rear­
rangement of these dislocations into configura­
tions with lower distortion energy and therefore
a reduction in the micro residual stresses. On the
other hand, solute carbon atoms may be induced
to jump into the energetically more favorable oc­
tahedral sites in the martensite lattice under the
influence of the stress field of the moving dis­
locations. This causes a reduction in the tetra-
gonality and hence the lattice distortion due to
solute carbon atoms (Ref 45).
Table 2 Critical compressive loading stress ffcrll(cl/ yield strength R,u of unpeened condi­
tions, surface yield strength R,.(llrS, yield strength ratio Relc) JRHc), and ratio of haif-width values
HWJHW¡ of shot-peened AISI 4140 in different heat treatment conditions
Temperature _ls
^critic)
Heat treatment °C °F MPa ksi
Normalized 25 75 -275 -40
250 480 -300 -45
400 750 -340 -49
Quenched and tempered
650 °C (1200 °F) 20 70 -340 -49
450 °C (S40 °F) 25 75 -600 -85
250 480 -400 -60
400 750 -360 -52
Stability of Residual Stresses / 63
Residual Stress Relaxation by Cyclic residual stresses on the logarithm of N occurs
according to a logarithmic creep law:
Deformation
cf5 = dfaj - m(a,) • log N (Eq 21)
The fatigue strength of steels can be greatly
influenced by macro and micro residual stresses.
Since in certain cases they can be considered as
locally variable mean stresses, they can lead to
substantial increases in fatigue strength (cf. Ref
16. 17). The interaction of macro residual
stresses with the cyclic deformation mechanism
during fatigue in the microcrack-free stage is of
particular importance. Coupled with this is the J
stability' or the cyclic relaxation of residual 2.
stresses. Residual stress relaxation occurs when
a critical value of the applied loading stress am­
plitude is exceeded and a cyclic directed dislo­
cation movement converts the elastic strain as­
sociated with the macro residual stress into
micro plastic strain.
Numerous investigators have shown that the
effect of macro residual stresses decreases w ith
increasing stress amplitude and growing number n
of cycles as a result of residua 1 stress relaxation jg
(cf. Ref 16, 17). This is illustrated in Fig. 20 for
quenched and tempered AISI 4140 in a shot-
peened condition that has undergone a push-pull
fatigue test (Ref 28, 46). Figure 20(a) presents
cyclic deformation curves with a plot of the plas­
tic strain amplitudes, g^p, versus the number of 0|S, MPa
cycles, i¥,during stress-controlled cyclic loading
for different stress amplitudes, et Initially, the 1 cj Measured and calculated macro residual stress
at the surface versus loading stress under ten­
specimens show macroscopically a quasi-elastic sion and compression, respectively, at different deforma­
cyclic deformation behavior at 400. 500, and 600 tion temperatures for shot-peened AISI 4140 in a quenched
and tempered condition (4SO V. or 840n” for 2 h)
MPa (60, 70, and 90 ksi). At loading with cra =
700 MPa (100 ksi), small plastic strain ampli­
tudes occur from the beginning of the test. After
a di stinct number of cycles for incubation, which
decreases with increasing stress amplitude, cy­
clic work-softening occurs at all amplitudes.
This augmentation of plastic strain amplitude
continues until specimen failure. The maximum
plastic strain amplitude observed just before fail­
ure increases with increasing stress amplitude.
The alterations of the shot peening-induced
macro residual stresses at the surface crs with the
number of cycles are shown in Fig. 20(b). The
residual stress values are strongly reduced in the
first cycle. Afterward, a linear dependence of the
^e(c) ^e(c),s
MPa ksi MPa ksi ^<Kc),s/^e(c) HWJHWC
-345 -50 -480 -70 1.39 1.58
-300 -45 -496 -72 1.65 1.33
-275 -40 -516 -75 1.87 1.28 (b) Number of cycles, N
-805 -115 -685 -100 0.85 1.56
20 Plastic strai n amplitude and longitudinal macro
residual stress versus number of cycles during
-1300 -190 -953 -138 0.73 —1.05 strain-controlled push-pull tests with different stress ampli­
-950 -140 -758 -110 0.79 —1.05 tudes of shot-peened AISI 4140 In a quenched and tem­
-830 -120 -606 -88 0.73 —1.05 pered condition (600 °C, or 1110 °F, for 2 h)
64 / Effect of Materials and Processing

due to the so-called cyclic creep, where the prop­ tionally peened conditions and warm-peened macro residual stresses relax faster than in the
erties A and m can be determined for each stress conditions—the changes in the macro residual warm-peened condition. Pronounced differences
amplitude from the experimental data in the lin­ stresses, cjjss, measured at the side of the speci­ can be seen—especially in the first cycle, where
ear sections of the curves in Fig. 20(b). In the mens primarily loaded in compression as a func­ the residual stresses in the warm-peened samples
case of the stress amplitude aa = 400 MPa (60 tion of the logarithm of the number of cycles. show a higher stability than those in convention­
ksi), after the first cycle no further residual stress For both peening variants, the residual stresses ally peened samples. For A> 1, the relaxation
relaxation is observed with increasing number of at the surface relax more rapidly with increasing rate of the variant peened at room temperature is
cycles N. Obviously, this aa value is smaller than stress amplitude during the first cycle as well as also higher compared to the variant peened at
the materials resistance against cyclic residual during further cycling. The linear correlation be­ 290 °C (555 °F).
stress relaxation aa crit at the surface. For the two tween residual stresses and the logarithm of the The resulting surface values of the half-widths
highest stress amplitudes, aa = 600 and 700 number of cycles N according to Eq 20 can be HWS., related to their initial values HWS 0, are
MPa (90 and 100 ksi), at the end of fatigue life recognized for wide intervals of N > 1. In the given in Fig. 23 as a function of the logarithm
greater residual stress relaxation rates are ob­ conventionally peened samples, however, the of the number of cycles. The half-widths of the
served than predicted by the ar71og N law. The
beginning of this phase can be correlated with
the onset of cyclic work softening in the sa ver­
sus N curves in Fig. 20(a). Hence, increasing
plastic strain amplitudes at constant stress am­
plitude may cause increasing relaxation rates of
residual stresses.
For shot-peened AISI 4140 in a quenched and
tempered state and subjected to alternating bend­
ing at the stress amplitude aa s = 700 MPa (100
ksi), Fig. 21 presents the course of the absolute
values of the macro residual stresses at the sur­
face of flat specimens versus the number of cy­
cles in the longitudinal and transverse directions
(Ref 40). While the longitudinal residual stresses
at the top side (which was loaded in compressive
direction in the first half-cycle) relax from — 600
MPa (- 90 ksi) to about — 480 MPa (— 70 ksi),
the longitudinal residual stress at the bottom side
shows no considerable relaxation. In the second
half-cycle, this trend is reversed and the residual
stresses measured become similar. In the course
of further cyclic loading up to 105 cycles, the
residual stresses decrease linearly with the log­
arithm of the number of cycles according to Eq
21. After crack initiation at 105 < N{ < 4 X 105,
further reductions in the magnitudes of the re­
sidual stresses are measured. The residual
stresses in the transverse direction always relax
more slowly than in the longitudinal direction.
For initial stress amplitudes at the surface be­
tween 300 and 1000 MPa (45 and 145 ksi), Fig.
22 summarizes for the same steel—in conven­

io-00 1 102 104 106

Number of cycles, N

Fig 21 Absolute values of macro residual stress at the

surface versus number of cycles during alter­ pja 22 Macro residual stress at the surface In longitudinal direction versus number of cycles during alternating
nating bending tests of shot-peened AISI 4140 in a bending tests of quenched and tempered AISI 4140 (450 °C, or 840 °F, for 2 h) at different surface stress
quenched and tempered condition (450 °C, or 840 °F, for amplitudes, (a) Conventionally shot-peened condition (Tpeen = 20 °C, or 70 °F). (b) Warm-peened condition (Tpeen = 290
2 h) for a surface stress amplitude of 700 MPa (100 ksi) °C or 555 °F)

conventionally peened samples relax for cra s >
700 MPa (100 ksi). With increasing stress am­
plitude, an increasing relaxation is observed.
The reduction of the half-widths and, hence, of
the micro residual stresses is much more pro­
nounced for the samples peened at room tem­
perature compared to the other peening variant.
For the warm-peened states, the measured val­
ues after cycling are often a bit higher than the
initial values. Only for aa s > 900 MPa (130
ksi) and A ^ 104 can a significant decrease be
seen.
For the same samples peened at 20 or 290 °C
Fig 23 ^at'° 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-
peened condition (Tpeen = 20 °C, or 70 °F). (b) Warm-peened condition (Tpeen = 290 °C, or 555 °F)
(70 or 555 °F), the stability of the residual
stresses was investigated in detail (Ref 47, 48).
The depth distribution of the residual stresses
and the half-widths in the region close to the
surface was determined at different numbers of
cycles at a surface stress amplitude 1000 MPa
(145 ksi). The curves for the conventionally
peened samples in Fig. 24(a) show that the com­
pressive residual stresses in the region close to
the surface are strongly reduced with increasing
number of cycles. During the first cycle, the ab­
solute value of the residual stress of the surface
decreases from about 600 MPa (90 ksi) to 350
Stability of Residual Stresses / 65
MPa (50 ksi). After N = 1000, the |ors| value is
150 MPa (20 ksi). The depth where the residual
stresses change their sign is not significantly af­
fected. As shown in Fig. 24(a), a shot peening
treatment at 290 °C (555 °F) considerably delays
the relaxation of residual stresses. During the
first cycle, the initial absolute value of the resid­
ual stress at the surface, IcTjJ = 660 MPa (95
ksi), is reduced only by about 140 MPa (20 ksi).
After N = 1000, |ctJ = 380 MPa (55 ksi) is
measured. The affiliated depth distributions of
the half-widths of the conventionally peened
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
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
clic loading are considerably more stable than in
the conventionally peened condition. This is due
to dynamic and static strain aging effects that
occur during and after warm peening (Ref 47,
48). Dynamic strain aging results in a more dif­
fuse and stable dislocation structure caused by
pinning of dislocations by solute carbon atoms
and formation of extremely fine carbides.
The effect of stabilized residual stresses on fa­
tigue behavior is illustrated in Fig. 26, with S-N
curves at alternating bending of the convention­
ally peened and two warm-peened conditions in
comparison with the ground condition. The S-N
curves for a failure probability of P = 50% were
determined in each case from approximately 30
tests after the arcsin Jp procedure (Ref 49). Shot
peening at room temperature increases the fa­
tigue strength 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
ing at 200 and 290 °C (390 and 555 °F) increases
the fatigue strength to 590 and 640 MPa (85 and
95 ksi), respectively.
Resistance to Residual Stress Relaxation
The cyclic relaxation of macro residual
stresses can be divided into four phases (Ref 16,
17, 50):
• Quasi-static relaxation during the first half of
the first cycle, which is caused by quasi-static
deformation processes
• Quasi-static relaxation during the second half
of the first cycle, which is influenced by the
load reversal
• Cyclic relaxation at 1 .■< A < /V¡ (A¿ = num­
ber of cycles to crack initiation) due to cyclic
deformation processes, which usually leads to
a linear reduction of the residual stresses as a
function of the logarithm of the number of
cycles according to Eq 21 due to cyclic creep
• Cyclic relaxation at A¿ < N < Af (Af = num­
ber of cycles to failure) for sufficiently high
stress amplitudes at the surface, which is
66 / Effect of Materials and Processing
enforced in the plastic zones at the tips of
initiated surface cracks.
Assuming a predominantly uniaxial macro re­
sidual stress state, it is a fundamental principle
that relaxation of residual stresses at the surface
will commence within the first cycle, if the stress
amplitude aa reaches the critical loading stress
credit-1* should be noted that in the case of push-
pull tests the critical loading stress as crit is iden­
tical with the property |o^t(c)| (see the section
“Residual Stress Relaxation by Uniaxial Defor­
mation” in this article). If aa < credit, the macro
residual stresses should remain stable in the first
cycle. For A > 1, relaxation of macro residual
stresses can begin gradually if the critical load­
ing stress amplitude <x, rrit is exceeded (Ref 16,
17, 40,41,47, 48, 50):’
'> ^a,crit
Thus, the property has the meaning of a
resistance against relaxation of macro residual
stresses. Equation 16 is equally valid for the
critical cycling loading stress aacrit if Re(c),s is
replaced by the corresponding cyclic yield
strength for surface That means for a pre­
dominantly uniaxial residual stress state, relax­
(a)
(b)
Fig. 24 Macro residual stress in longitudinal direction versus distance from surface for quenched and tempered AISI
4140 (450 °C, or 840 °F, for 2 h) after different numbers of cycles at the surface stress amplitude of 1000 MPa
ation of macro residual stresses starts together
with cyclic plastic deformation in the direct sur­
face if this condition is fulfilled:
«a = (Veril = RcZCl m • <
The property m has the meaning of a residual
stress sensitivity factor. In this consideration, it
is assumed that m = 1. The macro residual
stresses are stable if the condition is fulfilled:
<J. < 0*0» = RZd ~ l<U
For cyclic bending tests under the conditions il­
lustrated in Fig. 27, the critical loading stress
°s,crit can be found by plotting the residual stress
values after the first cycle from Fig. 22 versus
the loading stress on the surface. This is given
in Fig. 28 for conventionally peened and warm-
peened samples. The data points at N = 1 show
that the critical loading stress at which quasi­
static residual stress relaxation begins is much
higher for the warm-peened condition (as crit =
500 MPa, or 70 ksi) than for the conventionally
peened variant (as crit = 310 MPa, or 45 ksi) due
to the above-mentioned strain aging effects. The
residual stress relaxation during cyclic loading
due to cyclic creep is characterized by a linear
reduction of residual stresses with increasing
logarithm of the number of cycles for 1 < N <
104 according to Eq 21. Therefore, the residual
(Eq 22) stress values at the surface after 104 cycles from
Fig. 22 can be taken as a measure of the degree
of cyclic residual stress relaxation. These values
are shown also in Fig. 28 for both shot-peened
variants versus the absolute value of the applied
loading stress amplitude at the surface aa s. The
linear fit of these points intersects the line fitted
through the residual stresses measured at N = 1
(Eq 23) at the critical loading amplitude a^crit, which is
a measure for the onset of cyclic residual stress
relaxation. This procedure leads to aa crit = 514
MPa (74 ksi) for the conventionally peened con­
dition and aacrit = 714 MPa (103 ksi) for the
warm-peened condition (see Fig. 28).
Evaluation of the Relaxation Behavior
Knowledge of the critical loading stress as crit
and the initial residual stress value of at the sur­
face enables the estimation of the compressive
yield strength of the peened surface region Re(c) s
with Eq 20 if the property la^t^l is substituted
by a. o,* according to:
l^e(c),sl ________________________ (Eq 24)
= V(Gs,crit)2 + (< 5?)2 + • üs,crit
Applying Eq 24 for the shot-peened variants in­
vestigated, clear differences ofRe(c) s can be rec­
ognized (see Table 3) (Ref 48). For both vari­
ants, however, the resulting compressive yield
strength at the surface is smaller than that of the
core region, which is qualitatively in agreement
with the results in Table 2. This is also due to
the Bauschinger effect. However, the
Bauschinger-indueed work softening is much
smaller for the warm-peened samples than for
the samples peened at room temperature, due to
the dynamic and static strain aging effects that
occur during and after warm peening.
By using the critical loading amplitude
as well as the residual stresses at the surface
cy^jV= l after N = 1, and the assumption that the
residual stress state at the surface is still almost
axisymmetric, the cyclic yield strength at the
surface RJf1 can be calculated similarly to Eq 24
by:
-fteysd = V(<W)2 + «V=l)2 + <V=1 •
(Eq 25)
These values are listed in Table 4 (Ref 48). It
can be seen that R^f for the conventionally
peened samples is much smaller than for the
warm-peened state. Moreover, the ratio of the
calculated cyclic yield strength at the surface and
that for the core region R^ycl = 1090 MPa, or
160 ksi) found in push-pull tests (Ref 28) indi­
cates that the cyclic work softening that is typical
for quenched and tempered steels does not ap­
pear in the warm-peened variant R^l/R^ycl =
1.07). The increase ofi^ycl at the warm-peened

samples is assumed also to be the result of a very
strong pinning of dislocations by clouds of car­
bon atoms and extremely fine carbides that exist
due to strain aging effects. This pinning is so
strong that even at highest loading amplitudes,
CTaj, the pinned dislocations cannot move. There­
fore, dislocations that were newly generated dur­
ing cyclic loading cause the macro residual stress
relaxation. The increase of the half-widths for
these variants during alternating bending tests
(see Fig. 23) is a further hint for this assumption.
With these relationships, the effects of the dif­
ferent peening treatments on fatigue strength can
be interpreted. Compared to the conventionally
peened condition, the significantly higher fatigue
strength of the warm-peened variants cannot be
explained only by the slightly higher compres­
sive residual stresses. Moreover, their higher sta­
bility seems to be the main reason for this be­
havior.
Behavior of Micro Residual Stresses
Residual stress relaxation when N > 1 can be
attributed to cyclic plastic deformation. In this
case, the dislocation arrangements present in the
as-received materials are rearranged to configu­
Fie. 25 Half-width versus distance from surface of a quenched and tempered AISI 1140 (450 or 840 °F, for 2 h)
after different numbers ofcyc les at a surface «tress amplitude of 1000 MPa (145 ksi). (a)
(bj 20O C C (555 F)
Stability of Residual Stresses / 67
rations characteristic of the fatigued condition at Summary
the given stress amplitude. Especially for steels
with high dislocation densities (cold-worked as The stability of the mechanically treated sur­
well as hardened or quenched and tempered con­ face state of components during the application
ditions), dislocation rearrangements are fre­ of thermal and/or mechanical energy is desirable
quently associated with work-softening pro­
cesses in the niicrocraek-free stage of fatigue.
Rearrangement of dislocations from configu­
rations typical of the machined or heat-treated
condition to that of the fatigued state is funda­
mental to the relaxation of macro residual
stresses. Residual elastic strains associated with
the macro residual stresses are once again con­
verted into microplastic strains. If fatigue soft­
ening processes are involved, relaxation of micro
residual stresses can also be expected. In the case
of machined and heat-treated materials, this
manifests itself in decreasing hardness and
sharper x-ray interference lines (Ref 16,17). Dif­
ferences in the residual stress relaxation behavior
of cold-worked, machined, and heat-treated ma­ pjo 26 ^-N curves (failure probability, P = 50%) for
terials under cyclic load can be attributed to dif­ quenched and tempered AISI 4140 (450 °C, or
840 °F, for 2 h). Samples shot-peened at different tempera­
ferent dislocation arrangements and densities.
tures are compared with the ground condition.
The closer the similarity to the dislocation con­
figuration characteristic of fatigue, the less the
extent of dislocation rearrangement and hence of
residual stress relaxation.
Fig. 27 Simplified distribution of longitudinal macro
residual stress for residual stress relaxation due
to bending
Fig. 28 Macro residual stress at the surface in longitu-
dinal direction versus absolute value of surface
stress or surface stress amplitude of quenched and tem­
pered AISI 4140 (450 °C, or 840 °F, for 2 h) after alternating
= 20 °C (70 °F). bending to N = 1 and N = 104 in conventionally shot-
peened and warm-peened conditions
68 / Effect of Materials and Processing
Table 3 Quasi-static surface yield strength in compression Re(c) s of quenched and tempered
AISI 4140 in conventionally peened and warm-peened conditions
Shot peening
temperature «writ
°C T MPa ksi MPa
20 70 310 45 -600
290 555 500 75 -660
Table 4 Cyclic surface yield strength R^scl of quenched and tempered AISI 4140 in
conventionally peened and warm-peened conditions
Shot peening
temperature ^a,crit N= 1
°C °F MPa ksi MPa ksi
20 70 514 74 -520 -75
290 555 714 103 -620 -90
in order to preserve improvements in mechanical
properties. In this connection, residual stress re­
laxation behavior is the most important aspect to
be considered. Macro and micro residual stresses
can be reduced or completely relaxed either by
heat treatment or under unidirectional or cyclic
mechanical loading.
Elastic residual strains related to macro resid­
ual stresses can be converted into microplastic
strains by suitable deformation processes—for
example, by dislocation slip or creep. The onset
of residual stress relaxation is determined by the
critical applied loading stress, ocnt, with the
meaning of a resistance against relaxation of re­
sidual stresses, which is accompanied by the be­
ginning of plastic deformation. In the case of
thermal treatment (acnt = 0), unidirectional de­
formation (acnt = c£lt(c) and Gscnt, respectively),
as well as cyclic loading (g^ = Gacrit), residual
stress relaxation occurs when under the assump­
tion of a predominantly uniaxial stress state this
relationship is valid:
l°lsl = jocritl = M?il - l°rsl (Eq 26)
The characteristic materials resistances are i?, =
Rce for thermal treatment, R, = Re(c)s andi?e(t) s,
respectively, for unidirectional loading, and Ri
= i?eyscl for cyclic loading. Stability of the resid­
ual stress state exists, and residual stress relax­
ation does not occur, if this condition is fulfilled:
|ols| < |ocrit| = |J?i| - |ors| (Eq 27)
The applied loading stress g may be zero,
have a value that does not vary with time (e.g.,
thermal residual stress relaxation), have a stead­
ily increasing value (e.g., unidirectional defor­
mation), or have a value varying periodically
with time (e.g., cyclic deformation). Since, ac­
cording to Eq 26, the onset of residual stress re­
laxation depends on the resistance of the material
Gcrit as well as on the applied loading stress g,
all the parameters characterizing the state of the
material as well as temperature and time or fre­
quency are of importance. The onset of residual
stress relaxation is delayed by the presence of
crj*
ksi MPa ksi WrOWc)
-90 801 116 0.60
-95 1008 146 0.78
Rg1
MPa ksi tig'/RF1
895 130 0.82
1156 168 1.07
sufficient stable obstacles to dislocation move­
ment, which increases Gcrit at the loads given. For
T < 0.4 Tm (Tm = melting temperature in K)
these could, for example, be grain and phase
boundaries, finely dispersed incoherent particles,
coarse secondary phases, and, as long as no dif­
fusion can occur, solute alloying atoms and cer­
tain dislocation arrangements. The onset and ex­
tent of residual stress relaxation is influenced in
a complex manner by the combined effects of
heat treatment, unidirectional and cyclic stress,
and multiaxial applied and/or residual stress
states. The kinetic of residual stress relaxation is
essentially determined by the difference | Gls| +
|Grs| — \R¡. The greater the applied loading stress
is—that is, the higher the temperature, the
longer the time, and the greater the magnitude
and amplitude of the applied stress, plastic de­
formation, or number of cycles—the greater the
increase in the rate of residual stress relaxation.
The rate often increases as the absolute value of
the residual stress increases. The fewer the stable
obstacles to dislocation slip, the faster the rate.
REFERENCES
1. E. Macherauch and V. Hauk, Ed., Proc. Int.
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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
ENTISTS traditionally consider hydrogen an un­
desirable impurity in metals and alloys, associ­
ating its presence with the origination of
floccules, porosity, and corrosion. Due to spe­
cific behavior of the element in steel, it makes
worse technological and exploitation properties
of the material. Hydrogen embrittlement (HE),
as well as other types of brittle fracture, of metals
result from nucleation and development of mi­
crocracks caused by internal stresses. Peculiari­
ties of HE are involved with steel physical prop­
erties and mechanisms of its interaction with
hydrogen. Considerable hydrogen solubility dif­
ference depending on external factors, a high dif­
fusion mobility, and the capability to form mol­
ecules on interfaces that induces a high internal
hydrostatic pressure all promote various types of
brittleness.
Hydrogen in Steel
Sources of Hydrogen Penetration in Steel.
Water-containing raw charge materials and fur­
0.4 0.6 0.8
Fig. 1 Hydrogen solubility in iron in dependence on temperature at atmospheric pressure. Data source: Ref 2-5
nace gases involved in the open-hearth (Mar­
tin’s) process are the main sources of hydrogen
penetration in steel (Ref 1). Industrial cast usu­
ally contains H2 of not less than 1.5 to 2.0 cm3/
100 g. Use of vacuum evaporation in a ladle or
at casting is the only way to decrease the content
of hydrogen in steel down to a concentration not
affecting the mechanical properties, of the steel.
Penetration of hydrogen into a carbonic and
alloyed steel was observed in a hydrogen atmo­
sphere at a high pressure (Ref 2, 3). Metal weld­
ing is one of the most dangerous technological
processes inducing penetration of hydrogen in
steel. During the process, hydrogen, contained in
electrode coatings as organic compounds and
water molecule, is dissociating, then being in the
atomic state it dissolves in a molten metal and
partly diffuses into neighboring zones of the ba­
sic material. Various electrochemical processes,
etching in acids, and interaction with liquid
agents containing hydro-sulfide also promote to
steel saturation with hydrogen. Therefore, hy­
drogen is an inevitable impurity in steel pro­
1.0 1.2 1.4 1.6 1.8
1000/r, K-1
duced during most modem metallurgical meth­
ods.
Hydrogen Solubility and Diffusion in Steel.
Hydrogen solubility in steel depends on tem­
perature and pressure to suit the following equa­
tion:
K = K 0 p U2 exp(A H/RT) (Eq 1)
where K is constant of solubility, K0 is constant
of solubility in standard conditions, R is gas con­
stant, T is temperature, and AH is endothermal
heat of solution. Those of hydrogen in pure iron,
calculated by W. Geller and T.H. Sun (Ref 4)
and then experimentally refined (Ref 5-7), ac­
count for 27230 J/ 0.5 mol H2 (6500 cal/0.5 mol
H2). Solubility of hydrogen in iron at various
temperatures and atmospheric pressures (Ref 5-
8) is shown in Fig. 1.
From recent data, solubility of hydrogen in a
metal also depends on its purity, microstmcture,
grain size, and a character of distribution of dis­
locations (Ref 9-15). The solubility curve equa­
tion for a-Fe at H pressure of 0.1 MPa (0.015
ksi) is:
lg H = — 1376/T - 0.665 (Eq 2)
where H is hydrogen concentration, at.%. Tem­
perature dependence of hydrogen solubility in y-
Fe can be evaluated from (Ref 3):
lg H = —1411/77 — 0.468 (Eq 3)
That in liquid iron at a pressure of approxi­
mately 0.1 MPa (0.015 ksi)
lg E = -1820/r + 0.112 (Eq4)
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
temperatures (Ref 16). At standard conditions, hy­
drogen gradually escapes from steel, its solubility
in steel then being negligible. At temperatures
liigher than 200 °C (392 °F) a real solid solution

of hydrogen in iron becomes unstable (Ref 17).
Thermodynamic data of H diffusion in iron at
high temperatures are well reproducible in vari­
ous works (Ref 18-20) that cannot be told about
the data obtained below 200 °C (392 °F). Dif­
fusion mobility of hydrogen in iron at low tem­
peratures varies in a vide range and depends on
imperfection of the crystal lattice and the content
of impurities. For example, Ref 21-24 there
were obtained values of the diffusion coefficient
at 25 °C (77 °F) varying from 10 “9 up to
10 “ 5cm2/s. When studying diffusion in pure
iron by intensity of hydrogen emission out of
massive samples, it was found that its diffusion
mobility is sharply depressed at lower than 200
°C (392 °F) (Fig. 2). Above 200 °C (392 °F) the
diffusion coefficient is the following:
D = 1 -4 • 10-3 exp (-3200/ kT) cm2/s (Eq 5)
Below 200 °C (392 °F) that is:
D = 0.12 exp (-7820/ kT) cm2/s
Just as impurities forming interstitial solid so­
lutions, hydrogen interacts with various crystal
defects, creating nonuniform solid solutions.
Presence of microdeformation near the crystal
imperfections increases hydrogen solubility
there. Therefore, the solubility of hydrogen in
steel rises with an increase in density of defects.
When diffusing inside the crystal, hydrogen at­
oms are retained by the lattice imperfections, and
its effective diffusion coefficient essentially de­
creases. This results in sharply diminishing dif­
fusion mobility of hydrogen in iron at low tem­
peratures. Defects retaining hydrogen are known
as traps. Its concentration controls an excessive
hydrogen solubility, compared with the lattice
one (i.e., in an ideal lattice). Moreover, the num­
ber of places caphiring hydrogen is inversely
proportional to the value of the effective diffu­
sion coefficient.
The role of traps can be played by edge dis­
locations, boundaries of mosaic blocks or grains,
single pores uniformly distributed in crystals, in­
clusions of a second phase, and atoms of alloy­
T, °C
800 400 200 100 25
1000/7; K-1
Fig. 2 Diffusions of hydrogen in pure annealing iron.
Source: Ref 18-25
Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 71
ing elements. The energy of hydrogen interac­
tion with different structural components varies
in a narrow interval (0.1-0.4 eV per atom). In
particular, the one with dislocations in iron was
evaluated as about 1.6 • 10—20 J (0.1 eV per
atom) (Ref 25).
The Role of Stresses. Hydrogen atoms interact
with any anisotropic strain field, similar to its
interaction with dislocations. If concentration of
hydrogen atoms is insignificant, then distribution
of the dissolved ones in a strain field of a crystal
lattice can be found using:
C = C0 • exp (-U/kT) (Eq 7)
where Cis a concentration of hydrogen in a cer­
tain point of the field, C0 is an average concen­
tration, k is the Boltzmann constant, T is the kel-
vin temperature, and U is the interaction energy
of hydrogen atoms with the strain field in the
place of a defined concentration, C.
Accounting for only hydrostatic components
(Eq 6) of the field, the interaction energy', U, makes:
U = p ■ dV (Eq 8)
where p is an average hydrostatic pressure, that
is,/? = Vs (g + Gyy + gzz), and dV is the lattice
xx
volume alteration under the influence of hydro­
gen.
From these equations it follows that at a con­
stant temperature the following condition is
valid:
In (ClCo) • A = ‘i(on + ayy + azz) (Eq 9)
where A = kT/dV.
According to (Eq 9), hydrogen in the crystal
lattice is redistributed under stress influence.
These deductions were confirmed with experi­
ments (Ref 26, 27). It is settled that the effective
diffusion coefficient of hydrogen essentially de­
creases, and its solubility increases under load­
ing the metal in a macro-elastic interval (below?
yield strength). Thus, stresses promote nuclea-
tion of new? reversible hydrogen traps, disap­
pearing after elimination of an external stress.
Similar sites arise near the crack tip, in a several
Fig. 3 Influence of hydrogen on crack propagation. Source Ref 28
micron size zone of maximal three-axis stresses,
where hydrogen dissolved in the metal lattice
diffuses and its concentration in steel at equilib­
rium conditions attains maximal values as:
C£ax - Co • exp (1.9 • 1(T3 • o y) (Eq 10)
Therefore, in steel having the yield strength cy
of approximately 1725 MPa (250 ksi) the equi­
librium concentration of hydrogen in the zone of
maximal tensile stresses exceeds its content in
volume by 26 times (Ref 28) (Fig. 3).
At absence of a crack or any other concentra­
tor, the stresses are localized in front of a dis­
location pile-up, where considerable enrichment
with hydrogen also can be observed. Both fac­
tors, concentration of tensile stresses and dis­
solved hydrogen, initiate nucleation of cracks
and promote its propagation.
Hydrogen Effect on Structure and Phase
Transformations in Steel. The basic conse­
quence of hydrogen presence in iron and steels
at solidification is the development of porosity,
due to a gas-eutectic transformation (Ref 29)
similar to the well-investigated eutectic one. To­
tal amount of pores is proportional to those of
dissolved hydrogen and is inversely proportional
to the pressure of crystallization. Hydrogen in
steel stabilizes austenite and decreases the criti­
cal point A3, the temperature of martensite trans­
formation, and the critical rate of cooling for
quenching (Ref 29). This is the cause of marten­
site formation even in a carbon-free iron at stan­
dard rates of cooling. Unlike a carbonic marten­
site, at low temperatures of tempering there
arises a hydrogen-free martensite and a gaseous
hydrogen escaping from a sample or accumulat­
ing in micropores, creating high pressure and mi­
crocracks like floccules (Ref 29).
States of Hydrogen in Steel. Hydrogen ab­
sorbed by metal can be present in various states:
• An interstitial solid solution
• A segregating one on imperfections of the
crystalline structure
• Adsorbing one on the surface of micropores
and particles of second phases
72 / Effect of Materials and Processing
• In a molecular form, accumulating in micro­
pores
• Forming hydrides
• Interacting with alloying el ements and second
phases
When hydrogen solutes in transition metals,
its s-electrons transfer to a vacant d-shell of a
metal with the lower energy level. The free pro­
ton of hydrogen is partly screened by electrons,
which as electronic gas can be involved in its
moving in the metal lattice (Ref 28). Hydrogen
reduces a shear modulus of tx-iron; at 100 K tem­
perature, tliis is approximately an 8% dea ease
per 1% of hydrogen atoms (Ref 30). At a room
temperature and standard atmosphere pressure
the solubility' of hydrogen in steel is insignifi­
cant; its supersaturated solid solution is unstable
and decomposes over- time. One part of hydrogen
dissolves into the atmosphere and another is
caught by crystalline lattice imperfections. It is
necessary to distinguish two types of defects ac­
tive in relation to hydrogen—pores (or collec­
tors) and traps. Collectors represent volumes
where hydrogen molization is observed and a
considerable hydrostatic pressure develops,
flaps represent defects of smaller sizes than col­
lectors, such as vacancies, substitution and in­
terstitial atoms, edge dislocations, its pile-ups
and thresholds, high-angle boundaries, and fiel ds
of a volume tension (i.e., near the crack tip).
There is a principle difference between traps and
collectors. Transition of hydrogen from a crystal
lattice into traps is reversible, while transition
into collectors is accompanied by formation of
H2 molecule and is nonreversible. The consid­
ered features depend on a steel structure.
Ferrite-Pearlite Seels. Nonmetallic inclu­
sions, such as manganese sulfides, are traps of
hydrogen in these soft steels. The maximum sol­
ubility of hydrogen in such steel depends not
only on the content but also on the shape of man­
ganese-sulfide particles. The rolled-out pro­
longed ones increase hydrogen solubility' and de­
crease its effective diffusion coefficient in
20 pm
M icrofloccule in ferrite-pearl ite steel. Courtesy of
Fig. 4
A.I. Kovalev
directi on perpendicular to the planes enri chedby • Corrosion cracking: For the most part is tied
the inclusions. with precipitation of an atomic hydrogen dur­
dobularization of the sulfides dea eases hy­ ing corrosion reactions, its adsorption on the
drogen solubility' and increases its effective dif­ surface and dissolution in metal with devel­
fusion coefficient. Sulfide-matrix boundaries are opment of hydrogen embrittl ement
the sites of a preferential accumulation of dis­
Main Aspects of the Hydrogen Embrittle­
solved hydrogen, essentially weakening the co­
ment Theory, Definite kinds ofHE involve two
hesive forces and promoting disruption of the
basic aspects—the mechanism of hydrogen
interface continuity.
transfer to a fracture place, and 2-H influence on
Martensitic Seels. High interior residual
the steel fracture toughness.
stresses inducing an elastic bend of the mar ten­
Usually hydrogen is transported by moving
site crystals and localizing in places of its junc­
dislocations or diffuses (itself) through the crys­
tion with boundaries of primary austenitic grains
tal lattice under inhomogeneous fields of elastic
are characteristic for these steels having the
stresses (Ref 37-40). Being in steel, hydrogen
structure of an untempered martensite. In addi­
tion, martensitic steels feature a high density' of decreases the fracture work by influencing mech­
anisms of plastic deformation and reducing the
crystalline structure defects, which are bound­
energy of disruption of interatomic bonds near
aries of grains and twins, single dislocations. All
the crack tip.
these elements of structure affect solubility’ and
In ferrite-pearlite steels, HE is accompanied
diffusion of hydrogen in steel. Dispersed ce-
by nonreversible structural damages in the form
mentite particles observed after tempering also
of micropores containing molecular hydrogen
act as traps for hydrogen, hi mar aging steels such
under high pressure. Those conditions, however,
a role is executed by intermetallic-matrix inter­
are not enough for steel fracture that occurs due
faces and elastic deformation fields around the
to hydrogen migration together with moving dis­
inclusions.
Types of Hydrogen Embrittlement. In gen­
locations into the zone of deformation near the
tip of a developing crack. Fracture of soft steels
eral, hydrogen affects metals in two ways:
is always accompanied by a considerable plastic
• Physical action at low temperatures when deformation essentially affected by hydrogen
chemical reactions are not observed (Ref 37) facilitating the beginning of plastic de­
• Physical-chemical effect when a chemical in­ formation of ferrite due to adsorption effects.
teraction of hydrogen with various phases and However, hydrogen increases the hardening co­
components of an alloy on the surface and in efficient at higher defoimation degrees (Ref 41).
the bulk is observed As a result, it localizes the plastic deformation
in the zone of fracture, essentially reducing the
The attempt to enumerate all the phenomena plasticity’ of steel and diminishing the total frac­
tied with harmful influence of hydrogen in met­ ture energy.
als was made in 1972 (Ref 31). Reference 28 In steels with martensitic structure, hydrogen
specifies the following results. migrates through the field of elastic deforma­
tions into tlie zone of three-axial stresses before
• Hydrogen corrosion: Develops in carbonic
the front of a crack (Ref 42,43). When the con­
and low-carbon steels at long-term exposure
tent of external and dissolved hydrogen reaches
in a high-pressure hydrogen at high tempera­
a critical value, the crack immediately propa­
tures. The cause of this brittleness is hydro-
gates by the mechanism of disruption of intera­
gen-carbon interaction accompanied by steel
tomic bonds (Ref 44). In this case, the basic
surface decarbonization and methane forma­
mechanism of HE is tied with breaking weak­
tion (Ref 32).
ened bonds in grain boundaries and decreasing
• Primary gas porosity: Develops due to hy­
drogen precipitation in a molecular form in a the plastic defoimation energy' in local sites of
ductile fracture.
smelt or in the front of crystallization (Ref33)
Forms of HE of steels are numerous, but only
• Secondary porosity: Develops at decompo­
in some cases (floccules, delayed fracture, and
sition of a supersaturated solid solution with
stress corrosion) the role of macro and micro
formation of small submicroscopic pores
stresses influencing hydrogen behavior is clearly
filled by hydrogen (Ref 33, 34)
defined
• Decreasing plasticity under tension: Ob­
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.
metal exposing in a water vapor or in corro­ Only when considerable axial stresses are pres­
sion agents containing H2S (Ref 33, 35) ent in a pre-form, the orientation of floccules al­
 Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 73
ters and can be perpendicular to the axis. By
macroscopic investigation of fracture surfaces of
steel affected by floccules, the light brilliant
spots of an oval shape are observed. Fractogra-
phy research of those sites, using an electronic
microscope, allows the detection of the micro
quasi-chips involving a slightly expressed river-
pattern picture, pores, and plastically opened
hairline cracks (Ref 44). These defects can be
found in all steels, but mostly they are observed
in chromic, chrome-nickel, clirome-nickel-tung­
sten, and chrome-manganese steels. Floccules
originate in forged pieces or rolled stock of large
section some distance apart on the surface under
accelerated cooling at temperatures below 150 to
200 °C (302 to 392 °F), sometimes at 300 °C
(572 °F), but more often at room temperature.
One of the main reasons of floccules formation
is a dissolved hydrogen that does not have
enough time to escape large forged pieces at
temperatures below 200 °C (392 °F) and diffuses
into neighboring pores, creating molecules and
considerable gas pressures (Ref 45, 46). How­
ever, hydrogen present in metal is a necessary,
but not the only, condition for origination of the
defects under consideration. Internal tensile
stresses developing under plastic deformation,
non-uniform cross section cooling of steel wares,
and structural transformations stimulate forma­
tion of floccules (Ref 47-49). Decrease of rup­
ture resistance in sites enriched by nonmetallic
inclusions or in liquation zones promotes this
kind of brittleness. The most favorable condi­
tions occur when the flocculation temperatures
coincide with an interval of development of mar­
tensite transformation. Dissolving in austenite in
a higher quantity than in martensite, hydrogen
during martensite transformation moves from a
solid solution into pores. Resultant high hydro­
static pressures summarize with stresses caused
by volume alteration under y —> a phase trans­
formation. For this reason, a quenched-in-air
chrome-nickel steel is very susceptible to floc­
culation. This is Ihe result of total action of the
molecular hydrogen pressure in pores and the
field of tensile stresses existing in the metal (Ref
50). Floccules are developing during the time,
and the process quite often does not terminate
when cooling finishing and continues for many
hours at room temperature.
At high contents of hydrogen and tempera­
tures approximately 400 to 600 °C (752 to 1112
°F), formation of H2 molecules in pores results
m intergranular brittle failure of steel, without
participation of external (relative to the pores)
stresses. For fracture at lower hydrogen concen­
trations and temperatures below 200 °C (392 °F),
the combined effect of tensile stresses and gas
pressure in pores is necessary. In that case, a
brittle transgranular failure develops.
Processes of formation of floccules are non-
reversible. An extremely slow cooling after de­
forming a preform made of steel susceptible to
flocculation prevents its development. The same
effect was observed at a prolonged isothermal
annealing at heightened or high temperatures.
However, heating in an atmosphere containing
even 12 to 15% hydrogen can again make steel
susceptible to flocculation. That tendency of
steel can develop at welding or cementation
when wares are quenched directly after treatment
heating. Floccules are not observed in a number
of superalloyed steels such as fenitic, semifer-
ritic, and austenitic. High-speed steels are not
susceptible to flocculation, in spite of the fact
that very high internal stresses at accelerated
cooling develop there. Influence of alloying ele­
ments on steel susceptibility to flocculation is
tied with action on austenite transformation un­
der cooling, anisotropy of properties, and a quan­
tity of generated hard inclusions. At Ac3 tem­
perature decreasing and Ac3-Ar3 hysteresis
increasing the diffusion of hydrogen and its es­
caping off steel pre-forms becomes slower. This
explains a high susceptibility to flocculation of
a clirome-nickel steel after its alloying with mo­
lybdenum or tungsten. Manganese and silicon,
promoting anisotropy of mechanical character­
istics of a rolled stock, favor its susceptibility to
flocculation. Increasing concentration of carbon
in a hydrogen-containing steel promotes forma­
tion of methane and floccules.
Preventing Flocculation in Steel. The main
condition of preventing floccules in steel is de­
creasing its supersaturation with hydrogen and
elimination of H2 molecule formation at tem­
peratures below 200 to 300 °C. Also, it is nec­
essary to minimize the anisotropy of mechanical
properties of deformed pre-forms. Melting and
casting of steel in a vacuum is the basic and the
most effective way to eliminate of floccules.
Transportation to forging and rolling of ingots
in a hot state, being in common practice, is un­
desirable for a steel susceptible to flocculation,
because a high quantity of hydrogen remains.
Special heat treatment schemes preventing floc­
culation are available for large pre-forms made
of steels of various classes.
Delayed Fracture in Steels
Delayed fracture, or the real hydrogen em­
brittlement, is an evolving-in-time process of
cracking (fracture) materials exposed to hydro­
gen and static stresses. This type of hydrogen
embrittlement is the greatest practical problem,
especially for high-strength steels, as far as the
initiation and the growth of crack with hydrogen
present are observed at stresses much less than
the yield strength of steel. The crack growth up
to the critical value with hydrogen present begins
accordingly at the threshold value of the stress
intensity coefficient, KUh, which has a much
lower value than the fracture toughness in the air
or inert medium, Klc. Thus, the danger of the
delayed fracture process exists in that the frac­
ture of constructions occurs under loads that are
entirely undangerous under normal operating
conditions (i.e., in the absence of hydrogen). An­
other important point is that the process of de­
layed fracture develops most intensively at tem­
peratures close to room temperature, at which the
overwhelming majority of materials and prod­
ucts are used.
The main factors determining the kinetic fea­
tures of delayed fracture are the chemical com­
position and the structure of steel, a hydrogen
content, the presence of stress concentrators, the
test temperature, the amount and the distribution
of impurities and nonmetallic inclusions, and the
presence of inherent stresses (Ref 29). In this
case the delayed fracture can develop both under
the effect of external hydrogene ons media and
inherent hydrogen having entered the metal as
the result of melting, welding, etching, anticor­
rosive electroplating, and other production
operations. An example is in the formation of
so-called cold cracks in the heat-affected zone
while welding alloyed steels (Ref 51). The in­
creased hydrogen content in the near-weld zone
is the result of hydrogen diffusion from the melt
where it enters due to dissociation of moisture
in electrode coating (welding flux) (Ref 52, 53).
The effect of the steel-strength level on the
resistance to delayed fracture has been supported
by many studies. It has been shown that at the
low-strength level (up to 750 MPa, or 110 ksi)
the influence of hydrogenation is comparatively
moderate. At strength more than 1000 MPa (145
ksi), the resistance to delayed fracture reduces so
that the value of the threshold stress, ath, de­
creases to <200 MPa (29 ksi) (Ref 53). It has
been found also that as to the high-strength
steels, especially in the presence of stress con­
centrators, delayed fracture can develop even
with the low-hydrogen content not exceeding ap­
proximately 1CT4 at.% (1.1 cm3 per 100 g of
metal) (Ref 1). Numerous examples of delayed
fracture of products fabricated from high-
strength alloyed steels (shafts made of Fe-0.45C-
2Ni-Cr-Mo-V steel, axles made of Fe-0.2C-2Cr-
4Ni steel in the carburized state, etc.) are
presented in a monograph (Ref 54). The presence
of internal hydrogen in association with high re­
sidual stresses with a value reaching 1000 MPa,
(145 ksi) is the most commonly occurring cause
for delayed fracture in the case under consider­
ation.
A great deal of publications in which various
methods of hydrogenation are presented are de­
voted to the study of delayed fracture of steels.
A main body of experimental data has been ob­
tained with the use of the cathode polarization
method. Therefore, in analysis of the influence
of chemical composition and structure, it is nec­
essary to take into consideration that, because of
electrolytic hydrogenation of large-size samples,
the occurrence of nonuni form distribution of hy­
drogen over the section can give rise to the large-
scale effect (Ref 55). Hydrogenation from the
gas phase under conditions of elevated tempera­
tures (above 473 K) may cause irreversible dam­
ages in the form of bulgings and pores appearing
because of high pressure during the formation of
inner molecular hydrogen or methane. Addition­
ally, in this case the probable surface decarbu­
rization can also have an effect on the initiation
and growth kinetics of cracks (Ref 56). From a
practical standpoint, on the contrary, these im­
74 / Effect of Materials and Processing
portant experiments make it possible to simulate
service conditions for the purpose of developing
adequate measures to eliminate delayed fracture.
Main Criteria of Delayed Fracture of
Steels. In general, steel delayed fracture takes
pig 5 Curves of long-term strength of hydrogenated
& steel (scheme). 1, time before failure u; 2, incu­
bation period 0V upper critical stress; 0,h, lower criti-
castress. Source: Ref 35, 56, 57
pig 5 Dependences of long-term strength of iron (1,
1'), steel Fe-0.2C (2, 2'), steel Fe-0.45C (3, 3')
and steel Fe-0.8C (4, 4'). 1 -4, unhydrogenated state (test­
ings in the air); 1 '-4' testings in the process of hydrogen­
ation. Source: Ref 59
Stress intensity factor, K|
F¡g 7 Schematic illustration of kinetic diagram of
cracking of hydrogenated steel. Source: Ref 57
three stages—crack initiation; its slow growth
up to the critical value; and the stage of the un­
stable, accelerated crack growth. It is common
practice to characterize the sensitivity of steels to
delayed fracture depending on their chemical
composition and structure by so-called long-term
strength dependencies (Fig. 5), which usually are
represented in coordinates: applied stress g, log­
arithm x, where x is the time up to fracture. De­
pendencies mentioned are typical for both smooth
samples and samples with the stress concentrator.
The preliminary hydrogenation in constructing
dependencies, x = /(c), can be performed by any
of the known techniques—cathode polarization,
for example. These dependencies take the analo­
gous character on tests performed just in hydro-
geneous media (e.g., on tests in gaseous hydrogen
medium, hydrogen sulfide medium, or in the pro­
cess of the electrolytic hydrogenation) (Ref 35,
56, 57).
In an analysis of dependencies x = /(a), the
following characteristics are used as the main pa­
rameters:
• The upper critical stress, al5 which corre­
sponds to the value of the tensile strength of
hydrogenated samples
• The lower critical (threshold) stress, Gth (i.e.,
the stress lower which the delayed fracture
process does not develop)
• The time before the crack initiation, x, (an in­
cubation period)
• The time up to final failure, x, which char­
acterizes the prolonged strength of steel (Ref
35). Thus, a “dangerous” area of stresses
where the delayed fracture process develops
is an interval between the upper and lower
critical stresses. In this case the value of the
lower critical (threshold) stress, g^, repre­
sents a crucial important characteristic,
namely, the prolonged strength limit of steel
under the specific conditions of hydrogen em­
brittlement.
It is apparent that as the hydrogen content in
steel increases, all of the parameters mentioned
are changed. This especially affects the value of
the threshold stress, a*; the duration of the in­
cubation period, x¡; and the time up to fracture,
x. From the data given in (Ref 58), for example,
it follows that as the hydrogen content in high-
strength steel (1600 MPa, or 232 ksi) increases,
the duration of the incubation period succes­
sively decreases from several tens of hours to
several seconds. The time up to fracture in the
limiting case does not exceed 0.1 h. The duration
of the incubation period, x„ is influenced by the
preholding under load including holding under
stresses a < Gth. Reduction of x¡, observed in
this case is due to the formation of sites with the
increased hydrogen concentration, which then
serve as points of the crack initiation (Ref 35).
Curves of the long-term strength of iron, and
steels Fe-0.2C, Fe-0.45C, and Fe-0.8C are given
in Fig. 6 (Ref 59). Samples have been polished
mechanically and annealed in vacuum. Delayed
fracture tests have been carried out while holding
the samples under load in the conditions of con­
tinuous cathode saturation with hydrogen in the
26% aqueous solution H2S04 (the current den­
sity i = 10 mA/sm2). Smooth thin plates with
the cross section of 0.8 X 3 mm (0.03 X 0.12
in.) that ensures the through saturation of sam­
ples with hydrogen have been used as samples.
From the results obtained it is evident that the
higher the hydrogen content in steel is, the more
tangible the decrease of the long-term strength,
and it does not practically take place in the case
of armor-iron and low-carbon steel Fe-0.2C. The
value of the threshold stress for steel Fe-0.45C
is of 150 to 170 MPa (20 to 25 ksi) that is several
times lower than the yield strength of this steel.
The lifetime of samples with the stress con­
centrator under load is mainly determined by the
time before the crack initiation (i.e., the duration
of the incubation period) (Ref 55). In the study
of crack growth it is worthwhile to construct so-
called kinetic diagrams of cracking (i.e., depen­
dencies of the crack growth rate, v, on the stress
intensity factor, Kv To construct kinetic dia­
grams of cracking, fatigue precracked samples
are used. The character of kinetic diagrams of
cracking is shown schematically in Fig. 7. Some
characteristic sections can be distinguished in
the diagram. At section I, which corresponds to
the threshold value of the stress-intensity factor,
iCUh, the crack does not practically grow or
grows very slowly. Therefore, it is assumed that
the value of Alth characterizes the condition of
crack nonpropagation in metal. In section II, the
crack growth rate increases rapidly, whereupon
in region III, the crack growth rate over a wide
range, Ku is retained practically unchanged. Un­
like the stage of accelerated, unstable fracture
(section IV), the stage of the slow, stable crack
growth can embrace the greatest part of longev­
ity of a product. It is apparent that the delayed
fracture development at tliis stage is controlled
by the rate of transferring hydrogen to the region
of the crack top. At section IV, the crack growth
rate increases rapidly again, and at K} = Ajc
(plane-strain fracture toughness) the final frac­
ture occurs. The characteristic most sensitive to
the hydrogen content is the value of the threshold
coefficient of stress intensity, A‘lth. According to
data given in Ref 60, an increase of diffusely
moving hydrogen content in high-strength steel
Fe-15Cr-5Ni-2Cu-Ti from 0.14 ■ 10“4 to 2 ■
10 ~4 at.% causes the value of Klth to reduce by
77%.
Besides the main characteristics just dis­
cussed, a number of other characteristics also
have been suggested for defining the sensitivity
to delayed fracture. For example, dependencies
of the initial coefficient of stress intensity, K} 0,
the time up to fracture, x, type are suggested to
be used (Ref 60). In this case long-term strength
curves can be described by the logarithmic re­
lations of the Kw = - a • lnx + b type bounded
by the value Ajc at the top and the threshold
value of the stress intensity coefficient A’lth at the
bottom. In work (Ref 61) it was suggested to
construct the long-term strength curves in coor­
dinates g — 1/Vx, but not in conventional co­
ordinates g — lg x. In this case dependencies of
 Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 75
the long-term strength x = f(o) are transformed
into straight lines convenient for further treat­
ment according to the equation cr = ath +
c( l/ /c), where c is a constant. And finally, the
material sensitivity to delayed fracture may be
estimated by its sensitivity to the deformation
rate, namely, by the degree of their plasticity de­
crease under static loading at the rate of s =
10~4 — 1 O'"5 sec-1. Such tests, for example,
are in common practice among Japanese re­
searchers in making an estimate of the sensitivity
to the delayed fracture of high-strength maraging
steels (Ref 62-64).
Mechanism of Crack Initiation and Its
Growth. It is the opinion of the authors who
studied a phenomenon of delayed fracture, that
in a qualitative sense the mechanism of the crack
initiation when the inner hydrogen embrittle­
ment is as follows. For a crack to be initiated,
the critical concentration of hydrogen C* must
be created in local sites. The hydrogen redistri­
bution in the solid solution is initiated by the
stress field produced by outer load. With the uni­
form distribution of tensile stresses, the value of
the chemical potential of hydrogen, p.0, is the
same in the whole iron-hydrogen system; there­
fore, the hydrogen redistribution does not take
place. With the nonuniform distribution of
stresses, for example, because of the presence of
a concentrator, the pattern is essentially changed.
At the top of the concentrator (in the region of
maximum tensile stresses), the hydrogen chem­
ical potential, jn,, becomes less than that one in
the rest of the regions of the system, \i2. The
appearance of the chemical potential gradient (jLt5
< ¡i2) brings about the diffusion of hydrogen into
the tensile stress region that with time gives rise
to the critical concentration of hydrogen C* and
the crack initiation. The critical concentration of
hydrogen C* is directly proportional to the
square root of the time of diffusion (C* — C0 =
p ,/t, where p is the coefficient of proportionality)
and must be so much higher than the level of
applied stresses is lower (Ref 61).
It is apparent that the increase of the hydrogen
content causes a decrease of the duration of the
incubation period, x¡, which is necessary for cre­
ating the critical concentration of hydrogen.
Lowering of the temperature gives the reverse
result (i.e., an increase oft, caused by a decrease
of the hydrogen diffusion rate). Since to create
the critical concentration of hydrogen it is essen­
tial to localize tensile stresses, the crack initia­
tion depends on the ripe of samples used. In
samples with no concentrator, the crack initia­
tion occurs, as a rule, in the axial part of a sample
(i.e.. in Hie zone of maximum three-axis stresses
where the hydrogen concentration is also maxi­
mum). In samples with the sharp stress concen­
trator, the crack initiation takes place adjacent to
its top; in the case of the less sharp and deep
notches, the failure begins at a certain distance
from the notch top (i.e., under the surface) (Ref
35). At the moderate temperatures, hydrogen
gathers mainly on phase boundaries, microdis­
continuities, grain boundaries, piling-up dislo­
cations, and other defects. Therefore, sites of or­
igin of fracture can be both the interphase
boundaries between ferrite and cementite and
nonmetallic inclusions as well—for example,
sulfides, which are the most efficient traps for
hydrogen (Ref 56).
The crack growth kinetics upon the internal
hydrogen embrittlement also is controlled by the
hydrogen diffusion rate into the region of max­
imum tensile stresses ahead of the crack top. It
is suggested that this region is on the boundary
of the plastically deformed zone or at the much
less distance equal to the double opening of the
crack, 8. As soon as the hydrogen concentration
becomes critical in the weakest element of a
structure, fracture of this element occurs, follow­
ing which the crack formed merges into the main
one (Ref 65). The crack propagation is under
progress due to the multiple recurrence of this
process. Therefore, the crack growth can be con­
sidered as the process consisting of a sequence
of incubation periods, followed by the restricted
advance of the crack. The process of the crack
stepwise growth is displayed evidently under the
testing conditions at lowered temperatures when
the process of hydrogen diffusion is retarded
(Ref 35). The occurrence of the incubation pe­
riod of the crack start and the stepwise advance
of separate sections of the crack front is evident
from the results of the registration of the acoustic
emission, which have been obtained from testing
of low-alloy steel with 0.4% C content (Ref 66).
In addition, the registration of the acoustic emis­
sion is indicative of the realization of more com­
plicated mechanisms of the crack growth. For
example, when performing work (Ref 67) for
testing the high-strength maraging steel, a
growth of a great quantity of microcracks, 30 to
50 mkm in size, which appeared at 1 to 3 mks
intervals, was revealed.
Contrary to the internal hydrogen embrittle­
ment, in the external hydrogen embnttlementthe
crack growth kinetics is controlled mostly by the
following surface phenomena: adsorption, dis­
sociation, and chemosorption of hydrogen on the
metal surface. The following experimentally ob­
served effects serve as a guide for tins statement:
• The crack growth in the gaseous hydrogen
medium begins practically instantaneously
after applying an external load with no
marked incubation period.
• The activation energy of the process at the
stage of the stable crack growth (region III,
Fig. 7) differs noticeably from the activation
energy of the hydrogen diffusion in a solid
solution and is comparable to the activation
energy of surface processes.
• When gaseous hydrogen is doped with im­
purities, which activate (H2S) or suppress
(S02), the process of the surface interaction
of metal with hydrogen, the crack growth rate
is also increased or reduced, respectively (Ref
57). The location of the failure zone ahead of
the growting crack front depends also on the
type of hydrogen source. In case of the ex­
ternal hydrogen embrittlement, the failure
zone, as a rule, does not reach the point of the
maximum tensile stresses (i.e., it is located
much nearer to the crack top than it is at the
internal hydrogen embrittlement) (Ref 65).
The extent of the embrittlement in the medium
of gaseous hydrogen depends both on the pres­
sure and the chemical composition of a medium,
in part, of the steam content and oxygen, as well.
In the case of high-strength steels a dramatic ef­
fect of the hydrogen pressure on the crack
growth rate has been revealed at pressures not
exceeding 1.3 • 10_3 MPa (Ref 68). The pres­
ence of steams in the hydrogen atmosphere has
a quite profound initiating effect on the delayed
fracture development. Oxygen has the opposite
effect of efficacious retarding of the crack
growth up to the critical value. On data given in
Ref 69, for example, a mere 0.6% of 02 is suf­
ficient for the complete stop of the crack devel­
opment in the medium with humidified hydrogen
(steel with the yield strength of 1600 MPa, or
232 ksi). The crack stopped by oxygen begins to
grow again only after the complete removal of
oxygen from the medium of tests. It is suggested
that oxygen forms oxides that prevent the hydro­
gen from penetration into the crack top, and after
the removal of oxygen the reverse process occurs
(i.e., oxides are restored by hydrogen) (Ref 70).
The temperature factor should be set off from
other factors that affect the character of delayed
fracture. According to the data in hand, the max­
imal sensitivity of steels to delayed fracture takes
place at temperatures close to, room temperature
(Ref 29). But in a number of cases this regularity
is not obeyed. In Ref 71, the temperature depen­
dence of the delayed fracture of the high- strength
steel Fe-15Cr-5Ni-2Cu-Ti containing 5 • 10~4
at.% of hydrogen was studied. The threshold
value of the stress intensity coefficient for this
steel is Km = 46 MPa m1/2. At 20 °C (68 °F)
the crack growtih occurs at the rate of 2 • 10~7
m/s. At 100 °C (212 °F) the crack growtih rate
up to the critical value increases by more than
300 times and reaches 6.6 ■ 10 _5 m/s. In this
case the time up to fracture (x) reduces from 500
to 600 min at 20 °C (68 °F) to x = 5 to 6 min
100° C (212 °F). At the temperature of 180 °C
(356 °F) the development of delayed fracture
stops completely. The calculation of the activa­
tion energy of the crack growff Q has shown
good agreement between the obtained value
(64.8 kJ/mol) and the activation energy of the
hydrogen embrittlement (60.9 kJ/mol).
Chemical Composition and Structure In­
fluence. The resistance of steels to delayed frac­
ture depends on the carbon content, alloying, and
impurity elements. From the data given in Fig.
6, it is evident that a buildup of the carbon con­
tent is attended by the significant reduction in
the resistance to delayed fracture. This effect de­
rives from the fact that wtith increased carbon
content the strength properties of steel are im­
proved, the level of residual internal micro­
stresses is raised, and the amount and volume of
the carbide phase are increased. The interphase
surface area (i.e., the number of places, or traps,
for the accumulation of hydrogen and the crack
initiation) is correspondingly increased (Ref 29).
76 / Effect of Materials and Processing

The influence of alloying elements is also
quite profound. The effect of noncarbide-for­
mative alloying elements (Mn, Al, Si, Co, Ni) is
mainly connected with their influence on the
properties of matrix—that is, with the change of
its resistance to the viscous, brittle, and grain­
boundary fracture. These elements (but Ni) de­
crease the long-term strength of steels subjected
to quenching followed by high tempering (Table
1). Carbide-formative elements (Cr, Mo, Ti, Nb,
V) have an influence mainly through the change
of the amount of the carbide and carbide-nitride
phase, its distribution, and morphology. The
positive influence of molybdenum, niobium, and
vanadium, which bring about to an abrupt in­
crease of the time up to fracture, t, is most pro­
nounced (Table 1). In the case of noncarbide-
formative elements there is, as a rule, a direct
relationship between the resistance to the hydro­
gen embrittlement and standard characteristics
of brittle fracture—for example, the critical tem­
perature of brittleness, T5Q. In the case of car­
bide-formative elements such an unambiguous
relationship usually is not observed (Ref 72).
As to impurity elements, phosphor and sulfur
have the most negative influence (Table 1). The
negative influence of sulfur is connected with the
formation of manganese sulfides MnS, which,
just as indicated, are the most effective traps for
hydrogen. Manganese sulfides assist in initiating
cracks at more low critical concentration of hy­
drogen C* in the region of maximal tensile
stresses as evidenced by the results of the reg­
Table 1 Influence of alloying elements and impurities on transition temperature, Tso; work
of propagation of a ductile crack, A; plasticity loss after hydrogenation, A|/ and resistance
to hydrogen embrittlement, x (chromium-molybdenum steel, 0.2% C)
Element (limits of Optimal content of
alloying, mass, %) the element, mass, %
d
Cd
d
CD
istration of hydrogen in the fracture zone (Ref
73). In tills case, a decrease of sulfur to a degree
less than 0.005 wt% does not protect against the
development of the hydrogen embrittlement.
The form of nonmetallic inclusions also has a
dramatic influence, especially in steels with the
ferrite-pearlite structure. Inclusions of the spher­
ical fonn are considered to be the safest ones.
The negative role of sulfur can be connected in
that this element has a retarding effect on the
recombination of hydrogen atoms on the steel
surface and so brings about an increase of the
amount of absorbed hydrogen (Ref 74).
Phosphoms and its analogs (Sb, Sn) are the
most dangerous on formation of segregation at
grain boundaries—that is, in the process of ther­
mal treatment, which results in the development
of the temper embrittlement (Ref 75-77). In the
absence of segregations the steels fracture in hy-
drogeneous media connected with the intensive
plastic deformation in the crack top. Frachire
mainly occurs transgranularly (i.e., along a
grain). In this case, in ffactograms of the crack
growtli up to the critical value, either a viscous
cup fracture or a quasi-spall takes place. During
the formation of segregation another mechanism,
the brittle fracture along grain boundaries, is re­
alized with a consequent abrupt decrease of ATlth.
In this case, an intensive reduction of ATlth takes
place already at initial stages of the segregation
formation when temper embrittlement has hardly
shown up. It is considered that one of the reasons
Dependence of fracture characteristics on
element concentration (per 0.1% of each)
rio. °C A, MJ/m1 Fy%
for such a strong influence of phosphorus, anti­
mony, and tin segregation is a buildup of hydro­
gen concentration on the grain boundaries as a
consequence of the chemical interaction of hy­
drogen with these impurities (Ref 75).
The steel structure has a determining effect on
the resistance to delayed fracture. The least re­
sistance is typical for Hie martensitic structure,
especially at low tempering temperatures. An in­
crease of the tempering temperature to 420 °C
(788 °F) causes the value of a* to increase by
several times. The decrease of the volume frac­
tion of martensite to 20 to 30% means to that
even in the hardened state delayed fracture does
not develop (Fig. 8) (Ref 78). In Ref 54 attention
is drawn to the increased sensitivity of steel Fe-
0.4C-Cr-Si with the lower bainite structure to de­
layed fracture, although this structure is charac­
terized by high-impact touglmess and adequate
plasticity. Unlike the martensitic structures,
whose failure process develops mainly along
boundaries of former austenitic grains, the bain­
ite structure fails along the grain body (by mech­
anism of quasi-spall).
On evidence given in Ref 74 the resistance to
the hydrogen embrittlement of low-alloyed pipe
steels increases in the direction from normali­
zation to the controlled rolling, but the best re­
sults are ensured by the thermal improving
(quenching + high tempering) and quenching
from the inter critical temperature interval. A
comparison shows that the thermal improving
and quenching from the intercritical interval en­
sure about the sixfold enhancement of the long­
term strength as compared with the normaliza­
tion. Water quenching at 775 °C (1425 °F) when
the structure contains approximately 30% of
bainite affords the best combination of proper­
ties. The marked enhancement of the resistance
to delayed fracture is provided by the high-tem­
perature thermomechanical processing of the
x, h

C (0.2 to 0.8) 20 to 60 -0.1 to -0.2 -32

1

Solid solution
1600
1

Si (0.2 to 1.8) —4 to —6(a)

o
0

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) 0.5-1 -4 to -10 0 -7(a) to 1.3(b) 6.5 -U/5 \ 3
<0.5 1 to 1.5 0 1.2 -5.7 6\
Co (0 to 3.0)
o—*-
Al (0.03 to 0.7 <0.25 9 -0.17 4 -7.5 1000
Carbide- forming
Cr (0.5 to 3.0) 1-1.5 -1(a) 0.04 -2.9 80 800 A—►
i .«
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 w 600
3 to 5(b)
Ti (0 to 0.15) 0.05 -60(a) to 14(b) 0 -36(a) to 10(b) 400
Nb (0 to 0.20) 0.02 to 0.06 0(a) to 40(b) 0 -12 250 \\wL
V (0 to 0.4) 0.1 -20(a) to 15(b) 0 -10 250 200
1
Modifiers
Rare-earth (Ce)(0 to 0.5) 0.1 to 0.3 -10 0.04 35 0 1 2 3 4 5
AIN, VN, NbN (0 to 0.2) 0.2 -40 0 70
Time to failure t, h
Impurities
S (0.015 to 0.045) <0.01 0 -2.4 0 -360 pig 8 Influence of martensite content and tempering
P (0.004 to 0.026) <0.015 230 -1.0 80 -500 ” temperature on delayed failure of quenched car­
Sb (0.0006 to 0.027) <0.01 180 -2.5 bon steel from 0.35% C. 1,1 00% 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, 70-80% of martensite,
0.025% of S, tempering at 200 °C; 5, 70-80% of marten­
(a) Alloying for optimal content. ()>) Alloying over optimal content Source: Ref 143 site, 0.005% of S, tempering 200 °C; 6, 20-30% of mar­
tensite, 0.026% of S, without tempering. Source: Ref 78
 Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 77
high-strength steel Fe-0.3C-2Ni-Cr-Mn-Si (Ref
79).
Some Specific Cases of Delayed Fracture.
In the scientific literature, including the educa­
tional one, it was a widespread opinion that de­
layed fracture of steels can develop involving no
hydrogen—that is, under the effect of only struc­
ture factors (Ref 28, 54, 80). In particular, the
question about the nature of Hie enhanced sen­
sitivity to delayed fracture of steels in the so-
called newly quenched state is long discussed.
Cases of quenched products cracking, which are
met in practice of thermal processing (Ref 52,
54), have been associated with the development
of delayed fracture of untempered martensite.
Initiation and growth of crack provoking delayed
fracture occurs mostly over the boundaries of
primary austenitic grains. The short-term tem­
pering or resting of quenched samples at room
temperature enhances resistance to delayed frac­
ture; therefore, its development calls for further
hydrogenation. Within the span of more than 50
years of investigations, alternate hypotheses for
explaining this phenomenon have been pro­
posed. The “structure” hypothesis based on the
prevailing role of residual microstresses inherent
in the untempered martensitic structure has re­
ceived the most acceptance (Ref 79, 80). The
role of internal hydrogen, which is always pres­
ent in steel as an inevitable impurity, has not
been discussed practically in the literature.
The phenomenon of delayed fracture of
quenched steels has been studied in detail in Ref
81-83. Steels Fe-0.3C-Cr-Mn-Si and Fe-0.4C-
Cr-Mn quenched in oil at 860 °C (1580 °F) have
been chosen as objects of investigation. The pro-
pjo 9 Nucleating grain boundary crack revealed at the
top of the stress concentrator on testings of
quenched steel Fe-0.3C-Cr-Mn-Si for delayed failure.
1100X. Source: Ref 81
cess of initiation and growth of a crack when
testing on a delayed fracture in a freshly hard­
ened state is quite the same as that in the grain
boundaries. The typical initiating crack found in
the stress concentrator top is shown in Fig. 9.
The work has been methodically performed in
the following way. First, regularities of the ini­
tiation and crack growth have been studied thor­
oughly by methods of mechanical tests in con­
junction with the acoustic emission. In
particular, the effect of the deformation-rate in­
hibition of the crack growth has been estab­
lished, durations of the incubation period, xh un­
der different conditions of loading have been
determined and so on. Second, the simulation of
the newly quenched state has been performed.
For this purpose, after approximately 70 h ex­
posure at room temperature (to eliminate the sen­
sitivity to delayed fracture) quenched samples
have been hydrogenated by the special proce­
dure.
Subsequent tests have shown that all the char­
acteristics of delayed fracture of quenched
steels—the threshold stress, the duration of
the incubation period, t¡, and so on, as well as
the mechanism of fracture, are analogous with
the case of delayed fracture caused by hydrogen.
Therefore, it is beyond the reason to consider
that in the case of the untempered martensite
structure a certain different type of delayed frac­
ture that is not connected with the presence of
hydrogen in steel takes place. The fact that the
kinetics of relaxation of interior microstresses in
the process of resting at room temperature does
not correspond to the kinetics of the change of
the threshold stress, bears witness to this
also. Judging by the change of the interior fric-
T, <>C
Fifi 10 I nfluence of testing medi a on delayed failure of
steel Fe-18NI-9Co-5Mo-Ti. 1,1' testings in the
air, <j> = 40-45%; 2.2', the same, q> = 65-70%; 3,3',
vacuum testings, P = 1.3 Pa. Source: Ref 86
tion, the microstress relaxation process com­
pletes in a time of no more than 10 to 20 h since
quenching. In this state a material still possesses
the sensitivity to delayed fracture. In the process
of holding samples at room temperature, the evo­
lution (desorption) of hydrogen from them into
the atmosphere has been found to occur. The
sensitivity to delayed fracture is just concur­
rently with termination of hydrogen desorption
(i.e., about 70 h after quenching has been
elapsed). According to the data of the laser spec­
troscopy, the amount of desorbent hydrogen over
the period of holding comes to approximately 2
X 10~6 at.% (Ref 84).
The source of diffusive-mobile hydrogen in
the structure of the quenched steel is inner hy­
drogen, whose amount at conventional process
of melting makes up no less than 2 to 3 X 10 ~4
at.%. The lattice solubility of hydrogen increases
from approximately 10 _7 at 20 °C (68 °F) to 4.4
X 10“4 at.% at 860 °C, (i.e., by about 3 orders
of magnitude), as a result of heating to the aus­
tenization temperature. A reverse decrease of
solubility in the process of the fast quenching
results in a part of hydrogen being kept for some
time in the oversaturated state in the a-solid so­
lution and has the increased diffusive mobility
and the property of localizing in the region of
maximal tensile stresses. High interior micro­
stresses inherent of the quenched steel structure
make the process of the crack initiation and the
crack growth easier but are not the factors that
control kinetic parameters of delayed fracture.
Another interesting case is delayed fracture of
high-strength maraging steels, which develops
over the certain temperature interval of aging—-
400-460 °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
only with the peculiarities of the structure state
forming at indicated aging temperatures. Fur­
thermore, this problem is urgent because aging
in the indicated interval provides for obtaining
the maximum elastic limit of steel. However,
owing to the low resistance to delayed fracture,
this mode of aging usually is not practiced. An
analysis of data in hand has shown that the key
question in explaining the phenomenon of de­
layed fracture of maraging steels is a question on
the role of the testing environment (air, vacuum)
as well as the role of titanium (Ref 85).
The investigations have been carried out with
steels Fe-16Ni-10W-Mo-Ti and Fe-18Ni-9Co-
5Mo-Ti (Ref 86, 87). The tests have been per­
formed under static loading at the reduced rate
ofs = 2.8 • 10-5s-1. Dependencies of the me­
chanical properties of steel Fe-18Ni-9Co-5Mo-
Ti on the aging temperature when testing in the
air and in vacuum are presented in Fig. 10. A
crevasse in curves of the change of mechanical
properties on tests in the air (curves 1,1') cor­
responds to the aging temperature of 420 to 460
°C. Plastic properties of steels in this range come
practically to the zero level. An effect of delayed
fracture for steel Fe-16Ni-Mo-10W-Ti is ob­
served within a more narrow temperature inter-
78 / Effect of Materials and Processing
val at 420 °C. On testing in vacuum (residual
pressure of 1.3 Pa) the indexes of mechanical
properties abruptly increase (curves 3,3'). An ef­
fect of the delayed fracture elimination is due to
the change of the crack-initiation mechanism.
On testing in the air the brittle grain-boundary
fracture occurs, on vacuum testing the viscous
inter-granular fracture takes place (Fig. 11). In
the study of the titanium influence it has been
found that the influence of the testing environ­
ment takes place only with a definite content of
titanium in steel exceeding 0.5%. When titanium
content is <0.5%, mechanical properties tests in
the air and vacuum tests do not practically differ
from one another (i.e., delayed fracture does not
develop).
It has been found also that resistance to de­
layed fracture depends on moisture of the envi­
ronmental atmosphere (the laboratory air),
namely, on a season in the course of which tests
are carried out. The figure shows that an increase
of relative humidity (from 40-45% to 65 -70%)
(a)
Fifi 11 Mechanism of failure of steel Fe-16Ni-10W-Mo-Ti at crack initiation stage (aging at temperature of 420 °C).
(a) Testings in the air. (b) Vacuum testings (P = 1.3 Pa). 10SO X. Courtesy of A.I. Kovalev
v given in Ref 88, makes up 1:9, approximately.
102 A ~10 A
h3o+ h2o
nnnnnann
JJL
7
Oxide-hydroxide layer '
n
10-20 A
P as main carriers of diffusive-mobile hydrogen in
Grain 1 0 Grain 2
Ti segregation-^ n.
T^~Ni3Ti
Grain boundary
(a)
Fifi 12 Mechanism of the crack growth on delayed failure of maraging steel, (a) Stage before crack initiation, (b) Stage
of crack growth. Source: Ref 87
results in the deterioration of plasticity' and the
reduction of the tensile strength by 30% (curves
1,1', 2,2'). Thus, tests have been carried out in
the air-dried chamber, for which purpose the spe­
cial procedure has been devised On testing in
the air-dried atmosphere (<p = 0.04%) plastic
and strength properties of steel Fe-18Ni-9Co-
5Mo-Ti come to such a degree that corresponds
tests in vacuum (i.e., the effect of delayed frac­
ture disappears). This means that the structure
state formed on aging within the interval of 400
to 460 °C possesses the increased sensitivity to
the presence of water vapors in the air environ­
ment—that is, delayed fracture of high-strength
maraging steels is caused by the effect of at­
mospheric moisture adsorbed on a surface.
Investigations of grain boundaries of fractured
samples by x-ray electron spectroscopy have
shown that on the grain boundaries there are hy­
drides, first of all, titanium hydrides, TiH., apart
from “apparent” components (segregations of al­
loying elements, oxides, hydroxides, and inter­
im
Grain boundary
(b)
metallics). Since the process of hydride linking
of the Ti-H type in the air is practically excluded
(titanium, by virtue of its enhanced activity, in
its interaction with oxygen and moisture in the
air forms first of all the hardly permeable oxide
phase Ti02), the conclusion has been drawn that
titanium hydrides are formed on inner interfaces
(grain boundaries). In other words, the TiHx for­
mation occurs in the zone of tensile stresses
ahead of the crack top as diffusive-mobile hy­
drogen enters there.
According to the mechanism suggested (Ref
86), the process of grain boundary embrittlement
includes the following successive stages: adsorp­
tion of atmospheric moisture at the metal sur­
face, oxidation of the most electronegative steel
components (iron atoms), transport of H30+
ions in the film of adsorbed water toward the top
(mouth) of the growing crack, formation of
atomi c hydrogen Hj* on the freshly formed sur­
face by cathodic reduction of H30+ ions on
nickel atoms, transition of atomic hydrogen
íf¡ds 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 hy chi des 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, TtHx, and the direct action (decohesion).
This is the main difference of the studiedtype of
brittleness fr om the delayed failure of the
cprenched steel, which is caused by internal dif-
frisive-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 fonnation 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
to the reduced strength of the hydride-matrix in­
terface (Ref 28). Atomic hydrogen formed
in the crystal lattice is ionized producing ions
H+ and H~, which quantitative ratio, on data
Tire rate of diffusion of ionized hydrogen is 1 to
2 or ders of magnitude higher than that of atomic
hydrogen. According to data obtained by the
method of the secondary ion mass-spectrometry
(Ref 88, 89) more mobile ions H_, which serve
metal, are responsible for the formation of the
hydride phase and the process of embrittlement
of the grain boundaries. Ion H+ possesses the
lesser mobility1 in the crystal lattice, and its con­
tribution to the embrittlement is not so consid­
erable essential.
InRef90 and91, delayed failure ofhigh-alloy
steel Fe-24Cr-7Ni-3Mo-Al-Ti containing no
martensitic structure has been studied. This steel
displays the enhanced sensitivity'to delayedfail-
ure in the so-called “newly-smelted” state (i.e.,
 Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 79
under the effect of metallurgical hydrogen de­
termining the role of which in the development
of delayed failure is of great practical impor­
tance). The studied steel structure is embrittled
5-ferrite with austenite y-phase interlayers uni­
formly distributed in it. Unlike the cases dis­
cussed previously, the initiation and the crack
growth in the structure under study occur in ac­
cordance with a transgranular mechanism, with
defects of the cast structure (pores) of 20 mkm
in size being the source of fracture. As evident
from the registration of the acoustic emission,
the crack grows according to the mechanism of
the discrete (stepwise) growth of separate sites
of the crack front followed by the stop at viscous
sites (austenitic inter-layers). According to ob­
servations, tire resistance to delayed fracture de­
pends on the period of the natural recreation after
smelting. Within the span of 4 years the metal­
lurgical hydrogen content drops from approxi­
mately 18 X 10 ~4 to 6 X 1CP4 at.%, and it is
a limiting one at which the development of de­
layed fracture is still possible.
The object under study is of interest as far as
it allows the different mechanisms of the em­
brittlement of grain boundaries or their volume
to be realized. The thermal treatment has been
carried out under operating conditions including
the high-temperature preheating to 1250 °C
(2282 °F) for obtaining the one-phase structure
of 8-ferrite and postaging (annealing) at different
temperatures. The hydrogen content in thermally
treated samples does not exceed 1.4 X 10 ~4
at.%. Annealing at 680 °C (1256 °F) makes it
possible to obtain the brittle fracture along the
grain boundaries, which, on data of the auger
spectroscopy, arises from the segregation of sul-
ftir and phosphor impurities. After the 850 °C
(1562 °F) annealing on the grain boundaries of
ferrite, the abundant precipitation of embrittling
cr-phase responsible for the quasi-brittle grain
boundary fracture takes place. Aging at 440 °C
(824 °F) makes it possible to obtain the brittle
intergranular fracture in accordance with the
transgranular mechanism.
The tests performed on embrittled samples
have once again favored the view that structure
factors bringing about the embrittlement of the
grain boundaries or their volume cannot in them­
selves result in the development of delayed frac­
ture. As is obvious from this data obtained from
steels with the different structures, the develop­
ment of delayed fracture is only possible with
the participation of diffusive-mobile hydrogen
independently of the source of its origination,
namely on quenching, smelting, from atmo­
spheric moisture, and so on.
Stress-Corrosion Cracking of Low-
Alloy Steels
Stress-corrosion cracking (SCC) is a specific
type of delayed fracture that develops under the
concurrent action of tensile stresses and the cor­
rosion medium. The given type of fracture oc­
curs in chemical, gas-oil producing, metallurgic,
shipbuilding, and other branches of industry, and
accounts for approximately 30% of material
damage caused by corrosion. The most danger­
ous media that can cause SCC under the certain
conditions have been established for most steel
classes used. The greatest body of information
accumulated to date refers to high-alloy steels,
in part, to corrosion-resistant steels with austen­
itic structure. Stress-corrosion cracking of low-
alloy steels has been studied least, although such
steels, especially in the high-strength state, have
an enhanced tendency to corrosion-mechanical
fracture. Low-alloy steel cracking can occur un­
der the action of various actuating media includ­
ing solutions of acids, nitrates, alkali, and sul­
phur--hy dr ogeneous media as well. The low
resistance of high-strength steels to SCC makes
itself evident even in such, at first sight, undan-
gerous media as pure water, moist air, and water
vapors (Ref 92, 93).
One of the characteristic peculiarities of SCC
is a pronounced selectivity of a material relative
to a corrosion medium. Therefore, the results of
one “metal-medium” system investigation can­
not be extended to another system. Besides, the
noncorrodive media, in common conception of
this term, may appear to be the most aggressive
ones, because the corrosion cracking process is
actively developing in them under the effect of
tensile stresses. Another interesting peculiarity
lies in a usual insensitivity of high-pure metals,
including iron, to SCC in any environment. The
susceptibility of iron to cracking under the effect
of stresses appears only in the presence of intro­
duction impurities, namely, carbon and nitrogen.
The response to the cold plastic deformation is
also intriguing. Unlike austenitic corrosion-re­
sistant steels, the cold plastic deformation of car­
bon steels makes them relatively insensitive to
SCC. Annealing of the cold-deformed 0.15% C-
containing steel at 600 °C (1112 °F) restores this
sensitivity to the level of nondeformed steel (Ref
70).
Peculiarities of Crack Initiation and
Growth Mechanism under SCC. The mecha­
nism of initiation and growth of cracks under
SCC depends on the steel structure, the value of
applied stresses, and the testing medium. Frac­
ture along the primary austenitic grain bound­
aries is the most dangerous from the standpoint
of loss in corrosion-mechanical strength. Carbon
steels, as well as many of the low-alloy steels,
fail in alkaline, nitrate, phosphate, carbonate so­
lutions, and also in aqueous acid solutions by
such a mechanism (Ref 75). Depending which
reaction controls the cracking process—electro­
chemical, anodic, or cathodic—two main SCC
mechanisms are differentiated: the active-part
corrosion (APC) or the hydrogen-induced cor­
rosion cracking (HI SCC). Kinetics of the anode-
ripe cracking is determined largely by the con­
ditions of passivation (i.e., by the peculiarities of
the protection corrosion films formation and by
their properties). This is reflected in the fact that
the region of danger of the given ripe of SCC
corresponds to the so-called active-passive re­
gion of potentials in the polarization curves. The
region of cracking by the HI SCC mechanism has
no clearly defined boundaries and extends fr om
the potential of free corrosion to the potential of
cathodic protection (Ref 94).
The mechanism of part cracking presupposes
the accelerated metal dissolution, which is con­
sidered to be connected with the local disruption
of passivity at the crack top i.e., with the protec­
tive film breakdown and occurrence of the newly
formed (juvenile) surface. The mechanism of
HISCC involves the following main reactions:
discharge of hydrogen H30+ ions from water
solution onto the steel surface, the transport of
hydrogen to the region of the elevated stress con­
centration ahead of the crack top, and the crack
propagation caused by the local hydrogen em­
brittlement. The concrete mechanism of the hy­
drogen embrittlement depends on the structur e
and properties of steel, the loading conditions
and the ability of a medium to hydrogenation
(Ref 94).
Whatever the mechanism of corrosive-me­
chanical fracture is, the tlrree stages of the pro­
cess are distinguished: incipient defects (micro­
cracks) formation, microcracks growth, and fast
fracture as soon as the main crack reaches the
critical size. Both metallurgical defects of the
surface and defects of corrosion origin may pre­
sent as incipient defects (Ref 93). In the SCC
theory, particular attention is given to the pro­
cesses proceeding in the crack top, which are
much different from the processes proceeding on
the surface. In particular, an important role is
given to the newly formed (juvenile) surface,
which appears either under the effect of the ex­
ternal loading or in Hie process of APC. All the
particular SCC reactions, namely, APC, cathode
precipitation of hydrogen, its absorption, and so
on, are sharply speeded up on such a surface. The
newly formed surface possesses a more negative
potential compared with both the previous sur­
face and the passivated surface of crack edges.
It is suggested that in the corrosion crack there
is a local galvanopair of the newly fonned sur­
face-crack edges surface type that contributes to
the accelerated selective crack propagation (Ref
95).
Criteria and Methods of Estimating Sensi­
tivity to SCC. A great body of different criteria,
namely, mechanical, electrochemical, physical,
and so on, has been suggested to estimate the
sensitivity of steels to SCC (Ref 92). All the
known methods of corrosion-mechanical test­
ings can be divided into three main groups:
• Testings under constant external load (P =
constant)
• Testings under constant strain (a = constant)
• Testings at the constant load rate (á, v = con­
stant).
Samples without a notch, with a notch, and with
the precreated fatigue crack can be used in each
of these above-stated methods.
The service conditions are best reproduced by
corrosion-mechanical testings under constant ex­
ternal load. In this case, as tire crack initiates and
grows, the stress rises in the rest part of a sample
that contributes to the development of fracture.
80 / Effect of Materials and Processing
By analogy with delayed fracture (see the section
“Delayed Fracture in Steels”), the sensitivity to
SCC is characterized by the time till a crack ini­
tiation, t15 durability till complete failure, x, and
the value of the threshold stress, <%. Unlike de­
layed fracture, it often occurs that dependencies,
x = /(a), are not brought out onto the plateau,
when testings for corrosion cracking are per­
formed (i.e., there is no threshold stress). The
conventional threshold stress, ath, which should
be determined in this case, is determined at the
specified (base) duration of testings. The dura­
tion of the incubation period x, during which the
crack initiation occurs takes usually 80 to 90%
of the whole time prior to fracture (x) (Ref 96).
Testings under constant (fixed) strain are usu­
ally carried out according to the scheme of three-
or four-point bending of samples fixed in the
rigid attachment. On such testings the external
load is reduced gradually because of the crack
formation and the residual bending strain accu­
mulation. Testing under constant strain render
well the cracking processes in the material struc­
ture that develop under the action of residual
stresses.
Tests at constant load rate are mainly per­
formed by the slow strain rate testing procedure
(SSRT). In this case the resistance of a material
to cracking is characterized by the value of ten­
sile strength in the corrosion medium, character­
istics of plasticity, Tf 8, the critical fracture
stress, a*, and the area below the strain curve, a
- s, characterizing the fracture work. With the
plasticity characteristics taken into accounts, the
relative (as compared to the air) sensitivity of a
material to corrosion cracking is determined.
Used as criteria in this case are the so-called co­
efficients of medium effect of the ('Rq — T^)/
T'o type, where T'q and T*, are the relative nar­
rowing on testings in the air and in the corrosion
medium, respectively. The strain rate s with the
use of the SSRT method is usually selected
within the range of 10 ~4 to 10-6 sec “1.
When using samples with a crack, a load, the
load line displacement, the crack length, and the
crack opening displacement (COD) are regis­
tered as per the SSRT method. For analyzing the
test results, the criteria of fracture mechanics are
used. The threshold (critical) stress-intensity fac­
tor, KiSCC, which makes it possible to estimate
quantitatively the steel resistance to cracking in
the corrosion medium is taken as the main cri­
terion. The value of KISCC corresponds to the be­
ginning of the crack growth before the critical
value (Ref 97). It is apparent that if Kx > K1SCC
or g > ath, the fracture of the construction ele­
ment inevitably takes place. When the criterion
Klscc is used, the sensitivity of material to the
action of the corrosion medium is characterized
by the ratio K1SCC/KIC, where K1C is the stress-
intensity factor when testing in the air (plane-
strain fracture toughness) (Ref 98-100). In all
the schemes of testings the maximum length of
a crack resulting in fracture, the crack growth
rate, the number of cracks per unit surface, etc.,
can be used as characteristics of a material (Ref
101, 102).
The most reliable values ofifISCC are obtained
on the basis of standard kinetic cracking resis­
tance diagrams analogous to that represented in
Fig. 3. The plateau-figurative regions in kinetic
diagrams are connected with the branching and
blunting of a crack. If relative resistance of ma­
terials to the action of corrosion media is to be
determined quickly, the SSRT method has an ad­
vantage over the constant load testing method for
determining Zj3CC, although it is considered the
basic one. The fact of the SSRT method high
efficiency is evidenced by the data of many sci­
entists. The console samples made of Fe-0.3C-
2Ni-Cr-Mn-Si steel, for example, have been
tested in the NaCl 3.5% solution (Ref 103). The
values ofATISCC obtained at a constant rate of load
and on standard testing (under constant load)
have turned out practically to be equal to 11.69
and 1196 MPa m1/2, respectively. To choose the
proper load rate is of great importance in this
case. At the high load rate the corrosion process
has no time to produce changes at the crack top;
at low rate, on the contrary, the passivation pro­
cess develops at the crack top, thus preventing
from corrosion cracking propagation (Ref 96).
The linear mechanics of fracture are unsuited
for high-ductility steels. In this case, resistance
to crack growth is characterized by the value of
the J-integral, in particular, its threshold value,
Jiscc- A tendency to corrosion-mechanical
cracking is estimated also by electrochemical pa­
rameters, namely, by the critical value of the hy­
drogen index of the medium pH, the electrode
potential, E and the density of anodic current at
which the cracking process begins. When testing
the carbon steel in the 3% solution of NaCl,
strong jumps of the electrode potential (—300
mV) and the anodic current at the moment of a
crack propagation have been detected (Ref 104).
This effect is connected with revealing the ju­
venile surface, which has an enhanced electro­
chemical activity'' and it can also be taken as one
of criteria for the sensitivity of steels to corro­
sion-mechanical fracture. The important infor­
mation on kinetics of SCC, especially at initial
stages of the process, can be obtained from
acoustic emission measurements (Ref 105-107).
Effect of Alloying Elements on Resistance
to SCC. The effect of most alloying elements on
steel resistance to SCC depends on their concen­
tration, the presence of other alloying elements,
impurities, the corrosion medium content, the
value of electrode potential, and other factors
(Ref 108). For high-alloy austenitic steels there
is a certain relationship between the effect of an
element and its position in the periodic system.
The analogous relationship is not observed for
low-alloy steels (Ref 109). The theory of alloy­
ing that makes it possible to predict the resis­
tance of low-alloy steels to SCC in different me­
dia also has not been developed. Hypotheses
suggested provide, as a rule, an explanation for
the role of alloying elements by only one of
some factors, namely, effect on strength of in­
teratomic bonds, the rate of forming protective
films, the effect on the carbon distribution in
steel, and so on (Ref 108).
Information on the effect of alloying elements
on mechanisms of the crack growth in different
corrosion media is necessary to develop suc­
cessfully new grades of steels with an enhanced
resistance to corrosion cracking. For lack of this
information, the empirical data are usually used
which are often contradictory. The findings on
the individual and combined effects of 27 alloy­
ing elements and impurities on the resistance to
SCC of iron and low-alloy steels, including high-
strength steels, have been generalized in Ref
108. The effect of elements depending on the
medium (aqueous solutions of chlorides, ni­
trates, carbonates, alkali, hydrogen sulfide, etc.),
the temperature, the electrode potential, and the
pH value have been considered. The following
elements have been analyzed: N, Al, B, V, H,
Ge, Ca, O, Co, Si, La, Mn, Cu, Mo, As, Ni, Nb,
Sn, Pb, S, Sb, Ti, C, P, Cr, Ce, Zn. It has been
shown that the majority of these elements, es­
pecially in the case of combined alloying, am­
biguously affects resistance to SCC. The same
element can have both a positive and negative
effect depending on the corrosion medium. Sil­
icon, for example, enhances steel resistance to
cracking in mírate solutions but reduces it in al­
kali ones. However, the previously listed ele­
ments can be divided arbitrarily into four main
groups: those that enhance the resistance to SCC
(Ti, Nb, Mo, Al, Co, Cu, Pb, B, Ce, Ca, La),
those that reduce it (N, O, H, S, P, V, Sb, Cr,
Mn, Ge), elements of the alternating effect (C,
Si, Ni), and neutral ones (Sn, As, Zn).
The characteristic properties of distribution of
elements and impurities in the steel structure are
of great importance. Segregations of sulphur and
phosphor impurities, for example, change the
electrochemical characteristics of the grain
boundaries and initiate fracture by the local parth
corrosion mechanism (Ref 108). Steels produced
by vacuum melting possess the enhanced resis­
tance to SCC in so far as they contain 2 to 3
times as few detrimental impurities as standard
steels do (Ref 110). It has been noted that the
effect of alloying elements can be judged by the
mechanism of fracture. Elements with a positive
effect assist in realizing the transgranular mech­
anism of the crack growth. Those that have a
negative effect cause cracking along the grain
boundaries. The effect of the chemical compo­
sition may manifest itself indirectly, namely,
through the change of the structure and mechan­
ical properties of the steel. Therefore, the ther­
mal processing can drastically change degree
and even the direction of some alloying elements
effect.
Role of Structure and Thermal Processing
in the SCC Process. The basic parameters of the
SCC, namely, the threshold stress, oth, corrosion
crack-toughness, AISCC, the crack growth rate,
and so on, depend to a great extent on the fol­
lowing structure factors: phase composition,
austenite grain size, state of grain boundaries,
and nature and amount of nonmetallic impurities
(Ref 111). Figure 13 shows that the crack-tough­
 Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 81
ness reaches its peak values K1SCC in high-
tempered steels. In the region of high-strength
states realized at low tempering, the parameter
K1SCC takes quite low values not exceeding 20
MPa m1/2.
As for steels of mean and low strength, the
structures of fine-grain ferrite, martensite, and
bainite possess the best properties. The spher-
oidized structure with uniformly distributed fine-
grain carbides possesses somewhat worse prop­
erties, and the lamellated pearlite structure
possesses the worst ones (Ref 112). There is also
evidence that compound structures, for example,
consisting of fine-grain ferrite and bainite
wherein the intergranular ductile mechanism of
failure is realized (Ref 113, 114) show the high­
est resistance to SCC. For the steel Fe-0.3C-Mn-
Si-Ni with the compound structure of martensite
+ lower bainite, the value K1SCC in the NaCl
3.5% solutions is 21 MPa m1/2. In the case of
the martensitic structure this index is reduced by
half (i.e., steel with this structure possesses the
much lower resistance to SCC) (Ref 115).
The positive role of residual austenite is ob­
served frequently. In the scope of the SCC model
by the hydrogen embrittlement mechanism this
derives from the fact that the saturability of aus­
tenite with hydrogen is essentially higher, and
the hydrogen diffusion factor is three to four or­
ders of magnitude lower than that in the marten­
site structure. Cracks propagating in martensitic
slow down in the region bordering hydrogen-re­
sistant austenite. However, with the insufficient
stability of residual austenite its negative effect
is a possibility. In this case, as residual austenite
is turned to martensite under deformation at the
crack top, the resistance to SCC reduces (Ref
116).
The use of high-temperature thermo-mechan­
ical processing which raises both the parameters
1000 1400 1800
Gg, MPa
F¡g j 3 Strength level effect of steels Fe-0.3C-2Ni-Cr-
® Mn-Si (1,2,3), Fe-0.4C-Cr-Ni-Mn (4,5), and Fe-
0.3C-Cr-Mn-Si (6,7) on value of threshold stress-intensity
factor K,iCC in corrosion medium. 1,4,6,8, tests in water;
2,5,7, tests in H2S solution; 3, tests in gaseous H2S. Source:
Ref 93
Klscc and Klc in the case of high-strength com­
bined-alloy steels (when testing in the NaCl
3.5% solution), holds promise (Ref 117).
Quenching from the intercritical temperature in­
terval can also be profitable. The formation of
the ferritic-martensitic structure as the result of
quenching from the intercritical temperature in­
terval (740 °C, or 1364 °F) makes it possible to
enhance vastly the resistance of steel Fe-0.5C-
Cr-Mo to the hydrogen SCC in salt water (Ref
118). The two-stage austenitization (high-tem-
perature + conventional one) forms a toothed
structure of grain boundaries, which also inhibits
the grain boundary failure by enhancing the re­
sistance to SCC.
The effect of grain size on the resistance of
steels to SCC is then ambiguous. In many works
it was pointed out that the finer the austenitic
grain, the higher resistance to SCC is observed.
For example, on the data given in Ref 119 and
120 the time before failure in the NaCl 3.5%
solution increases by 2 to 3 orders of magnitude
with decreasing the austenite grain in the steel
Fe-0.4C-Cr-Ni-Mo from 172 to 12 mkm in size.
However, there is other evidence. For example,
overheating in the process of the austenitization
of the high-strength steel Fe-0.45C-2Ni-Cr-Mo-
V favors a great increase of K1SCC when testing
in distilled water (Ref 121). The high-tempera-
ture austenitization is most profitable for cast
steels in so far as they are less prone to the grain
growth as compared to hot-strained steels (Ref
122). Unlike quenching, the overheating in nor­
malizing, as a rule, has a negative effect, espe­
cially in the case of low-alloy steels containing
manganese and vanadium (Ref 123).
The problem on the effect of initial structure
is of great importance. It is found that, compared
with hot-strained steels, cast steels have higher
values of the corrosion cracking resistance, al­
though standard mechanical properties of cast
steels are much lower (Ref 122). Studied in Ref
124 is the effect of different methods of melting
(an electric furnace, an arc-vacuum furnace, a
vacuum induction furnace, electroslag remelt)
and their combinations on the corrosion me­
chanical properties of maraging steel. It has been
shown that combined methods of melting make
it possible to increase considerably (by 25%)
Klscc when testing in the NaCl 3% solution. The
analogous data have been obtained in work (Ref
110). Commercial Fe-0.4C-2Ni-Cr-Mo and Fe-
0.4C-2Ni-Cr-Mo-Si steels that have been melted
m the air and vacuum were tested in the cliloride
medium at K = 0,9KV Vacuum-melted steels
possessed the enhanced SCC resistance, whereas
in air-melted steels, cracks developed practically
at once.
In corrosion-mechanical steel failure one of
the key problems is the problem of nonmetallic
impurities. In this case, both morphological
characteristics of impurities (the quantity, form,
sizes, and distribution) and their chemical activ­
ity in tlie given corrosion medium are of impor­
tance. The impurities of sulphides, silicates, and
oxides as well, which play the main role in the
process of the crack initiation, are the most ac­
tive (Ref 111). The local electrochemical corro­
sion processes developing in the corrosive me­
dium around the impurities, resulting in
inevitable formation of aggressive medium-filled
microcavities. The role of MnS impurities in the
course of corrosion- mechanical failure of the Fe-
0.2C-Cr-Ni-Mo type reactor steel intended for
the production of high-pressure containers was
studied in (Ref 125). The suggested mechanism
of initiation and growth of cracks includes, as
the first stage, the appearance of a slot between
an impurity and a matrix owing to dissolving
MnS in Hie electrolyte. Atomic hydrogen is ad­
sorbed at crack lateral surfaces, following which
it diffuses into the metal toward the crack top
and causes local cracking.
In acid media sulfide impurities dissolve and
weld H2S that greatly reduces the resistance to
SCC (Ref 126). Dissolution products of some
impurities enhance the adjacent metal corrosion
that also promotes the cracking process. The en­
hancement of cracking in dissolving nonmetallic
impurities is supported by the data given in Ref
127 devoted to the study of SCC of the Fe-0.2C-
Mn-Ni-Mo steel in the medium intended for
cooling atomic reactors. As the medium has been
contaminated by dissolution products, the MnS
samples have broken down due to the develop­
ment of the corrosion cracking process, whereas
in the medium free of the corrosion products, tliis
process has not occurred. At the same time, as
shown in Ref 128, with cathode deposits present,
the SCC process of pipe steels of Fe-0.1C-2Mn-
Si-V-Nb and Fe-0.1C-2Mn-Si-V, and so on type,
which have been chosen from zones of main
pipeline failure cannot be explained in the con­
text of the suggested model of the sulpiride im­
purity dissolution (Ref 128). On authors’ data,
the negative effect of sulpirides is connected
mainly with their role as concentrators of inter­
nal stresses (Ref 129). Nonetheless, in spite of
distinctions between interpretations, it is be­
lieved that the enhancement of the corrosion-me­
chanical steel strength can be attained by reduc­
ing the nonmetallic impurity content that is
achieved in part by rational deoxidizing and by
modifying the steels by the addition of rare-earth
and alkaline-earth elements.
Stress Corrosion Cracking of Steels for
Main Gas-Pipe Lines. In many countries,
namely, the United States, Canada, Australia,
and Russia, there are recorded emergency fail­
ures of subterranean buried gas-pipe lines be­
cause of pipe steels SCC (Ref 130, 131). The
summary data displaying the time of trouble-free
operation of main gas-pipe lines used by three
major Russian companies are given in Fig. 14.
Pipes of different diameter (1020, 1220, 1420
mm) and different chemical composition have
been analyzed. It has been found out that pipes
put into service from 1967 to 1980 have the re­
sistance to SCC much higher than those which
have been laid recently in a period from 1981 to
1989. The time of safe sendee of the former is
from 9 to 23 years, that of the latter is only from
2 to 14 years. It is significant that all the short­
lived pipes have been fabricated from steels of
82 / Effect of Materials and Processing
the Fe-0.1C-2Mn-Si-V-Nb and Fe-0.1C-2Mn-
Si-V type produced in France, Italy, Germany,
and Japan. Also, it has been found that in the
most cases (more than 60% of emergencies) the
failure happens in places with the increased
ground humidity. Cracks are revealed most often
in the lower part of pipes. The mean rate of crack
growth is about 1.15 min/year (0.05 in./year).
The critical length of cracks that cause failure is
in the range of 140 to 150 mm (5.5-5.9 in.) (Ref
129).
According to current concepts, main gas-pipe
line steels are susceptible to two types of SCC:
APC and HISCC. The first (classical) type of
SCC is developed at medium acidity' of pH
9.5 (high pH SCC); the second one is developed
at pH «=* 6.5 (low pH SCC). In both cases crack
groups (colonies) orientated along the axis of the
pipe arise (Ref 94). More liigh density' of cracks
in the colony is inherent in cracking by the APC
mechanism. Furthermore, it has been found that
in the overwhelming majority of cases, SCC at
a high pH is observed within the limits of regions
in extent of 20 km (12.4 miles) from the com­
pressor station—that is, where the temperature
and the pressure of gas have their top values (Ref
132-134). As to cracking by the HISCC mech­
anism, the analogous regularity is not fulfilled,
but in this case, the well-defined connection with
the weld location becomes evident. A major part
of failures at low pH begins in centers located at
a distance of 200 to 250 mm (8-10 in.) from the
weld that is connected with the increased level
of processing residual stresses. The failure at
high pH develops mainly in the intercrystalline
manner (i.e., along the grain boundaries), at low
pH, it develops in the transcrystalline manner
(Ref 94).
1966 1971 1976 1981 1986 1991
Year of putting into operation
Fie. 14 Period of gas main pipes service till first emer-
0 gency failure depending on year of putting-
them into operation and manufacturing country. Closed-
circle data points, steels Fe-0.1 C-2Mn-Si-V-Nb and
Fe-0.1 C-2Mn-Si-V made in Germany, Italy, France, and Ja­
pan; open circle data points, steels Fe-0.17C-Mn-Si, Fe-
0.15C-2Mn-Si made in Russia; rhomb, steels Fe-0.14C-
2Mn-Si-N-V, Fe-0.17C-2Mn-Si-N-V made in Russia. Size
of small circle corresponds to 1020 mm pipe diameter;
middle one, to 1220 mm pipe diameter; and large one, to
1420 mm pipe diameter. Y, T, and C denote companies
Ultransgas (Y), Tyumentransgas (T), and Severgasprom (C),
respectively. Source: Ref 129
The composition of the corrosion medium
forming under the peeled-off insulation is the
main factor on wliich the realization of the given
SCC mechanism depends. High pH media are
concentrated carbonate-bicarbonate earth solu­
tions with temperatures up to 75 °C (135 °F).
These solutions are formed under conditions of
the cathode protection that initiates an increase
of pH (acidifying) of the corrosion medium on
the pipe surface. The crack grows as a result of
the rapid electrochemical metal corrosion at its
top where the main processes stimulating the
crack growth, namely, the stress localization, the
plastic strain, emerging of slip strips on the
newly formed surface, are grouped. Low pH
SCC develops in deleted earth electrolyte media
containing dissolved C02. It is suggested (Ref
130, 133-137) that hyrdrogen arises in microre­
gions filled with Hie electrolyte (i.e., in slots, pit-
tings, etc.). As a result of corrosion product hy­
drolysis, the electrolyte in these microregions is
acidified to a level sufficient to discharging ions
of hydrogen, which then diffuses into the region
of tensile stresses ahead of the crack top. As in
the classic model (high-pH SCC), the plastic
strain at the crack top, which benefits the metal
hydrogenation, is required as the obligatory con­
dition (Ref 135, 138). In this case, as seen from
the direct measurements (Ref 94), the zone of
the increased hydrogen concentration extends
for approximately 10 mm (0.4 in.) beneath the
crack surface.
Pipe surface metallurgical defects arising
from rolling may present as nucleous cracks.
These defects, for example, arise from surface
microcracks generating at the stage of continu­
ous steel casting. Cracks initiate on the contin­
uously caste d ingots over definite temperature
intervals, mainly over the interval from 700 to
1000 °C (1292-1832 °F) (webbed and cross
cracks), and at temperatures close to the solidus
one (spider-shaped cracks). In the given tem­
perature intervals, low-alloy steels are subject to
the strong embrittlement connected with the
change of the grain boundary chemical compo­
sition. The present state of the problem concern­
ing high-temperature steel brittleness and the
mechanism of the surface crack initiation in con­
tinuous casting has been analyzed thoroughly
(Ref 139, 140).
Practically all the steels applied in the present-
day gas-pipe lines, whatever their chemical com­
position, structure, and strength level, are prone
to SCC to some extent. That is why the predic­
tion of a steel’s resistance to SCC takes on great
significance. The results of testing a number of
pipe steels for SCC have been correlated with
their mechanical properties determined in the air
(Ref 141). In addition to the standard mechanical
properties, the mechanical properties of samples
under bending with the preliminary-created fa­
tigue crack have been determined. Any correla­
tion between the resistance to SCC and the stan­
dard mechanical characteristics has not been
detected. At the same time, according to the
analysis made, a distinct relation is observed be­
tween the threshold stress, cth, in the corrosion
medium and characteristics of the mechanical
properties of samples with a crack while per­
forming bending tests in the air. The resistance
to SCC in the studied aggressive media enhances
with an increasing of such characteristics as fail­
ure work, yield strength, and ultimate strength.
On this basis, the conclusion has been drawn re­
garding tire necessity of introducing an addi­
tional testing of pipe steels in manufacturing
plants, namely, tests of samples with a crack to
predict the resistance of different types of steels
to SCC.
Effect of Alloying and Impurity
Elements on Hydrogen
Embrittlement Resistance of Steel
Hydrogen-resistant engineering steels should
have a number of the following basic character­
istics:
• High resistance to a brittle fracture for pre­
vention of development of an origin crack
• Low content of nonmetallic inclusions and
phases suitable as hydrogen traps
• Low level of internal stresses for elimination
of an opportunity of crack nucleation
• Presence of surface protecting films prevent­
ing penetration of hydrogen in bulk
To ensure tire first requirement, the structure and
alloying of steel should provide:
• Hardenability of steel to gain a homogeneous
structure of martensite or its mixture with
lower bainite
• Decreasing the ductile-brittle transition tem­
perature, T5Q, and growth of an energy for a
ductile crack propagation, ac
• Lov'-grain-boimdanes concentration of
harmful impurities
Influence of alloying elements and impurities
on these basic characteristics has been set (Ref
51). The corresponding data, also involving the
optimal content of the basic and impurity ele­
ments providing a high hydrogen resistance of
steel, are shown in Table 1. In this case, tendency
of steel to hydrogen embrittlement was esti­
mated from the relative reduction of its plasticity
under tension:
% -T„
Fy • 100%
To
before (ffi0) and after (VPH) hy'drogenation of
plain samples during 5 h, and also from reduc­
tion of the average time for failure, xt, of the ring-
notched ones (h = 1 mm, r = 0.25 mm) under
approximately 0.6 ay loading.
Carbide-forming elements affect the quantity,
distribution, and morphology of carbonitrides.
The carbides are spheroidized in such a manner
that interfaces of the particles wtith a matrix are
not collectors for hydrogen. These elements in a
solid solution depress the hydrogen thermody­
namic activity; as a result, the occluding ability
of steel is essentially diminished (Ref 142).
 Effect of Residual Stress on Hydrogen Embrittlement and Stress Corrosion Cracking / 83
Those additions in steel have dissimilar influ­
ence on the resistance to different kinds of frac­
ture. If its content does not exceed an optimal
value (Table 1), resistance to all kinds of brittle­
ness increases (Ref 143). At higher contents, the
resistance of steel to hydrogen is increased, but
it is reduced to other kinds of brittle fracture.
Carbide-non-forming elements affect steel re­
sistance to a ductile, brittle, and intergranular
fracture. Addition of 0.1 % Si, Mn, Co or Al in
a solid solution of an improved engineering steel
reduces its fracture resistance; the transition tem­
perature, T50 rising by 5°; and the impact strength
a,, decreasing by 0.07MJ/m2. Nickel is an excep­
tion; 0.1% of it makes T50 lower by 4 to 10°.
Similarly, these elements influence hydrogen re­
sistance of steel. Thus, manganese, aluminum,
silicon, and cobalt decrease the time for failure,
xt, and increase the loss of plasticity, Fv, under
hydrogenation. Nickel increases steel resistance
to hydrogen.
Thus, when these elements are added in a solid
solution, the direct dependence between the hy­
drogen and brittleness resistance characteristics,
T50, «c, is observed.
Impurities such as sulfur', phosphorus, anti­
mony, tin, and other elements have great influ­
ence on the resistance of engineering steels to
hydrogen embrittlement. Their action is mani­
fested via weakening of grain-boundary binding
(temper-embrittlement processes) and via non-
metaltic inclusions formation. According to ex­
isting opinions (Ref 144), loaded gr ain junctions
can be zones for the origination of three-axial
stress state. These grain junctions are energeti­
cally preferable for the accumulation of hydro­
gen atoms having a low chemical potential
value. It is assumed that hydrogen decreases the
cohesive forces between iron atoms at grain
boundaries (Ref 145). Segregation of impurities
(phosphorus, antimony, tin, etc.) at boundaries
of original austenite grains results in recurring
temper embrittlement, which further weakens in­
tergranular cohesive forces. These considera­
tions have been proved by direct experiments
(Ref 146). The results indicate that hydrogen
does not interact with impurities or segregations
at grain boundaries (i.e., the grain-boundary em­
brittlement actions of impurities and of hydrogen
mutually supplement each other).
Published data indicate that steel improving
with impurities and gases cleanliness enables it
to boost its fracture resistance (Ref 147). The use
of metallurgical refining and remelting processes
greatly increases hydrogen-embrittlement resis­
tance due to the removal of nonmetallic inclu­
sions from the steel, especially sulfides and
stringer oxide inclusions (Ref 148).
Improving the quality of heat-hardenable en­
gineering steels (unalloyed with molybdenum
and tungsten) enables them to boost by 2 to 3
times their resistance to brittle and ductile frac­
ture.
Sulfur is present in steel mainly in the form of
manganese sulfides. Nonmetallic inclusions of
this type are very ductile and, hence, during roll­
ing are rolled out in the form of elongated
streaks. Sulfide streaks have S:Fe:Mn ratio of
2:1:1, which comply with the formula (FeMn)S;
their thickness is 10 to 15 ran, and they are
mainly located at the boundaries of original aus­
tenite grains (Ref 149). The sulfide-matrix inter­
faces are sites for the accumulation of diffusion-
mobile hydrogen atoms, which at subsequent
stages cause hydrogen blistering in low-alloy
ferritic-pearlitic steels due to hydrogen mole­
cules formation from its ions and greater (than
the yield strength) planar pressure. Under load­
ing conditions the hydrogen also will accumulate
at the sulfide-matrix boundaries and other sites
where there is a high stress level and will cause
sulfide stress cracking, wltich is characteristic
both to mild and alloy high-strength steels (Ref
150, 151). Shape modification of sulfide inclu­
sions from plate-like to globular lowers the sen­
sitivity of steels to hydrogen cracking, since file
globules are less favorable to hydrogen accu­
mulation than plates are. Calcium and rare-earth
metals are suitable for shape modification of in­
clusions (Ref 152).
Thus, the nonmetallic inclusions, especially
sulfides, enhance accumulation of hydrogen in
steels and increase the susceptibility of steels to
hydrogen embrittlement. Therefore, in order to
lower the sensitivity of steels to hydrogen em­
brittlement, it is necessary to decrease the sulfur
content in them and to modify the shape and type
of sulfide inclusions.
Sulfur, therefore, is a harmful impurity in
steels, lowering their resistance to fracture and
hydrogen embrittlement. In mild steels with fer-
ritic-pearlitic structure, the sulfur', forming man­
ganese sulfides of plate-like shape (stringers),
enhances hydrogen blistering, which is mani­
fested even at 0.001% S. Sulfide (hydrogen)
stress cracking of such steels is sharply reduced
with the decrease of sulfur content below
0.007%. An effective way for prevention of blis­
tering and hydrogen stress cracking is modifi­
cation of engineering steels with rare-earth ele­
ments (0.1-0.3%), especially with cerium
spheroidizing sulfide inclusions.
Phosphorus, Antimony, and Tin. The adverse
effect of these elements on steel properties is
well studied. Impurities enriching grain bound­
aries during tempering cause reversible temper
brittleness. This phenomenon has a considerable
effect on the level of steel resistance to fracture.
Phosphorus in engineering steels greatly low­
ers brittle and ductile fracture. Phosphorus fa­
cilitates steel hydrogen embrittlement by en­
hancing temper brittleness development and
establishing chemical and structural heteroge­
neity.
Quantitative relationships have been found for
the embrittling effect of phosphorus, tin, and an­
timony on steel: Each 0.01% of the impurities
increases brittle fracture temperature, F50, by 20
to 23 °C; (36-41 °F), decreases crack-develop­
ment energy, Ap, by 10 J/cm2; and increases
plasticity loss value during hydrogenation by
8%.
Reference 153 describes a study on the influ­
ence of phosphorus content on the resistance of
heat-hardenable steel (0.4% C, 1.0% Cr, 0.37%
Mo, Fe-bal) to hydrogen-sulfide cracking, and it
has been shown that increasing its content from
0.009 to 0.06% lowers tire threshold stress from
518 MPa (75 ksi) to 140 MPa (20 ksi). Such an
effect of phosphorus is attributed, first, to the fact
that it activates the hydrogen absorption process
and, second, that it changes the shape and dis­
tribution of carbides. Phosphorus or manganese
segregation can be formed at a pearlite band in
low-alloy steels (Ref 154). Such formation
causes structural changes, an increase of steel
occlusive capacity by 2 times, and a decrease of
the time for failure under load in a hydrogenating
medium by 2 times.
The adverse effect of phosphoms on steel re­
sistance to brittle fracture is comparable with the
favorable effect of nickel and molybdenum:
Each 0.01% lowering of phosphorus content in
steel is equivalent, in its influence on the T5 o
level, to steel alloying with 1% nickel or 0.1%
of molybdenum.
Antimony and Tin. The resistance of engi­
neering steels to brittle fracture depends, to a
large extent, on its cleanliness with regard to an­
timony and tin impurities. These impurities are
brought into steel in considerable quantities
(0.01-0.03%) during melting when using scrap.
Both elements increase the cold-shortness
threshold and lower the impact strength level
(Ref 155). The degree of its influence may vary
with the steel alloying system to a great extent.
In low-alloy steels with ferritic-pearlitic struc­
ture, the addition of antimony, which is a more
electro-positive noble element than iron, im­
proves Hie corrosion resistance in hydrochloric
and sulfuric acids, assumed to be due to a film
containing antimony forming on the steel sur­
face. The surface layer inhibits penetration ofhy-
drogen into steel (Ref 156).
To a greater extent, antimony and tin lower
the steel resistance to brittle fracture: Each ad­
ditional 0.01% Sb or Sn raises the by an av­
erage of 18 °C (32 °F). Their adverse effect in
this respect is comparable with the favorable in­
fluence of nickel and molybdenum.
It is possible to assume that at an antimony
content above 0.3%, the effect of lowering steel
resistance to brittle and ductile fractur e will pre­
vail over the effect of lowering the quantity of
absorbed hydrogen. Hence, additional alloying
with approximately 0.20 to 0.30% antimony is
advantageous for low-alloy steels to be used in
hydrogen-sulfide media. The associated reduc­
tion in the level of toughness properties is insig­
nificant as compared with the improvement in
the resistance to hydrogen embrittlement by 2
times.
With respect to these considerations the fol­
lowing conclusions can be drawn:
• Antimony and tin impurities lower the resis­
tance of structural steels to brittle and ductile
fracture: Each 0.01 % increase in antimony or
tin raises ^50 of heat-hardenable steels by 18
°C (32 °F), and each 0.01% increase in anti­
mony raises T50 of low-alloy steels by 1 to 5
°C (1.8-9 °F).
84 / Effect of Materials and Processing
• The embrittling effect of antimony and tin is
due to the enhancement of recurring temper
brittleness process: Addition of 0.0015% Sb
or Sn increases the of heat-hardenable
steels by 100 °C (180 °F).
• Antimony additions (up to 0.3-0.5%) in low-
alloy ferritic-pearlitic steels retard electro­
chemical reactions on a steel surface, reduc­
ing in the amount of absorbed hydrogen.
Consequently, these additions increase (by
more than 2 times) the resistance of steel to
SCC.
REFERENCES
1. H. Epstein, J. Chipman, and N.J. Grant,
Met. Trans., Vol 9 (No. 4), 1957, p 597
2. N.N. Kolgatin, Zavodskaya Laboratoriya,
Vol 9, 1957, p 1098 (in Russian)
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Deflection Methods to Estimate
Residual Stress
H.W. Walton, Consultant
NOT EVERYONE has sophisticated instru­
mentation such as x-ray or neutron diffraction
readily available for the determination of resid­
ual stresses. Nor do they have the time or incli­
nation to use these procedures for checking pro­
duction parts. Mathematical derivations such as
the one for piale by the Treuting and Read
method are also very time consuming (the
method is described at the end of this article).
To determine if residual stresses from prior
processing are the cause of uncontrollable dis­
tortions during processing of thin section parts,
it is a simple matter to slit an as-received piece
and note the amount of deflection resulting from
relaxation of residual stresses, for example, the
net opening of the saw cut. If no deflection oc­
curs, then it can be safely assumed that the prob­
lem lies with the processing parameters and not
with the material (e.g., high feeds and speeds or
high chucking pressures during machining, or
surface overheating during grinding resulting
from insufficient wheel dressing).
These simple techniques, sometimes known
as dissection, are old but still very useful. How­
ever. because slitting a component is a destruc­
tive method, there are limitations, particularly if
the component in question is large.
This article provides a low-cost, easy method
of determining if residual stresses are the cause
of component distortion during manufacture.
Residual Stress
To understand the type of stress that is being
measured, a distinction first needs to be made
between microstresses and macrostresses ex­
tending over large volumes. Microstresses re­
sulting from changes occurring at the atomic
level are equilibrated over very small volumes
and cannot be measured by use of deflection
methods. Macrostresses, on the other hand, are
primarily the result of forming operations or
thermal imbalances during casting, welding, heat
treating, and so on.
If the stress induced by nonuniform cooling
exceeds the yield strength of the material, plastic
deformation occurs. On cooling to a uniform am­
bient temperature, the deformed volume being
restrained by the surrounding material is now
placed under significant elastic stress. This
would be considered macrostress and is the
stress most likely to cause deformation during
subsequent processing.
Consider the simple example of bending a bar
to form a permanent set. The surface material at
the elbow or concave surface undergoes perma­
nent plastic deformation while the inside diam­
eter is undergoing compressive plastic defor­
mation. When the applied force is removed, the
underlying elastically stretched material (at the
elbow) is now prevented from relaxing com­
pletely. The result is that the plastically de­
formed surface layers of the elbow arc placed
under elastic compression by the underlying
elastically stretched material. The opposite is
true for the inside diameter. It follows that if the
bar is placed in service in this condition, corro­
sion and development of cracks are more likely
to occur at the surface of the inside diameter.
In general terms, if a surface undergoes per­
manent plastic deformation by cold rolling, shot
peening, machining, thermal processing, and so
on, which in turn results in the underlying ma­
terial being elastically stretched or compressed,
the material plastically deformed by tensile
forces is left in elastic compression. Material
plastically deformed by compressive forces is in
elastic tension.
The influence of nonuniform residual stress is
sometimes dramatically illustrated by “fishtail­
ing” of large hot-rolled steel plate. As the plate
cools after rolling, transformational stresses are
developed and, if an extensive central lamination
is present due to inadequate discard or casting
problems, these stresses can cause the plate to
separate into two halves (Fig. 1).
The stress distributions present before and af­
ter the occurrence of a fishtail are shown in the
sketch. In the as-rolled plate, tensile stresses
( +tv stress) on the surface are trying to contract
the surface while compressive stresses ( tv
stress) are trying to expand the plate core. How
this stress distribution develops is illustrated in
Fig. 2. After fishtailing, the two halves of the
plate attain a new equilibrium stress distribution.
While air cooling after hot rolling, the plate
surface will be cooling faster than the core ma­
terial, and thermal stresses developed at this
stage will be relaxed by the plastic deformation
of the low strength austenite. At lower tempera­
tures, transformation to ferrite and pearlite be­
gins at the surface (Fig. 3), causing complex in­
teractions and a variety of stress conditions.
Because of the relatively low yield strength of
the various phases and the role of transformation
induced plasticity, the final stresses are low.
I lowever, over a large surface area even low re­
sidual stresses can have a profound effect, par­
ticularly in the presence of large defects such as
a lamination.
If not fixtured in a vertical position, severe
distortion of quenched flat steel sections may oc­
cur. This is due to differences in the cooling rate
and transformation behavior between the top and
bottom surface.
In a carburized product, because of the com­
positional changes causing transformation to
progress from the inside out and the considerably
higher-strength case, the final residual stress pro­
file is reversed and a beneficial high-compressive
surface stress is developed (Ref 1). Figure 4
shows the development of these residual stresses
during the heat treatment of a carburized com­
ponent.
It is very important to avoid heating small,
isolated areas on the surface of hardened steel.
-tv o +tv
-tv o +tv
90 / Measurement and Prediction of Residual Stress and Distortion
Examples of where this may occur are: ditive influence of the multiple small areas of
plastic extension of the surface must be consid­
• Components ground with inadequate cooling ered. The overall surface undergoes a plastic ex­
fluid or faulty equipment (vibrating wheel tension, thus putting the underlying layers in ten­
heads) sion. Consequently, on completion of the
• Using a gas flame to enlarge a hardened com­ shot-peening operation, the surface is restrained
ponent for assembly on a shaft in a beneficial compressive state.
• Electrical arcing from inadequately earthed The maximum level of residual stress that can
drive motors be generated is approximately equal to the elastic
• Accidental arcing during magnetization for limit or yield strength of the material measured
magnetic particle inspection under the same stress condition and for the same
The thermally damaged area is restrained from cross section. The existence of triaxial stresses
expanding by the surrounding material and be­ in heavy section components has a major influ­
comes plastically deformed under compression. ence on the ease of plastic flow (plane-strain con­
Consequently, on cooling to ambient tempera­ ditions). If surrounding material inhibits plastic
ture, the surface is left in a tensile condition, and flow by significantly limiting shear stresses, the
cracking ensues either immediately or after the levels of residual tensile stress may become
component is placed in sendee (more worrying). high. Catastrophic fracture occurs when the ten­
Heating at temperature above the original tem­ sile stress level exceeds the cohesive strength of
pering temperature may also lead to a contrac­ the steel.
tion.
Shot peening appears to be an anomaly. At Manufacturing Implications of
first sight, the impact of the shot particles seems Residual Stresses
to cause plastic deformation in compression. It
should follow that the surface is in tension fol­ There are many examples that show how re­
lowing the peening treatment. However, the ad­ laxation or redistribution of residual stresses
Cooler outside Hotter core
surface
Transformation
Consider a slice through half the thickness of a plate.
At the onset ofthe cooling, both the surface and
the core are austenitic and stress free.
The surface will transform first, acccompanied by
an expansion. Restraint by the underlying material
will place the transformed element in compression "C".
Although the adjoining austenitic element "stretches"
and plastically yields, it will be in tension "T".
Schematic representation of transformational
expansion in the absence of any restraining effect
by the surrounding material
The already extended underlying element then
undergoes transformation and expands further. This
induces tensile stresses in the material on either side,
but due to the restraining influence of surrounding
material, compressive stresses are induced in the
newly transformed steel.
The transformation front proceeds deeper into the
section, leaving behind a surface that is in tensile.
The magnitude of stress is determined by the relative
yield strength ofthe phases. Because ofthe TRIP
effect (transformation induced plasticity), the plasticity
ofthe transforming steel is considerably higher.
\*
Fig. 2 The development of residual stresses during cooling of steels
contributes to high processing costs. One ex­
ample is tire need to use multiple grinding passes
to avoid distortion in thin section components.
A frequent problem often wrongly attributed to
the heat treatment department is heat treatment
distortion from prior residual stresses in the raw
material.
Premature failure due to harmful residual sur­
face tensile stress in the manufactured product is
to be avoided at all costs.
On the other hand, the presence of residual
stresses may be advantageous, as in the example
of compressive stresses from case hardening and
shot peening.
Using residual stresses to intentionally deform
a component can be illustrated by the use of shot
peening to shape the aircraft fuselage, by using
a peen hammer to straighten a long shaft, or by
simply hot spotting to bend a simple bar of steel.
For example, a small area on one side of a
steel bar is heated rapidly to a temperature, 7, of
approximately 600 °C (1100 °F) (Ref 2). If free
to expand, tire heated disc-shaped region in­
creases in length, /, by:
/=aXT
= 14 X 600
= 8.4 X 10"3 gni/rnm
where a is the coefficient of thermal expansion
in fim/mm ■ K. However, the surrounding cooler
material restrains expansion. Because ofthe rela­
tively low yield strength at 600 °C (YS600) of
approximately 30 MPa (4.5 ksi), the heated steel
deforms plastically under compression, increas­
ing the thickness of Hie heated disc. On cooling,
the disc contracts the same amount and, assum­
ing no stress relaxation occurred, a tensile stress,
a, is now developed in the disc:
o = (E x I ) - YS m
= (200 X 103 X 8.4 X 10“3) - 30
= 1650 MPa (240 ksi)
where E is the modulus of elasticity (MPa). The
stress in the disc cannot be greater than the yield
strength of about 500 MPa (73 ksi). Therefore,
either the disc stretches plastically, or the bar
bends elastically'' to balance the stresses (or
both).
The manufacture of seamless high-carbon-
bearing steel tube involves hot rolling, sizing,
straightening, and spheroidize annealing. Each
stage of manufacture introduces various degrees
of residual stress. If residual stress levels are
higher than normal, difficulties may be experi­
enced during subsequent machining and heat
treatment ofthe rings. As seen from the previous
calculation, the higher the yield strength of the
material, the greater the potential for high levels
of residual stress. As thermal and mechanical
treatment of steel increases the strength of a ma­
terial, potential problems with residual stress
also increase. For example, a small area of ther­
mal damage on the surface of a hardened high-

carbon steel (e.g., electric arc discharge) may re­
sult in a level of triaxial residual stress close to
the cohesive strength of the material, possibly
leading to immediate or delayed cracking.
Although the stress may be multidirectional,
hoop stress that arises at several stages of man­
ufacture is Hie primary cause of many of the
problems. When a length of tube is parted off
and slit in a longitudinal direction, any hoop
stress present tends to open the slit (Fig. 5).
Opening of the slit indicates compressive stress
in the inside diameter (ID) of the tube and tensile
stress on the outside diameter (OD). On rare oc­
casions, the slit may close, indicating the reverse
condition. The stress is not always uniform along
the length of the tube. Stress measurements have,
on occasions, indicated a cyclic variation corre­
sponding to differences in cooling of areas in
contact with the cooling bed cross ties.
Shot peening intensity is monitored by using
a method developed by J.O. Almen of General
Motors Company. In this method, 75 mm long
by 18.75 mm wide (3.00 by 0.75 in.) strips of
1070 spring steel are quenched and tempered to
a deep-blue oxide finish (“blue tempered”) for a
hardness of 45 to 50 Rc and exposed on one side
to the same shot intensity as the component un­
dergoing treatment (Ref 3). Three different
thicknesses are used: “N,” 0.79 mm (0.031 in.);
“A,” 1.30 mm (0.051in.); and “C,” 2.38 mm
(0.0938 in.) to allow for differences in degree
and shot peening required and materials being
treated. For example, peen forming of an alu­
minum alloy requires considerably less peen in­
tensity than a carburized gear tooth. During treat­
ment, the Almen strip assumes a concave shape.
The lift height is proportional to the level of
compressive stress developed in the upper sur­
pig 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. Ar%
and Aru upper and lower transformation temperatures, respectively, on heating (refroidissant) a hypoeutectoid steel
Deflection Methods to Estimate Residual Stress / 91
face during peening. Peening is continued until
the material has reached saturation; that is, when
the lift height increases by no significant amount
and the compressive stress in the surface layers
corresponds closely to the elastic limit of the
steel strip (Fig. 6).
Consider the residual stress distribution
through the Almen strip. Deflection of the strip
occurs in order to relieve some of the high sur­
face compressive stress. The peened surface area
endeavors to expand by bowing in order to nul­
lify the compressive stress. The magnitude of
bowing is limited by the restraint of the remain­
der of the material, and equilibrium is reached
when the remaining compressive stress is in bal­
ance with the elastic compressive stress devel­
oped in the lower surface. The depth and inten­
sify of the compressive layer is proportional to
the lift height at saturation. The Almen strips are
primarily used to ensure that the process is in
control (shot condition, uniformity in applica­
tion, impeller operation, etc.). A photograph of
three typical strips is shown in Fig. 7.
Metal Improvement Company, Inc., in col­
laboration with ENSAM, a French advanced en­
gineering school, has developed a software pro­
gram called PeenStress (Metal Improvement
Co., Inc., Paramus, NJ) that is used to assist in
shot peening callouts (Ref 4). The user selects a
material from a library of about 80 materials,
then selects a shot size and shot intensify and
inputs some basic geometry considerations. Fig­
ure 8 is a curve generated on a chromium-silicon
spring wire shot peened with a hardened, 0.023
in. 0 shot to a 10 A intensity. A 10 A intensity
equates to a 0.25 mm (0.010 in.) arc height on
the A-strip.
One of the older standard tests for evaluating
quench distortion is the Navy C-ring test (Ref 5-
7). The amount of distortion (deflection) of a
quenched test piece is measured by the change
in the gap width (Fig. 9).
Methods for Measuring Residual
Stresses from Deflection Data
Sectioning to allow relaxation of residual
stress in actual components where stresses are
thought to be present can be performed by sev­
eral methods, from simple saw cutting to the
more sophisticated compliance method (Ref 8-
10). In the latter method, the residual stress pro­
file is calculated from the strains caused by in­
troducing a cut of progressively increasing depth
into the component. The strains are measured by
using suitably positioned strain gages cemented
to the surface adjacent to the cut. The cutting is
performed by using various techniques, how­
ever, electrical discharge machining is the pre­
ferred method. Usually, two computer-based ap­
proaches are used to analyze the data. These are
the forward and inverse solution. The forward
solution derives the measurable strains (compli­
ance functions) that develop from introducing a
successively deeper slot into a part containing an
arbitrary known stress distribution. The inverse
solution develops the original residual stress dis­
tribution that best matches the actually measured
strains.
Similar methods based on drilling small holes
in the stressed material have been around for
some years. Strain relaxation is measured using
strain gages or photoelastic coatings. Strain
gages have been used to measure strain relaxa­
tion in bevel gears following successive removal
of layers by electrochemical machining (Ref 11).
Saw cutting or slitting is an easy qualify con­
trol test that gives a global overview of the state
of residual bulk hoop stress in rings. Interest­
ingly, such a technique was used recently to val­
idate the measurements of residual stress levels
in railway wheels using electromagnetic-
acoustic transducers (Ref 12).
Mathematical Derivations for
Simple Cases Based on the Saw-Cut
Methods
Definitions of the symbols used in the follow­
ing derivations are given in Table 1.
To develop the mathematical algorithms for
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):
where M is the bending moment to which the
beam is subjected at x. Bending moment M is
92 / Measurement and Prediction of Residual Stress and Distortion

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 Mis not obvious from the first prin­
o quenching increases (M^. Although the cooling rate ciples for a given case, it may be obtained from
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.
The adjoining austenitic case element will plastically
expand outward to accommodate the resulting tensile
stress.
(Eq 2)
Schematic representation of transformational
expansion in the absence of any restraining effect
by the surrounding material

/ /N------------------------------------------ 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
ut resulting expansion of the already extended case
by subtracting the I of the empty areas.
element creates tensile stresses in both remaining
For a circular cross section:
HI /
austenitic case and adjoining core.
\s----------------------------------------

y The continued transformation of the progressively

higher carbon case and the resulting expansion of the
Hitt t already plastically stretched elements result in high
OUVI I I compressive stresses. Consequently, the underlying
tttii 1 /
transformed core is pulled into tension.

The moment of inertia for hollow tubes can

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

E = ] v2 (E(i 4>

- o + R is the radius of curvature of the beam when it

OD
bends under load.
<
To calculate the stress in a simple beam:
\
/

Me
ID a=— (Eq 5)

For a rectangular beam at the surface where the

stress is greatest:

I _ bt3
(Eq 6)
12

t
(Eq 7)
C ~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
 Deflection Methods to Estimate Residual Stress / 93

_ . Table 1 Symbols used in the derivations and formulas

(Eq8) -----------------!----------------------------------------------------------------
Units
Symbol Description SI English Notes
This explains why a beam that is twice as thick
M Bending moment N- M Ibf • in.
is four times as strong. I Moment of inertia m4 in4 I = b?i 12 for rectangle (where b and
The distribution of residual stress in actual t are the dimensions of the
components is unlikely to be linear. However, cross section) / = nr*f4
for circle
for the subsequent approximate analysis, the psi
c? Stress in material Pa
beam stress is assumed to vary linearly through c Distance from neutral axis m in. In a symmetrical section this
the section. is the distance from the mid­
In sheet and bar, as the sheet fishtails or is cut point or center of gravity
Young’s modulus Pa psi
in a central planar direction, the bending moment B in.
R Radius of curvature of beam or displaced section m
created by the residual stress is released (Fig. L Length of curved beam m in.
11). The bending moment may be expressed as: r Radius of round bar cross section m in.
t Thickness of beam/plate/tube wall m in.
d Measured deflection m in.
FJ
M=— (Eq 9) Y Poisson’s ratio Dimensionless 0.3 for steel
K

given that:

t
c= (Eq to)
4

where t is plate thickness, and assuming the dis­

tribution of the residual stress that resulted in the
fishtail varies linearly over the half-thickness of
the sheet, the maximum longitudinal stress at the
surface is given by:

Me
a (Eq 11)
T

Substituting Eq 9 and 10 in Eq 11 gives:

St ^
<> = — (Eql2)

If the deflection, d, is small compared to the ra­

dius of curvature, R, R may be expressed in terms
of the deflection, d, and the length of the curved
surface, L, by: Fig. 6 Use of Almen strips to monitor the degree of shot peening. Source: Ref 3

R= — (Eq 13)
2d

This is derived as in Fig. 12.

Referring to Fig. 12, the two radii Ol and 02
are drawn as shown, and the tangents 1,3 and 2,4
are drawn to these radii. A chord is drawn be­
tween the points of tangency 1 and 2 and the line
2(5 is drawn perpendicular to the chord at2.The
two isosceles triangles RLk and mdn are similar
and therefore:

R_m
(Eq 14)
T~ ~d

or

(Eq 15)

For small angles, L is the arc 1,2 andra is X A the

arc 1,2, or Fig. 7 Almen strips used to monitor different levels of shot peening intensity
94 / Measurement and Prediction of Residual Stress and Distortion

A simpler technique to measure the circum­ following method is often used to identify the
m=—L (Eq 16)
ferential hoop stress in a thin-walled tube is to possible cause:
slit the tube longitudinally with a carborundum
• Using a carborundum wheel, a ring, either
therefore (as in Eq 13): cutoff wheel (using plenty of coolant to avoid
parted from the tube or machined, is cut ax­
heating of the surfaces) and measuring the
ially thr ough the section.
change in diameter of the tube (Fig. 13b):
• I f unknown, the saw curf width (width of saw
*- a (Eq17)

where d is the deflection of the strip (Fig. 11 a).

According to Eq 12:
where D0 is initial diameter and Z), is diameter
Ft after slitting.
a= —- (Eq
H
18) Alternatively, the net opening displacement at
4R
the saw cut is measured by subtracting the width
it follows: of the saw blade, and the residual hoop stress is
measured using the formula:
Etd
a (Eq 19)
2F
(Eq 23)
A similar derivation can be obtained for round
bar (Fig. 1 lb):
where x is the net opening displacement.
1.65 Erd
o (Eq 20) A summary of the derivations is given in Ta­
T2
ble 2.
A Practical Example. The formulas in Table
For thin-walled tubing (Fig. 13), the longitudinal 2 are used extensively for measuring residual
stress is given by: hoop stresses in seamless tube and machined
bearing rings. These stresses may arise from tube
Etd straightening without a stress-relief anneal or
c (Eq 21)
IF nonuniform rapid cooling following the spher-
oidized anneal. In the past, contact with the sup­
Equation 21 is the same as Eq 19 except that port bars on cooling beds has been recognized
t/2 is used in the former case because only half as being a potential cause of cyclic nonuniform (b)
the sheet thickness deflects. stress along the length of a tube.
Where 52100 bearing steel rings are being ma­ 2 in.
The method of sectioning a tube to obtain the
previously mentioned approximate measurement chined on multispindle machines and the oper­
is shown in Fig. 13(a). ator is having difficulty in maintaining size, the

Residua! stress , ksi

2000:5:9
Peen stress
ENSAM-MIC
d= 5.198 mils
h = 0.294 mils
10 A
S 230 shot Fifi 9 Examples of C-ring test specimens used for
V= 124 ft/s ® quench distortion studies, (a) Source: Ref 5. (b)
HS/4320 . CB/SP Source: Ref 6. (c) Source: Ref 7

Dir. Z

Fs (ksi) -102

Fm (ksi) -203

PFm (in.) 0.001

PF0 (in.) 0.008

Fig. 8 Calculated residual stress distribution in a shot peened chromium-silicon spring wire, d, depth;h, height. Source: Fig. 10 Simple beam theory—definition of bending
Peen Stress, Metal Improvement Company, Inc. moment. W, weight in lbs or kg
 Deflection Methods to Estimate Residual Stress / 95

cut) is determined by measuring a shallow cut
adjacent to the final cut.
• The gap width is measured using internal cal­
ipers. The net opening (x) equals the gap
width minus the saw curf (width).
On occasions the gap may decrease, indicating a
compressive hoop stress. In extreme situations,
the blade may become nipped and may even dis­
integrate. Ensure proper protection when using
this method.
For greater accuracy in large cross sections,
the value for E can be corrected for Poisson’s
ratio by:
E= = 28.57 X 106 psi
these may lead to quenched-in nonuniform predicting distortion in heat-treated products. An
stress. During subsequent grinding operations, example is DANTE (Deformation Control Tech­
the stress distribution undergoes a redistribution nology, Inc., Cleveland. Oi l), developed by a
and may, in extreme cases, lead to the rings dis­ collaborative team comprising Ford Motor Com­
torting. Although heat treating receives the pany. General Motors Company, The Torrington
blame, many similar problems may, in fact, be Company, Eaton Corporation, IITRI, Colorado
attributed to the incoming raw material. School of Mines,. The Department of Energy Na­
tional Labs, Deformation Control Technology,
Inc., and under the auspices of the National Cen­
Validation of Net Opening ter for Manufacturing Science. In order to ac­
curately predict the thermal and allotropic stress-
Calculation
induced size changes and distortion in
heat-treated products (including carburized), it is
Considerable work has been accomplished in necessary to incorporate many factors into the
recent years in the area of heat treatment mod­ finite element-based model, including the trans­
eling and, in particular, of software capable of formational characteristics of the steel, the ele-

Elastic constants for several materials are

given in Table 3 (Ref 16). (These must only be
used as a guide. For more rigorous treatment of
elastic and plastic distortion, actual values
should be obtained for each material and con­
dition under consideration.)
From experience in dealing with distortion
problems in manufacturing that are attributable
to residual stress in tube stock, it was determined
that the following criteria could be used as a
guide to the acceptabi lity of the calculated stress
(a)
levels.

Residual stress Acceptability

<5000 psi Acceptable
5000-10,000 psi Borderline
UífifiQO psi Unacceptable

The criteria used to determine what residual

stress is acceptable must also be based on the
cross section of the ring: the more rigid the de­
sign, the higher the stress level tolerated. How­ Determination of longitudinal residual stress by the deflection method, (a) Rolled sheet, (b) Drawn bar. So
Fig- 11 Ref 14
ever, this only applies to holding tolerance dur­
ing machining. During subsequent heat
treatment, the magnitude of residual stress may
still be sufficient to cause distortion during heat­
ing. As the temperature increases, the yield
strength of the steel decreases, allowing relaxa­
tion by plastic deformation. This is manifested
in the parts being out-of-round exiting the fur­
nace.
In very thin sections, some of the stress may
be from the machining operation (e g, feeds and
speeds too high).
In order to lessen the effects of residual
stresses during heat treatment, pre-heating at a
subcritieal temperature has been found to be use­
ful. A portion of the stress is allow ed to relax
without causing a gross shape change.
Examples of extreme levels of residual stress
in tube material are usually seen when it was
impossible to machine an acceptable part. Stress
relieving one particular batch of tubes (new' sup­
plier) resulted in them moving so far out-of­
round that they no longer fit in the multispindle Fie. 13 Determination of residual stresses in thin-
walled tube by deflection methods, (a) Longi­
machine collets.
tudinal stress, (b) Circumferential stress, f, thickness; d, de­
In an attempt to avoid out-of-round rings, die Diagrammatic representation of the deflectionflection; D0, initial diam; Du diam after slitting; x, net
Fig. 12
quenching techniques are often used. However, formula derivation. Source: Ref 1 5 opening displacement. Source: Ref 14
96 / Measurement and Prediction of Residual Stress and Distortion

vated temperature properties and behavior of the Using DANTE, it has been possible to subj ect 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 file 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 17-21). 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
MPa (25 ksi). hi thinner cross section rings, the
Table 2 List of formulas used for calculating approximate levels of residual stress in simple
net opening will be larger for the same level of
geometries by deflection methods
residual stress, as shown in Fig. 15. For a cross
Method section of 9.5 mm (0.375 in.) and a similar- re­
Std sidual stress condition, the net opening is cal­
Longitudinal stress in plate (Fig. 11 a)
2£? culated to be 6.3 mm (0.247 in.). Equation 23
\.65Erd gives a calculated hoop stress of 179 MPa (26
Longitudinal stress in solid bar (Fig. 11 b) where r is the radius of the b ar ksi). These calculations used a Young’s modulus
~ir~
Etd value of 29 X 10 6 psi and Poisson’s ratio of
Longitudinal stress in thin-walled tube (Fig. 13 a) 0.33.
It is interesting to note that one of the many
Circumferential (hoop) stress in tube from change in diameter where and L\
techniques used to exercise DANTE was based
are the initial and find diameters, respectively (Fig. 13b) -‘(i-i) on the carburizing of a modified Almen strip
(Ref 22, 23). Excellent agreement between the
a = St\----------
Circumferential stress in tube from net opening displacement x
lA
(I + predicted
were
4 obtained.
and measured transverse deflections

Example: Determining Biaxial

Table 3 Elastic constants for some of the common metals
Residual-Stress State
Modulus elasticity .Shear modulus
Materials GPa 10* psi GPa 10* psi Poisson’s ratio
Treuting and Read devel oped 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 re si dual-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 andthatthe stress varies,not
Tungsten 400 58.0 157 22.8 0.27
in the plane of the sheet, but only through the
thickness. To apply the method, the sheet spec­
Source: Ref 16
imen is cemented into a flat par allel surface, and

ANSYS 5.4 ANSYS 5.4

JAN 18 2000 JAN 18 2000
16:34:12 16:35:41
NODAL SOLUTION NODAL SOLUTION
STEP-1 STEP-1
SUB -1 SU8 -1
TIHE-1 TIME-1
ST IAVG) SY (AVG |
RSYS-1 RSYS-1
PowerGraphics PowerGraphics
EFAcrr-i EFACET-1
AVRES-Mat. AVRF.S-W4L
DMX -.004968 DfCi -.067633
SMN —29419 SKN —685.962
5MX -26807 SMC -1461
— -29419 b -685.962
™ -23171 447.377
CD -16924
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29.793
CD -4429 □
CD 1818 CZ3 268.378
506.963
CD 8065 CU 745.548
CD 14313 □ 984.133
CD 20560 E3 1223
26807 1461

HOOP STHBSS j SOLID R1KC ¡ C OO, 0.7S" THICK HOOP STRESS : CUT RING : 6" OD, 0.75" THICK

Fig. 14 Simulation of the effects of residual stress on the net opening displacement of a cut 0.75 in. thick ring
 Deflection Methods to Estimate Residual Stress / 97

ANSYS 5.4 ANSYS 5.4

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HOOP STRESS ; SOLID RING : 6“ OP, 0.375" THICK HOOP STRESS : CUT RING : 6" OD, 0.375" THICK

Fig. 15 Simulation of the effects of residual stress on the net opening displacement of a cut 0.75 in. thick ring

the thickness is reduced a certain amount by B 4. D. Breuer, Metal Improvement Company,

careful polishing and etching. The sheet speci­
men is then released from the surface and mea­
surements are made of the longitudinal radius of
curvature R„ , the transverse radius of curvature
Ry, and the thickness, t. Figure 16 illustrates the
orientation of the principle stresses and the cur­
vature of the sheet. The measure values of radius
of curvature are expressed in terms of two pa­
rameter's, Px and Py.
1V
R, Ry
l V
Ry Rx
Measurements of Rx and Py are made for differ­
ent amounts of metal removal, and Px andPj, are
plotted against the sheet thickness, t. The resid­
ual stresses in thex andy directions of the sheet
are determined for any value of t by the follow­
ing equations.
W (b)
(a) Coordinate system for measuring biaxial stress in thin sheet, (b) Curvature produced by removing material
Fig. 16
from top surface
6(1 - v2) private communication, 1999
dP 5. Heat Treating, Cleaning and Finishing, Vol
(&> + if —f + 4 (k + OP* 2, Metals Handbook, 8th ed., ASM Inter­
at
national, 1964,p 41
S 6. ‘Tenaxal, Ucon Quench A—The Fast Safe
6(1 - 'ñ Way to Quench Steel Alloys,” Product In­
dP f formation Bulletin, Tenaxal, Inc., Milwau­
(ÍQ + tf --- + 4(to + f)Py + 2 Pydt kee, WI, revised 1972
at h .
7. H.J. French, The Qienching of Steels,
Values of dP/dt are obtained from the slope of American Society for Steel Treating, 1930,
the curves of P versus t, and the integrals are p 133
evaluated by determining the area under the P 8. B. Prime, “Residual Stress Measurement by
Successive Extension of a Slot: The Crack
versus t curve over the appropriate limits.
Compliance Method,” Los Alamos Nati onal
Laboratory, Publication LA-UR- 98-3857,
REFERENCES 1998
9. W. Gremaud, I. Cheng, M. Finnie, and B.
1. G. Parrish andG.S. Harper,Production Gas Prime, The Compliance Method for Mea­
Carburizing, Pergamon Press, 1985 surement of Near Surface Residual
2. F.W. Jones, JEST, May 1969, p 556-562 Stresses—Analytical Background, J. Eng.
3. “ShotPeening Applications,” 7thEd,Metal Mater. Technol., Vol 116, p 550-555
Improvement Company, Inc., 1995 10. I. Cheng, M. Finnie, M. Gremaud, and B.
Prime, Measurement of Near Surface Resid­
ual Stresses Using Electric Wire Machining,
J. Eng. Mater. Technol., Vol 116, p 1-7
11. Kovac, Residual Stress Measurements in
Bevel Gear after Different Production
Phases,/. Mater. Eng. Perform., Vol 3 (No.
1), Feb 1994, p 61-64
12. E. Shramm, J. Szelazek, and A.V. Clark,
“Dynamometer—Induced Residual Stress
in Railroad Wheels: Ultrasonic and Saw Cut
Measurements,” National Institute of Stan­
dards and Technology Publication NISTTR
5043, Report Number 30, March 1995
13. J.E. Gordon, The New Science of Strong
Materials, Penguin Books, 1968, p 258-
261
14. G.E. Dieter, Mechanical Metallurgy, 1st
ed., McGraw-Hill Book Company', New
York, 1961
15. RL. Anderson and E.G. Fahlman, A
98 / Measurement and Prediction of Residual Stress and Distortion
Method for Measuring Internal Stress in
Brass Tubes, J. Inst. Met., Vol 32, 1924, p
367-383
16. G.E. Totten and M.H. Howes, Steel Heat
Treatment Handbook, Marcel Dekker Inc.,
New York, 1997, p 256-261
17. D. Shick et al., Development of a Carburiz­
ing and Quenching Simulation Tool: Deter­
mination of Heat Transfer Boundary Con­
ditions in Salt, Second International Conf.
on Quenching and Control of Distortion
Proc., ASM International, 1996
18. D. Brammann et al., Development of a Car­
burizing and Quenching Simulation Tool: A
Material Model for Low Carbon Steels Un­
dergoing Phase Transformations, Second
International Conference on Quenching and
Control of Distortion Proceedings, ASM
International, 1996
19. C. Anderson et al., Development of a Car­
burizing and Quenching Simulation Tool:
Numerical Simulation of Rings and Gears,
Second International Conference on
Quenching and Control of Distortion Pro­
ceedings, ASM International, 1996
20. B.L. Ferguson, A.M. Freborg, and G.J. Pe­
trus, A Software Tool to Simulate Quench­
ing of Alloy Steels, Heat Treating Progress,
to be published
21. M.T. Lusk, Y.K. Lee, H.J. Jou, W.E. Elliott,
and G.M. Ludtka, An Internal State Variable
Model for the Low Temperature Tempering
of Low Alloy Steels, First International
Conference on Thermal Process Modeling
and Computer Simulation, Jiatong Univer­
sity, Shanghai, March 2000
22. V.C. Prantil, M.L. Callabresi, G.S. Ramas-
wamy, and J.F. Lathrop, Simulating Distor­
tion and Residual Stresses in Carburized
Thin Strips, ASME J. Eng. Mater. Technol,
to be published
23. M. Henriksen, D.B. Larson, and C.J. Van
Tyne, On the Analysis of Distortion and Re­
sidual Stress in Carburized Steels, ASME J.
Eng. Mater. Technol., Vol 114, 1992, p
362-367
24. R.G. Treuting and W.T. Read, J. Appl.
Phys., Vol 22, 1951, p 130-134
Measurement of Residual Stresses
C. Ruud, Pennsylvania State University
THIS ARTICLE PROVIDES an insight into
the principles, practices, andlimitations of resid­
ual-stress measurement procedures for steel. It is
not meant to provide sufficient detail for the per­
formance of the various methods described, but
references are cited where such procedural de­
tails may be found (e.g., Ref 1-5 or for general
inquiries, www.residualstress.com on the Inter­
net).
There have been many methods and tech­
niques proposed for the measurement of residual
stress, but only a few may be applied in practice
on components ranging from small to very' large,
such as bridges and aircraft. These few include
x-ray diffraction (XRD) and blind hole drilling
with electrical resistance strain gages. For some
of the methods described, the component in
which residual stresses are to be measured must
be brought to the measuring instrument, but for
others the measurement devices are portable and
may be brought to the component (Fig. 1). How­
ever, in some cases it may be feasible to remove
a section from the component and bring that sec­
tion to the residual-stress measuring device.
Great caution must be observed in this sectioning
because it will change the stress field by reliev­
ing and/or inducing stresses.
Fig. 1 Measurement of residual stresses on oil-drilling
platform componentweldmentsusingaportable
x-ray diffraction instrument
Any manufacturing process that changes the
shape of a solid, or where severe temper ature
gradients exist during the process, causes resid­
ual stress. By their very nature, processes that
change the shape of a solid cause nonuniform
plastic deformation in the solid, which leads to
residual stress. These processes include forging,
rolling, drawing, machining, and so forth. Also,
processes that produce high thermal gradients in
a solid often lead to residual stress. These pro­
cesses include quenching, casting, welding, and
so forth. Furthermore, processes that induce lo­
calized phase changes produce residual stress.
These processes include martensitic hardening.
The residual stresses caused by manufacturing
processes usually show very steep residual stress
to distance gradients as shown in Fig. 2. Many
of the other articles in this Handbook discuss and
describe in detail the causes and mechanisms of
residual-stresses development in manufacturing
processes. The steep gradients typical of residual
stresses induced by manufacturing processes
fda > 200 MPa \
\ dx mm /
Fig. 2 Residual-stress magnitudes and distributions typical of a 650 MPa yield strength steel
have resulted in disagreement between residual-
stress measurements made by the mechanical
stress relaxation type methods discussed in the
secti on “hitroducti on to D estructive Procedures”
and the XRD methods discussed in the section
“Nondestructive Techniques” in this article. The
disagreement is nearly always because the vol­
ume of the component in which the stress ismea-
sured is not the same in the two methods, and
thus a different portion of the stress gradient is
measured by each. Ruud et al. (Ref 6) showed
that the hole-drilling method resulted in mea­
sured stresses approaching that of the stresses
measured at the surface by XRD when the hole­
drilling results were extrapolated to the surface.
Furthermore, because of the steep gradients, un­
less the stress field caused by the process is well
understood, stress measurements must be per­
formed at many locations in the manufactured
solid in order to establish the magnitude and dis­
tribution of the stress field of interest. Many' re­
searchers in re si dual-stress techniques have fo-
o Drawn
cup
100 / Measurement and Prediction of Residual Stress and Distortion
cused on enhancing the accuracy of
residual-stress measurement and have ignored
the fact that from a practical standpoint, tens to
hundreds of stress measurements are needed to
define the stress field of interest. Thus, many of
Hie residual-stress measurement teclmiques re­
quire too much time to perform and are thus im­
practical. This includes some of the techniques
developed for XRD, strain gaging, and other
methods. Measurement times on the order of a
second are available with XRD and some other
methods, and automated stress mapping has been
performed with such techniques (Ref 7). Another
concern in the measurement of residual stresses
in manufactured components is that the area or
volume over which the stresses are resolved
must often be on the order of 1 mm (0.04 in.) or
less. Tliis is because the residual-stress gradients
are usually quite steep, and measurement reso­
lution larger than this tends to average the
stresses to such an extent that high stresses are
not detected.
Some characteristics of steel that can cause
error in residual-stress measurement by the vari­
ous methods described in this article include
phase composition, plastic strain, grain size,
crystallographic texture, and others. For exam­
ple, in a mixed ferrite/austenitic structure the re­
sidual stresses in the ferrite are invariably dif­
ferent than those in the austenite (see Table 1).
Also, Wimpory et al. (Ref 8) described the influ­
ence of varying amounts of cementite in a ferrite
matrix. The possibility of one or more of these
microstructural characteristics causing error in
the residual-stress measurements performed by
the methods described in this article should be
assessed by an expert in the method selected, and
details of the errors and their causes are not dis­
cussed in detail in this article.
The subsequent sections of this article discuss
and describe:
• The need for measurement—what problem is
the engineer or metallurgist trying to solve by
obtaining information about the residual-
stress field?
• The nature of the residual-stress fields in
steels—examples of the magnitudes and dis­
tributions.
• The strain basics for residual-stress measure­
ments—elastic strain measured, not stresses.
Table 1 Sample of residual-stress readings
from a 316 stainless steel pipe weldment
Distance from Stress
the weld (a) in
fusion line austenite
in. mm ksi MPa
0.04 i -21 -145
0.07 1.8 -19 -131
0.11 2.8 -16 -110
0.15 3.8 -17 -17
Note: The ferrite places tensile stresses on the lattice of the austenite,
while the austenite tends to compress the ferrite; therefore, the more
compressive the stress in the ferrite, the less compressive the stress in
the austenite, (a) The precision of these measurements was ±3.0 ksi
(±21 MPa).
• The destructive procedures of residual-stress
measurement—these procedures are all
based on sectioning or removal of material to
cause a redistribution of the residual stress,
which is measured as a strain change.
• The semidestructive methods of residual-
stress measurement—these methods are
based on the same principle as the destructive
methods or on the perturbation of the resid­
ual-stress field by other means.
• The nondestructive methods of re si dual-stress
measurement—these methods do not per­
manently disturb the residual-stress field, but
directly measure the atomic lattice strain
caused by the stress or measure some physical
property perturbed by the lattice strain.
Need for Residual-Stress
Measurements
Before the engineer or metallurgist commits
to measuring residual stresses in some compo­
nent or workpiece, he or she must be sure that
the reason for the measurement is clearly under­
stood. The major reasons that residual stresses
are of concern are:
• Fallures that are suspected as being c aused by
fatigue, stress corrosion, corrosion fatigue, or
hydrogen embrittlement
• Assessment for the continued serviceability
of a component, for example, life assessment;
this is usually focused on a concern for in-
service failure
• Distortion occurring during processing of a
component
• Distortion of components during storage or in
service
It is extremely important that the investigator
understand the mechanism for the inducement of
the residual-stress field of concern. As implied
by the other articles in this Handbook, most
cases of suspected harmful residual-stress fields
are induced by manufacturing processing or re­
pair procedures, although sometimes abusive
sendee conditions or an accident may have
caused them (Ref 9). Adíen manufacturing pro­
cesses or sometimes repair procedures are
judged the most likely source of the residual
stresses, it is often possible to predict the mag­
nitude and distribution of the residual stresses.
Such information can be obtained through con­
sulting the literature or the application of com­
puter modeling (Ref 10-18 or the Internet at
Stress
(a) in
wvw.residualstress.com). A preconceived
ferrite model of the residual-stress field will aid the in­
ksi MPa vestigation in determining the best method to
-46 -317 measure residual stress and the location and
-67 -462 number of measurements that need to be made.
-62 -427 Nevertheless, sometimes the cause of the re­
-65 -448 sidual-stress field is not evident, and the inves­
tigator is compelled to perform measurements as
a means to determine the cause. In such cases,
measurement methods and location must be se­
lected without the aid of a priori knowledge of
the stress field, and it is prudent to consult the
literature and experts in the field of residual-
stress measurement and manufacturing pro­
cesses.
Nature of Residual Stresses
Residual stresses are the inevitable conse­
quence of thermomechanical processing of steel.
The resulting stress fields usually are nonuni­
form and show high stress gradients. For ex­
ample, Fig. 2 illustrates the residual-stress mag­
nitudes and distributions typical of a steel with
a 650 MPa yield strength. Because of the high
stress gradients, tens to hundreds of residual-
stress measurements with resolution on the order
of 1 mm may be required to identify precisely
the maximum stress and its location.
The characteristically nonuniform, liigh stress
gradient nature of residual stresses require that
either the induced stress field is well understood
and predictable, or many residual-stress mea­
surements must be performed on one or more
components in order to reveal the nature of the
stress fields. Often, scientists attempt to gain an
understanding of a residual-stress field by mak­
ing a few measurements on one or two compo­
nents, and from this often arise erroneous con­
clusions regarding the nature of the stress field.
A few measurements may be useful if the sci­
entist or engineer knows the distribution of the
stresses a priori. However, this is seldom the
case, and tens to hundreds of measurements are
required on a single component or many samples
to really understand the residual stresses induced
by a given manufacturing process. This means
that the measurement method must be as rapid
and labor-efficient as possible. Some of the new
semi destructive hole-drilling procedures and
XRD and ultrasonic (for special cases) instru­
mentation meet this criteria. Stress mapping is
offered with some XRD instruments to map
stresses over the surface of a component (Ref
19). Also, because the stress gradients are often
very high, the measurement method must be able
to resolve the stresses in dimensions on the order
of 1 mm or less. Here, some of the hole-drilling
procedures and recently developed XRD instill­
ments can offer the best resolution.
Finally, the component in which residual
stresses are to be determined is often too large
to be brought to a laboratory, and removing sec­
tions is not a rational solution. Note that section­
ing often disturbs the existing stress field to the
extent that it is not possible to reconstruct the
original stress field from the residual stress mea­
sured in pieces removed from the original whole.
Hole-drilling, XRD, and ultrasonic instrumen­
tation are available as portable devices that may
be brought to the component in the field (Ref 7,
9, 20, 21).
Stress Measurement
A number of procedures and methods have
been applied to determine the residual stresses

extant in a metallic component, usually as a re­
sult of manufacturing processing. However,
stress is never the quantity measured because
stress is a quantity that is applied to a metal and
can only be measured in the process of its ap­
plication. What is invariably measured to deter­
mine residual stress is elastic strain—either the
elastic strain resulting directly from the existing
residual stress in the metal or the elastic strain
change resulting from relief of some portion, or
all, of the existing residual stress. The stress that
is causing, or has caused, the strain is then cal­
culated using the applicable elastic constants for
the metal.
The methods described in the section “Non­
destructive Procedures” in this article measure,
directly or indirectly, the strain response of the
metal to the residual stress in situ, while the
methods described in the sections “Destructive
Measurement Procedures” and “Semidestructive
Procedures” measure the strain change caused in
relieving some or all of the residual stress in the
metal.
Destructive Measurement
Procedures
The first concern in selecting a destructive re­
sidual-stress measurement procedure is whether
it is reasonable to destroy one or more compo­
nents or samples in order to determine the resid­
ual stresses. Usually this implies that one or a
few of the components are a small portion of the
total number produced. Also coupled to this de­
cision is whether the one or more components in
which the residual stresses are to be measured
are representative of all the others. In other
words, how great is the expected variation of the
residual-stress field from part to part?
As mentioned at the beginning of this article,
the need for the residual-stress information about
a component must be clearly understood. This
includes whether the triaxial stress field must be
established or if the uniaxial or biaxial condition
of the stress field along specific directions is suf­
ficient. Examples of these three situations are
discussed in this section. However, in any case,
the fact that residual stresses are usually not uni­
form in any direction and show high stress gra­
dients must be kept in mind when stress-mea­
surement criteria are selected.
Destructive methods of residual-stress mea­
surement are fundamentally stress-relaxation
procedures; that is, the information is obtained
by relaxing the residual stress in some finite-vol­
ume element of the component and measuring
the resulting strain change. The strain change is
then used, along with applicable assumptions
about the nature of the stress field, to reconstruct
the original stress field. Assumptions about the
nature of the stress field include the magnitudes
and gradients in the stress field and whether it is
sufficient to assume that the gradients are one-,
two-, or three-dimensional. In particular, the gra­
dients that exist will dictate the size of the ele­
ment that is to be isolated and made stress-free;
that is, the higher the stress gradient is, the
smaller the finite element must be in the direc­
tion of that gradient. It must be emphasized that
the larger the element and the higher the stress
gradient, the less quantitative and more qualita­
tive are the measurement results. Electrical-re­
sistance strain-gage technologies are emphasized
as the dominant method of strain measurement
due to their economic, procedural, and precision
advantages over other methods. However, mod­
em XRD equipment when available has all of
these advantages as well and can be used to mea­
sure the stresses existing before and after sec­
tioning.
A generic destructive stress-relief procedure is
described first, along with the issues generally
involved in each procedural step. This section on
destructive methods concludes with some dis­
cussion of qualitative chemical methods of re­
sidual-stress measurement.
Generic Destructive Procedure
Once the decision is made to measure the re­
sidual stresses destructively, the following steps
are usually applied in a typical stress-relief tech­
nique for residual-stress measurement.
Stress-Field Conditions. The engineering
problem for which the residual-stress informa­
tion is needed must be analyzed. This need is
often generated by failures of the component in
sendee or by anticipated failures due to problems
with similar components. Distortion of a product
in storage or during manufacturing can also be a
concern. The shape of the component—that is,
cylinder, disk, plate, and so forth, or some irreg­
ular' shape—must be considered. This consid­
eration, along with the process or processes by
which residual stresses were introduced, must be
analyzed. The justification for assumptions re­
garding the condition of the residual-stress field
can be established from these considerations.
This may lead to simplifying assumptions about
the stress-field condition such as axial symmetry
for a cylinder in which the dominant residual-
stress field is caused by quenching during heat
treat processing or about stress uniformity in the
surface plane of a plate where stress gradient
with depth is the major concern.
These assumptions and considerations lead to
the methodology, that is, equations, to be used
for computational reconstruction of the stress
fields from the measured strains.
Strain-Measurement Technique. With the
stress-reconstruction approach established, the
method of strain measurement and consequently
the number and/or spatial frequency of mea­
surements can be determined. The strain-mea­
surement technique selected will greatly affect
the resolution of the stress measurement because
of the spatial precision inherent in the technique.
There are a number of techniques that have
been used to measure the strain induced by the
relief of stresses due to sectioning or material
removal in destructive residual-stress measure­
ment. These include mechanical gages, often dial
gages, employed with specially made jigs and
Measurement of Residual Stresses / 101
fixtures, reflected light schemes, photoelastic
coatings, and electrical-resistance strain gages.
However, since the 1960s, the use of the latter
has become dominant due to the variety, avail­
ability, and precision of these gages. They are
available as uniaxial, biaxial, and rosette gages
of many sizes. The section “Strain-Measurement
Methods” in this article provides some detail re­
garding these methods. Also, since the late
1970s, extensive use of XRD has been applied
to provide rapid and numerous stress measure­
ments on sectioned components to gain infor­
mation regarding the internal stress field (Ref 2,
22-25).
Preparation for Strain Measurement. With
the strain-measurement technique selected, the
measurement location must be established and
the component and/ or element prepared for the
measurement by, for example, attaching strain
gages. A prestress-relief reading must now be
made before stress relaxation and isolation of the
element is initiated.
Isolation of Gaged Element. With the mea­
surement technique in place, material removal to
isolate the gaged volume must be performed.
The technique for material removal, or section­
ing, must be carefully considered because me­
chanical chip-removal processes such as lathe
turning, milling, sawing, grinding, and so forth
introduce surface residual stresses that can be as
great as the yield strength of the strain-hardened
material and several thousandths of an inch (tens
of micrometers) in depth. The section “Section­
ing and Material-Removal Methods” in this ar­
ticle discusses methods to isolate the gaged ele­
ment.
Post-Stress Relaxation Measurement. After
the residual stresses have been relaxed and thus
the elements isolated, strain measurements are
repeated, the final reading is subtracted from the
initial to obtain the strain change resultant from
the residual-stress relaxation. The resultant
quantities are then used in the residual-stress re­
construction equations to obtain the original
stress state of the component. The stress-recon­
struction equations were selected as a result of
the assumptions made about the stress-field con­
ditions described previously and in more detail
in the following sections.
Stress-Field Condition Assumptions
Engineers and research scientists have ap­
proached the measurement of residual stresses
using destructive methods with the aid of as­
sumptions about the stress-field conditions, in­
cluding that the stresses in only one axis are of
interest in order to simplify the measurement and
reconstruction of the stress field (Table 2). These
have included certain uniaxial, biaxial, and tri­
axial stress-field assumptions.
Uniaxial Conditions. A procedure applicable
only to the measurement of residual stresses in
rods, cylinders, and tubes—that is, components
with axial symmetry—was reported by Heyn
(Ref 26). In this work, it was assumed that the
stresses were axially symmetric and that only the
102 / Measurement and Prediction of Residual Stress and Distortion

longitudinal stresses were of interest. Thus, the
change in length of the components (cylinders,
rods, and tubes) was measured after removal of
an axially symmetric layer from the outside ra­
dius, or it was bored out of an inside radius. The
length of the component was measured after
each layer-removal process and entered into
various equations described in their paper. This
procedure is called the Bauer-Heyn method (Ref
26) and is applicable only to measuring longi­
tudinal stresses in axially symmetric compo­
nents. It does not measure radial or circumfer­
ential stresses.
A second procedure assuming a uniaxial stress
field, or that only the stresses in one axis are of
interest, was proposed by Stablein (Ref 27). Here
the component was a bar with a rectangular cross
section, and the residual stresses acting along its
length and varying through its thickness (small­
est dimension) were measured. The material
from one face of the bar, one of the two faces
with the largest area, was removed by milling.
Equations used to reconstruct the original stress
field are described in Ref 27. The depth of the
removed layer must be significantly greater than
the depth of plastic deformation caused by mill­
ing (see the section “Sectioning and Material-
Removal Methods”) and sufficient to cause a
measurable bend in the material. The length of
the opposite face of the bar from where the ma­
terial was removed is measured before and after
layer removal to determine the effect of the re­
moval of the stressed layer. Presently, this is usu­
ally done using electrical-resistance strain gages
(see “Strain-Measurement Methods”), but was
performed in the past by sensitive mechanical-
gaging techniques. This measurement can also
be accomplished by measuring the bend in the
bar with suitable mechanical gages and fixtures,
for example, a cantilever-beam approach. This
procedure is applicable only to components of
rectangular cross section where the stresses par­
allel to the length are to be measured as they vary
through the thickness.
Biaxial Conditions. A procedure applicable
to axially symmetric components is the Mesna-
ger-Sachs boring-out technique (Ref28,29). The
technique is applicable to cylindrical compo­
nents with an axially symmetric distribution of
stresses. Here the change in length and diameter
of the component are measured as material is
removed by axially boring-out material from the
inside to produce a hollow cylinder. Presently,
biaxial electrical-resistance strain gages (see the
section “Strain-Measurement Methods”) are
usually attached to the outside of the component
to measure the dimensional changes in the axial
and tangential directions. The strain change re­
sults are entered into equations described in Ref
28 and 29.
A procedure applicable to measuring biaxial
residual stresses homogeneous over the planar
surface of a flat metal plate or sheet was pro­
posed by Trenting and Read (Ref 30). It was
based on removing uniformly thin layers of the
metal on one side of the sheet or plate and mea­
suring the changes in curvature as the layers
were removed. It was assumed that the stresses
were constant over the plane of the sheet or plate
and varied only through the thickness. Electrical-
resistance strain gages (see “Strain-Measure­
ment Methods”) or mechanical gaging may be
used to measure the change in curvature.
Another procedure for measuring biaxial
stresses homogeneous over the planar surface of
a metal plate was developed by Gunnert (Ref
31). This procedure assumes that a biaxial stress
condition was uniform throughout the depth of
a circular groove that was milled around an el­
emental volume of material to render it stress
free. Thus, the strain change on only one surface
was measured. The mechanical-gaging tech­
nique involved measuring the distance between
each of four sets of shallow holes drilled in the
element before the groove was milled into the
surface using a core drill. The distance between
each set of holes was measured before and after
the groove was produced and provided the in­
formation necessary to calculate original, as­
sumed biaxial residual-stress condition parallel
to the surface of the plate. Theoretically, only
three sets of holes are required to measure the
biaxial stresses, but Gunnert used a fourth set to
improve the accuracy. A mechanical gage,
termed an extensometer, was used to measure the
distance between each set of holes. It should be
noted that this technique could be used to mea­
sure the gradient in the biaxial stress condition
by pausing in the milling operation at selected
depths and measuring the distance between the
holes at each groove depth. Also, as with many
of the older techniques that originally applied
mechanical strain-gage apparatus, electrical-re­
sistance strain gages or modem XRD techniques
could be used. A procedure involving the drilling
of a blind hole and electrical-resistance strain
gage is somewhat similar to Gunnert’s original
technique and is described in the section on
semidestructive methods.
A more accurate procedure was later used to
measure residual stresses in pipe weldments.
Here the component (pipe) was divided into a
network (grid) of squares, and biaxial electrical
strain gages were placed in the center of each
grid square on the outside diameter of Hie pipe.
The pipe was then sectioned as shown in Fig. 3
into elements assumed to be stress free, and the
strain induced by the stress relief was read from
the gages. In placing the gages only on the out­
side diameter, the biaxial stress field was as­
sumed to be uniform with depth; however, had
gages been placed on the inside and outside di­
ameter a more complete measurement of the
stress field could have been obtained, albeit as­
suming a linear variation in the residual stress
from the outside to the inside surface.
A variation on the Gunnert procedure de­
scribed previously was later published (Ref 1,
32). This variation was also used for application
to plates and implied that the triaxial stress field
could be measured by the technique. It assumed
that there was a homogeneous residual biaxial
stress field that varied with depth through the
plate thickness. Four holes were chilled in a
square pattern through the plate thickness. The
distances between all of the holes was then mea­
sured at selected hole depths. Next, a circular
groove was milled in steps of, for example, 2
mm around the drilled holes using a core drill as
in Gunnert’s original procedure (Ref 31). The
distance between the holes at the various depths

Table 2 Summary of destructive residual-stress measurement procedures

Component shape Stress-fi eld-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
core was milled completely through the plate.
The cored plug was then assumed to be com­
pletely free of residual stress. The measured dis­
tances were then used to reconstruct the original
biaxial stress condition of the plug at each cored
depth. The mechanical measuring gage used in
this technique was similar to that used in Gun-
nerfs first technique (Ref 31).
Another approach to measuring residual
stresses that has a broader application with re­
spect to the shape of the component and the
stress-field distribution was proposed by Rosen­
thal and Norton (Ref 33). It is applicable to
plates and plate-shaped weldments.
The procedure involved cutting two narrow
blocks having the full thickness of the plate, each
with its long axis parallel to one of the assumed
biaxial principal, residual-stress directions in the
surface of the plate (see the near side of Fig. 4).
Thus, the long axes of the blocks are perpendic­
ular to each other and parallel to the face, the
largest area surface of the plate. The smallest
dimension of the block should be several times
smaller than the plate thickness and its largest
dimension at least twice the thickness. The block
then can be further sectioned in order to deter­
mine the biaxial stress variation through the
thickness of the component. This proceeds by
first cutting the block at the location representing
the midthickness of the component plate, then
Fig 3 Residual-stress measurement of a girth-welded pipe by strain gaging and sectioning. Note that strain gages
shown in the final sectioning should be placed on the pipe prior to initial sectioning; and for a more complete
analysis several of the layeps^ctions detailed in the final Sectioning step should be strain gaged and sectioned. Dimensions
given in mm
removing thin slices parallel to the original sur­
face and from the bisected block as shown in the
upper part of Fig. 4.
The change in strain of the blocks is measured
using shallow holes or dimples in the original
surfaces of the component. These gage points are
located along the long axis of the block on the
original faces of the plate (see Fig. 4). The dis­
tance between these gage marks is measured be­
fore and after removal of the blocks from the
plate and after each sectioning of the block (Ref
33).
This procedure assumes a constant biaxial
stress field over the length of the blocks, which
is not the ease in welded plates in the direction
transverse to the weld. The far side of the block
in Fig. 4 shows a sectioning procedure that
would reveal the stresses parallel to the weld
along a gradient transverse to the weld. The far
side of the block in Fig. 4 shows a sectioning
procedure that would reveal the stresses parallel
lo the weld along a gradient transverse to the
weld. Also, electrical-resistance strain gages
could be used instead of measuring the distance
between shallow holes or dimples.
Another approach to a constant biaxial stress
field in a flat plate, varying only through thick­
ness. was described by Moore and Evans (Ref
2). They relied on XRD for the measurement of
the strains from which the stress was calculated,
and the procedure consisted of removing layers
Measurement of Residual Stresses / 103
from the surface of the plate and measuring the
strains existing at each layer. The process as­
sumed that the slress perpendicular to the surface
was zero. It should be noted that in order for this
procedure to be valid, the areas measured by
XRD would have to be free of plastic deforma­
tion caused by layer removal (see “Sectioning
and Material-Removal Methods”),
Triaxial Conditions. In reality, in most com­
ponents in which residual stresses have been in­
duced, usually due to manufacturing processes,
the stress field is triaxial and varies from point
to point (element to element) in all three direc­
tions. Thus, a number of destructive procedures
and stress-field condition assumptions have been
applied in order to measure the three-dimen­
sional residual-stress-field condition existing in
most components of practical engineering inter­
est. Two of these are described in this section.
Chen (Ref 34) revised Rosenthal and Norton’s
approach to deriving the triaxial residual-stress
condition (Ref 33) as follows. The typical
method of residual-stress measurement is by me­
chanically removing part of a body and measur­
ing the change of stress in the rest of the body.
The method of Rosenthal and Norton instead
deals only with a small element that has been cut
free from a plate. The sectioning procedure con­
sists of removal of a narrow block from a plate
with gages attached, followed by splitting the
block in half with gages attached on the top and
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
0.1 in., gages are removed and stresses are mea­
sured (at least two points) on the surface by
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 transx erse to the
long axis.
• The small amount of stress relaxed in the re­
mainder of the block follows a linear law
through the thickness w'hen a thin slice of
metal is removed.
• Variation of transverse stress along the axis
of the weld is small in the middle portion of
the plate weldment.
Fjg 4 Welded steel plate, the near side otwhiohshowa
the two narrow blocks suggested in Rosenthal
and Norton's procedure (Ref 33). The far side shows several
blocks sectioned to reveal the stresses parallel to the weld
with a gradient transverse to the weld.
104 / Measurement and Prediction of Residual Stress and Distortion

The determination of residual stresses may be E E dSx + £4,

divided into the following steps: s; = ---------- 2 (4 + vst') + +X=0 (Eq 8)
1-V 1-v dx By dz
1. Determination of s[ and et', which represent
„ v2 - (32 ,
the amount of strain relaxed in longitudinal and BSy Bx dtyz
VSt + 1 - p £l +Y = 0 (Eq 9)
transverse directions by cutting one longitudinal By Bx Bz
and one transverse block free from the plate. E E
S[ = ---------- 2 (£í + vsi) +
This was done by determining the strain relief 1 -V 1-V
dS z | dX xz
between two indentations on the top and bottom + fhl + z = 0 (Eq 10)
VSi (Eq 3) Bz Bx By
surface of each block using a mechanical gage
(see Fig. 4) and subtracting the strain-gage read­ 1-p1
ings on the blocks from the initial reading from Differentiation of Eq 8, 9, and 10 with respect
where (1 is the correction factor for a shorter to v, 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). S2SX + B\ + B2
values give the stress S' relaxed by cutting the 0 (Eq 11)
2. Determination of strain relaxed on the top Bx2 BxBy BxBz
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: &Sy d2'V
+ 0 (Eq 12)
3. Determination of the strain relieved (using By2 BxBy ByBz
at least two points) on the top and bottom surface
using sensitive mechanical gages to measure the - a) - 2(s" - s"0)
B% + B2X^ + B\
distance between indentations and using XRD 0 (Eq 13)
[O £" _ g"0 Bz2 BxBz ByBz
after the thickness of the top and bottom halves + 3(1 - a) -------- -------4 d\i
of the blocks had been reduced to 0.1 in. Note Jo 5(1 - fry
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 + (5ot-4X° + (l - aid (Eq 4)
mentation. With modem x-ray instruments, mea­
b2sz_ ¿2sx #Sy „ a\
surements can be made on any size of specimen (Eq 14)
(S")b =E\--^(\ - a) - 2(4' — sD Bz2 Bx2 By BxBy
(Ref 7, 19, 20, 22-24).
4. An enhancement of the Rosenthal and Nor­
ton procedure (Ref 33) was suggested by Chen + 3(1 a)
4' - 4° ■d\i Variation of Sx along the x-axis is small in the
(Ref 34) where the determination of the residual “ Jo 0.5 (1 - |l)‘ 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 + (5o- - 4)4'° + (1 - «)< (Eq 5) be approximated using:
measured in the remaining slices in at least two
places near the gage points using XRD, and the where ji is the thickness of the block; a is the B 2 SI 2,
+ Syo) + i x2y2 (Eq 15)
absolute residual stress, S* and Sf remaining fraction of the total thickness removed; s", 4' are 3z¿ 57(S>" AxlAyl
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 a; and s"°, sf are the re­ where Sy0 is the value of Sy at the axis, Sy] is the
mined stresses measured for each block were av­ laxed strain on top and bottom surface when value of Syi at a distance Ayl on either side of
eraged and designated Sf or Sf for that face. The splitting the block in half. the x axis, and xx2y2 is the value of at a dis­
original stress S" present before slicing was de­ 7. The total stresses relaxed across the thick­ tance Ax2 and Ay2 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
Sf = S* + Ef Sz can be obtained through double integration
(Eql)
s¡ - S> + S" (Eq 6) with the boundary condition that Sz vanishes at
$1 = S* + Eef both the top and bottom surfaces. In this way,
X = s; + sf
the entire triaxial residual-stress state was deter­
The total strain a" may be obtained by dividing 8. Determination of shearing stresses in the mined. Note that this procedure assumes that the
Sf or Sf 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 Norton’s
ing the values of s' and s" obtained in steps 1 method (Ref 33) using electrical-resistance
and 3, the amount of longitudinal and transverse strain gages or a nondestructive technique such
stress (Sf and Sf) relaxed by cutting the blocks as XRD is as follows. The largest face of the
from the plate: where t 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 vE ing angles + 45° and — 45°, with the longitudi­ blocks is divided into a two-dimensional grid of
S[ = --------- j (si + vet) + ---------- T (4 + vs'O nal axis. However, if the biaxial stress condition elements. An electrical-resistant strain gage is
1—V 1—V
is assumed, only the strain relief in one 45° di­ placed on each element, or a nondestructive mea­
E vE
s[ = ------------- T (sí + VSÍ) + ------------------7 (s" + vs't') rection need be determined since they would be surement such as XRD is performed, and the
1—V 1—V 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 v is Poisson’s 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
 Measurement of Residual Stresses / 105

Material-Removal Methods”). If electropolish­ are then used to calculate the original stresses
orfy, 6) = - f
ing of these cut faces is done to remove the plas­ cre(r) and az(r), as well as the radial stress afr). Jr

tic deformation and resultant residual stress in­ The theory of elasticity provides nine partial
duced by a mechanical cutting procedure, and differential equations: the three equations of go(r) , 2r,
griteos 0 dr (Eq 24)
XRD is applied, then the blocks need not be sec­ equilibrium and the six equations of compatibil­
tioned. The measured XRD stress will provide ity. Unique solutions are possible, depending on
the absolute residual-stress-field condition in the boundary conditions, and for the case considered oefrb 0) = Oemfy, 0) = — |
block, and—coupled with the strain relieved by they give the following working formulas:
the original removal of the block from the
plate—the entire triaxial residual-stress condi­ X gj(r) cos 0 dr (Eq 25)
rr
tion of the plate can be obtained. W>i) = f dr (Eq 16)
Jrx r
This variation of Rosenthal and Norton’s
method (Ref 33) provides the information nec­ azfy, 0) = oZmfy, 0) — f
essary to derive the biaxial stress condition of
<3 (V) Jr\
Czfri) = <TZm by) - 2 -A^—dr (Eql7)
each block, which can in turn be used to derive Jr¡ r 2 hfr) Sr h
l 1l
-i--- p- X cos 0 dr (Eq 26)
the triaxial condition of the original plate. The
stresses on each of the measured faces of the °efri) = °ej>i) + Orfri) (Eq 18)
blocks must be measured in three directions to rR 2 f
rie fri, 9) sin Qdr
= - ~r gfr) si (Eq 27)
provide the information necessary to obtain the where r is the original radius and r, is the radius Jr1 r

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 0 direction. Complex variable come:
■«nth a single weld through its center as described methods give the following general solutions:
by Rosenthal and Norton (Ref 33), or to a more 0 = 0°°m0 f) = g0(r) + g,(r) +g_i(r)
elaborate stress field, for example, where two or­
0 = 90°om,(r) = g„(r) + ig(r) + ig.fr)
thogonal welds existed in the component (plate). arfr„9) = -f
With a single weld, only the block intersecting 0 = 180°om2 (r)= g0(r) - g¡(r) - g_,(r)
weld needs to be sectioned into elements because
|go^) + Retgrir^ljúfr- (Eq 19) 0 = 270°om3 (r)= g0(r) - igfr) + ig-fr)
the residual-stress field in the block parallel to
the weld is likely to be constant along the direc­ (Eq 28)
tion parallel to the weld. fR
Moore and Evans (Ref 2) proposed mathe­ in which the summation was expanded using
oe(rb 0) = GoJfi, 0) = -
matical procedures for the reconstruction of the Jri values of n = —1,0, and + 1. This is a reason­
original three-dimensional residual-stress fields able approximation, providing the stresses do
in cylindrical and flat plate components, and + “f x Re[gi(r)ei9]}i/r (Eq 20) not “drastically” vary with 0.
Constantinescu and Ballard (Ref 3) proposed a Adding the equations cancels the g^ and g_j
modification of Moore and Evan’s work. They terms, giving:
A
proposed using XRD as the measurement tech­ oz(rb 0) - o fy, 0) -
nique and presented stress-reconstruction equa­ Jri g0(r) = ‘4 [ce^ (r) + o6mi (r)
tions for the following conditions: jMoW + 8r, x Re[/,i(rVe]j^
(Eq 21) + °9mfy) + %fy)] (Eq 29)
• Solid cylinder bar, rotationally symmetric
stresses Subtracting the equations in pairs and then add­
• Solid cylinder bar, without rotationally sym­ ing the results cancels the g0 and g_, terms, giv­
metric stresses
Trefrb 0) = - f~
Jr 1 r
t Irn \gif)e lii]dr (Eq 22)
ing:
• Hollow cylinder bar, rotationally symmetric
stresses where Re and Im indicate real and imaginary', g i f ) = ^{[°0mrj ( r ) - o0m2 ( r ) ]
• Flat plate, biaxial stresses respectively, of whatever follows.
The measured stresses cr0m (rl3 0) and a0z (rh ~ fr°emifr) - °eMfy)] (Eq 30)
The Moore and Evans procedures were sum­ 0) 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:
Handbook (Ref 4) as described in the following solutions, Eq 19 to 22. However, if the stresses
paragraphs. are symmetric with respect to a plane through
Solid Cylinder Bar, Rotationally Symmetric the axis, then g0 (r) = oe (r) and Eq 30 be-
°em 0) = 2 g„(r)enB
Stresses. It is presumed that the residual-stress comes:
distribution has both rotational and longitudinal
symmetry, except near the ends where measure­ ^ (r„ 9) = 2 hiDeT* (Eq 23) g i f ) = V f i o z j r ) - a9mfy))] (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, 0, 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, detenuined from Eq 23 in the same way. It
peatedly removing thin concentric shells, the eral solutions simplify because the gfr) and is again interesting to note that Eq 16 to 18 are
stresses on the exposed surface in depth can be hfr) 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 o0m(V) and c>2 (r), respec­ duced by heat treatment or str aightening and the The shear stress of Eq 22 or 27 exists only as a
tively, equations become: result of asymmetry of the 0 stresses. When sym-
106 / Measurement and Prediction of Residual Stress and Distortion
metry is obtained, the gx(r) terms are zero, as is
T^(r,, 9).
Hollow Cylinder Bar, Rotationally Symmetric
Stresses. IfT?, is the inside radius of the cylinder,
similar- analysis generalizes the previous equa­
tions to the following final formulas:
o,(>i)
1 - Íí- f dr
HM V - r\
W(ri) = - 2¡
Jr,
Czjr)
dr
r-R
°efri) = °emfri) + + ^2 ) °r(ri) (Eq 34)
The above equations include those of the solid
cylinder when R: is zero.
Flat Plate, Biaxial Stresses. It is assumed that
the residual stresses in a flat plate of uniform
thickness depend only on the distance from one
of the flat surfaces of the plate, except, of course,
near the edges. It is also assumed that the prin­
cipal stresses are ox and ay, lying in the plane of
the flat surfaces, and that the stress normal to the
flat surfaces, gz, is zero at all points sufficiently
distant from the edges.
From the authors’ assumptions and conditions
of equilibrium, the true stresses gx(z,) at depth
zx can be expressed in terms of the measured
stress aXm (zj) by the relation:
fH Or fe)
- 6z¡ dz
)z\ Z
where H is the original thickness of the plate and
z, is the distance from lower surface to uncov­
ered depth of interest.
A similar expression holds for the y direction.
Equation 35 holds, even if ox and ay are not prin-
Fifi. 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
25) where the thickness (7) of the layers are 0.5 in. (1 2.5
mm) and a, = oy, aM = ax, and 0M| = oz.
cipal stresses, but in this case a shear stress also
exists, expressed by:
V(zi) = ujzi) + 2 [ Jz\ Z
rH ^ (¿)
dz — 6z¡ -2^—dz (Eq36)
Jzi Z
(Eq 32) x (z) is determined from:
o0ni(z,) = oIm(z,) cos2 a + a yJzx)
sin2 a + iTxyJz^) sin a cos a (Eq 37)
where a is the acute angle that the measured
(Eq 33)
stress <j(Xm (zt) makes with the x axis. Mien mea­
surements are taken 45° apart, (zj becomes:
V(Z l) = °45°Ul)
- AloJzj) + oym(z,)] (Eq 38)
meaning that three x-ray stress measurements are
required after each layer removed.
Johanssen proposed a procedure (Ref 25) for
the determination of the three-dimensional resid­
ual-stress field in thick plate (plate weldments)
components using XRD techniques to measure
the strains on the surfaces of the plate and plate
sections, and upon removal of layers of surfaces.
The procedure includes the measurement of the
biaxial stress field existing on the top surface of
the component (see Fig. 5), assuming that the
stress perpendicular to the surface is zero. Ma­
terial is removed from this surface by, for ex­
ample, milling and electropolishing, or electro­
polishing alone (see “Sectioning and
Material-Removal Methods”) and the biaxial
stresses remeasured at the new depth. Each time
material is removed, the forces that the removed
(Eq 35)
layer exerted on the remaining component must
be accounted for, and the subsequent measure­
ments corrected for this change in the stress field.
Johanssen based his method on the following as­
sumptions:
• When a layer of material is removed, the re­
sulting changes in the stress condition will be
linear elastic; that is, Hooke’s law is appli­
cable.
• The residual-stress distribution is constant in
the z- direction, except at the surface, and cz
is a principal stress in the z-direction (see Fig.
5).
• Upon material removal, it is assumed that the
strain s2 remains unchanged. Together with
the previous assumption, this implies that the
change in stresses can be treated as a plane
problem.
• It is assumed that the stresses are symmetrical
with respect to they-z plane. This assumption
is, however, not necessary. The procedure can
be developed to include asymmetrical stress
states.
Johanssen’s justification for his procedure to
measure the thr ee-dimensional str ess field in the
weldment shown in Fig. 5 is as follows (Ref 25).
Johanssen showed that the change in stresses
resulting from the removal of material can be
determined by Ag(x) and v(x). These were to be
measured at a number of positions x¿, i = 1,...,
N, on the lower side of the plate. A g (x ) and v(x)
x
are the difference between the stress and defor­
mation measured prior to and following the re­
moval of material. Changes in the internal stress
conditions are thus calculated directly and need
not be calculated as accumulated stress changes
resulting from several layers of material being
removed.
By introducing Airey’s stress function cp(x, y)
that is defined as:
d24>
w
d24> d24>
and xr (Eq 39)
dx2 dxdy
Equilibrium and compatibility are automati­
cally satisfied if 4> is a solution to the biharmonic
differential equation:
V2Y2<p = 0 (Eq 40)
The homogeneous boundary conditions are:
oy(x, 0) = 0 (Eq41)
y=0
ricA 0) = 0 (Eq42)
Vgf + a, y) = 0 (Eq 43)
x = ±a
ox( ±a, y) = 0 (Eq 44)
and at y = 0 there should be agreement with
experimental measurements; that is:
ox(x, 0) = Aax(x) (Eq 45)
Pickel (Ref 35) described a method for ana­
lytical solution of problems with this type of
boundary condition, using infinite, related series;
however, in this instance an approximate method
is used with trial solutions that are both more
convenient and numerically more stable.
The force f is divided into Tx(x) and T y(x) (see
Fig. 6) and as a solution to Eq 45 to 47, cp is
taken as cp = (px + ([/ where cpx is the solution
for the loading case where only T x (x) differs
from zero (and therefore the boundary condition
a y (x, b) = 0 must be applied), and cpy is similarly
the loading case where only T y(x) is not equal to
zero. This ensures that the trial solutions will be
sufficiently general and not involve any limita­
tions on T Of).
The solutions for cpx and cpy are then adjusted
so that they satisfy Eq 43 and as many of the
boundary conditions as possible. By direct sub­
stitution, it is easily verified that the trial solu­
tions in the following satisfy all the boundary
conditions except ox( ±a,y) = 0; however, this
 Measurement of Residual Stresses / 107

condition can be filled and the measurement can x sV 4 dvX

be fit using an approximate method, such as the £y — --- (Eq 52)
least-squares method. If this can be performed
C nx[{a n b sinh a„y - cqy cosh ay) - one obtains:
sufficiently accurately, these trial solutions are
close to the exact solution, since it has been (1 - coth a„¿) a„y sinh aójeos ay (Eq48)
, v(l + v) / y2
shown that the solution is uniquely determined v (xy) = - ——--------- Í C x — + C0jy
by the stated boundary conditions.
Ti=-TT =dxdy
- Si n _ i
For the loading case Tx(x)\ 1-v2 "
+2 a n by sinh ay — 2b
[a^ysinha^y + (1 + a„¿cothoy¿) n n= 1
y3 y2 2C nx

4>x(^»y) - c6x — + c20x —„ _+1 2a ~t X (sinh a,y + a,ycosh a^Jsinha,^ (Eq49) coshcqy H----------o:„¿y sinh a„y
n 1-v
[a„¿(sinh ay - oyycosh ay) - Since plane strain has been assumed o£ can be
calculated from: + (1 - a n b coth a n (y cosh ay
(1 — a„6 coth a^a^y sinh a,y]cos a n (Eq46)
1 . v
a* = v(ax + a y) (Eq50) -------sinh a,y + ----------
a„ 1—v
is valid where an = n%!a and 2a and 2b are the
width and thickness of the plate after removing where v is the Poisson’s ratio. Further, the strain
sinha^y + y cosh a,y cos ay (Eq 53)
material. sfy can be obtained from:
Equation 39 gives:
A similar treatment is used for the loading case
(Eq 51)
T (x). In that case, the solution is given by:
= —- = Cy + C0x + 2 CJ(anWcoth
dy n=I where E is the elastic modulus. 47(*, y) = Cy + Cfjy^r 4- 2 —T
Since the condition for compatibility' is satis­ 6 2 „-i a„
a b b - 1)(2 cosh ay + ay sinh ay) - a n b
fied, the displacement in the y-direction is [(1 + a n b coth oy¿)(sinh ay — ay
(sin hay + ay cosh a^y)]cosha^ uniquely determined, excepting rigid body dis­
(Eq 47) placements, from the relationship: cosh ay) + by sinh a,y]cos ay (Eq 54)

from which are obtained:

d2V 2
r = -^T ~ Cy + C0y + 2)

C^,[2a n b cosh ay + a2 by sinh ay

- (1 + aj? coth aj>) • (sinh ay

+ ay cosh cqy)]cos ay (Eq 55)

d2ty
2 c„
[(1 + a n b coth a„¿>)(sinh ay - ay
cosh ay) + afyy sinh a,y]cos ay (Eq 56)

xy Í
v dxdy Á
C riy[a n b sinh a^y + a 2 n by cosh ay)

— (1 + a n b coth a n b) • a ry
sinh a^yjsin aye (Eq 57)

Finally, the displacement is given by:

v(l +v)
Ffxy) = E y j + C0yy
E
1- 2N
+ -2 c. b sinh a„y

- a„by cosh ay - --------- --------

1-v
(b sinh ay + a n by cosh ay)

+ (1 + coth a„b) ■ y sinh ay

-------cosh ay +
Fifi 6 Res¡dual-stress distributions, forces, and distortion of a plate before and after layer removal. Top: residual-stress 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 T)j) caused by the residual stresses tending to distort the plate; bottom: same as center with the
y sinh a„y cos ay (Eq 58)
distortion displacement shown (Ref 25)
108 / Measurement and Prediction of Residual Stress and Distortion

By letting the stresses and displacements be using the exact equations of the previous sec­
Az, = j (0.05)// (Eq 69)
equal to the measured values, the following re­ tions. The method is summarized for two of the
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,
ojíy, 0) + Gy(x2, 0) = Aa/xj 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
am(z) in the correction series should be included and a
c(zi) = vjzd + 2 —— quadratic in Az, solved. This requires an esti­
v\xt, 0) + vy(% 0) = v(x¡) Mz
mate of o'JH) based on experience.
i = 1,2, ... (Eq 60) dz — 6z¡ f ^ dz (Eq 64) Solid Cylinder (see Solid Cylinder Bar, Ro-
Jzi Zi 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 rR (j (r)
Gxx(a, yt) + Gy(a, yt) = 0 ¿ = 1,2,... (Eq 61) exactly the same. g(z,) represents the true stress o(r,) = c^fry) - k ~A—L dr (Eq70)
Jn f
in any direction at depth z, before a layer was
Equations 53 to 61 form an overdetermined sys­ removed, and Gm(z,) represents the measured
where, again, the subscripts r, 0, and z have been
tem, from which the unknown coefficients Cm value at that depth.
dropped because the fonn is the same.
and Cny can be determined using, for example, The correction in stress c(z,) at z, is the dif­
When or(>i) is desired:
the method of least squares. The desired correc­ ference between the true and measured value,
tion of the stresses measured at the surface after given by:
removing material can finally be expressed as: o(n) = <Mh)
SmW = 0
<W = b) + Gy(x, b) (Eq 62)
c(z0 = c(zj) - om(z,) = 2 Í
Z k= 1
and offl(r) = GfsJr) (Eq71)
dz - 6z¡ Í —— dz (Eq 65)
M z2
^zcorr When crz(r,) is desired,
The integrands are then expanded in a Tay­
-v[oXC0rr + axy(x, b) + ay(x, b)] (Eq 63)
lor’s series referred to the surface values, after crfri) = <A(rj)
which the integration is performed term by term.
Sikarskie (Ref 36) proposed a stress-recon­ amfri) = oZmfri)
The final form for the correction is:
struction procedure (series method) when thin
k= 2
layers were removed from the surface of a com­
ponent. He described procedures applicable to c(z,) = - 4am(i/)(^ilj a Jr) = v zJr) (Eq72)
flat plates and solid cylinders. The procedure
works well for shallow depths (a few percent of Geir,) is calculated from G0m(r,) using Eq 18.
+ [gJH) + 2HG'm(H)](^-^±j The correction term in stress, c(r,), is written
specimen diameter or thickness), or in instances
where the stress gradient over the total depth re­ as before:
moved does not change too rapidly and is of es­ + i [2am(H) + H g 'JH)
sentially one sign. The practicality of this c(ri) = o(r0 - omfrl) (Eq 73)
method depends on the fit of the measured
- 2H 2 g '^(H)\ X + - (Eq 66)
stresses in depth by a Taylor’s series referred to Again, expanding the integrand of Eq 70 in a
the surface values of stress and successive deriv­ Taylor’s series and integrating term by term, a
atives at the surface. When the method is appli­ where am(H), c'm(/f), 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 surface.
the influencing factors, for example, layer depth, cfri) = “ k|om(J?)[—-—-j + -
For shallow depths, only the first terms of the
stress magnitude, stress gradient, and specimen series can be used and:
size. Judgment is necessary, however, in using [G m (R) - Rg^R)Í?--Li) + I
the series approximation that does not arise when
c(z,) = - 4 g JH) ^ (Eq 67) [2om(J?) - 2R g ^R) + R 2 °'L(R)]

where Az, = H — z,. This correction is seen to X (^II) + - (E074)

y
be approximately proportional to the magnitude
of the surface stress and thickness of the re­
moved layer (Fig. 7). It is inversely proportional
to the specimen thickness.
.3L. By solving for Az,, the question of proper
slice is given by:
z 1 Hc(Zl)
y Removed layer Az[
4 g JB)
hH 3— Thus, for example, if the measured stress is to
be in error by less than 5%, — c(z,)/Gm(//) =
F'g. 7 Stresses in fiat plate after layer removal 0.05 and the appropriate slice depth is:
where Grn(A), g^(A), and so forth, are the surface
stress and successive derivatives with respect to
z at the surface.
Insight into the factors that influence the cor­
rection holds exactly as previously discussed, as
do the limitations of the method.
Ruud et al. (Ref 22-24) applied a modifica­
(Eq 68)
tion of Johanssen method to measure the triaxial
stress condition of thick plate 2!ACr-lMo plate
weldments. Ruud et al. actually measured the
strains in all directions and calculated the
stresses, but did not correct for layer removal due

to the complex nature of the stress field. Ruud et
al. also measured the residual-stress condition of
expanded tubing including 304 stainless steel
tubing (Ref 37) but focusing on the residual
stresses on the inside surface of the heat-ex­
changer tube components.
F¡o 3 Residual stresses at the surface and near the sur-
® face due to milling a medium-carbon steel work-
piece
Distance from the workpiece surface, mils
FÍ2 9 Res'4ua! stresses in a 440 °C (825 °F) stainless
® steel workpiece induced by facing
Distance from the workpiece surface, mils
Residual stresses in an alloy steel workpiece
Fig. 10
induced by turning
Sectioning and Material-Removal
Methods
As discussed in the previous sections in this
article, many procedures require that the com­
ponent (sample or part) be sectioned and/or
some material be removed from it to measure the
residual stresses. This is especially true for the
measurement of internal residual-stress fields
where the component nearly always has to be
sectioned to reveal the internal stress field. The
two exceptions to the necessity of sectioning and
material removal, neutron diffraction and ultra­
sonic methods, are described in the section
“Nondestructive Procedures” in this article.
Sectioning or material removal is required by a
particular residual-stress measurement procedure
(see the section “Stress-Field Condition Assump­
tions”) or method (see the section “Strain-
Measurement Methods”). Mechanical chip-
removal processes are usually applied because
of their economy and speed. All chip-removal
processes, including lathe turning, drilling, mill­
ing, saving, grinding, and so forth, introduce
surface residual stresses that can be as high as
the yield strength of the strain-hardened metal
and several thousandths of an inch (tens of mi­
crons) in depth (Ref 38-43). Figures 8 to 10
show the residual stresses in steels caused by
various machining processes. Furthermore, some
steels are especially prone to strain hardening—
for example, austenitic stainless steels—and ex­
tra care must be used with these materials when
selecting a material-removal technique. Figure
11 shows plots of the residual stresses in 304
austenitic stainless steel caused by various grind­
ing methods. Note that these plots are only a
sample and may not be typical. If the size of the
element in which the strain change is measured
is smaller, or thinner in the case of surface-depth
gradients, than about 0.1 in. (2-3 mm), then a
chemical or electrochemical material-removal
technique must be used to remove the surface
residual stresses caused by mechanical chip re-
Distance from the workpiece surface, mils
Fig ] "J Samplings of residual-stress distributions in­
duced in 304 stainless steel workpieces by
common grinding procedures
Measurement of Residual Stresses / 1 0 9
moval. These techniques may be used solely or
in conjunction with, and after, the chip-removal
method. It should be noted that material-removal
techniques such as electrodischarge milling
(EDM) induce residual stresses (Ref 44) as do
chip-removal methods. Other methods, such as
laser, flame, or plasma cutting that cause heating
of the element, must be applied with caution be­
cause they may reduce the stress field by an­
nealing before it can be measured.
Thus, the only methods for material removal
from a component surface that do not induce re­
sidual stresses are electrolytic or chemical pol­
ishing. Electropolishing is described in some de­
tail in Ref 45, and guidelines are provided for
application to various ferrous alloys. In electro­
polishing, the electrolyte and operating condi­
tions depend on the alloy being polished, as
shown in Ref 4 and 45. Electropolishing com­
bined with XRD is used extensively to reveal
residual-stress gradients on machined, ground,
and hardened surfaces. However, application of
these techniques requires that the subsurface
stresses be corrected for the removal of prior sur­
face layers (Ref 4).
Another concern when reducing components
to a more convenient smaller size to place them
on or in a measurement device is that the stresses
of interest are not changed by the sectioning.
Generally, plates should be cut to a length and
width of at least three times the thickness to
avoid end effects. Cylinders, both thin-walled
and solid, should be a minimum of three diam­
eters in length.
Where the manufacturing process affects the
entire thickness of a component, such as heat
treatment or forging, it might not be advisable
to section without means of measuring the stress
change extensively over the entire component
before sectioning. In other words, selection of
the stress-measurement procedure and methods
should avoid sectioning unless techniques to
measure the effects of sectioning are applied be­
fore sectioning is initiated. On the oilier hand,
when the processes that have induced the resid­
ual stress produce only shallow stress fields, then
the three-times rule suggested previously is ap­
plicable.
Strain-Measurement Methods
As discussed in the section “Stress Measure­
ment,” all residua 1-stress-determination methods
measure elastic strain, not stress, and the residual
stress is calculated from the strain values. Sev­
eral methods for the measurement of strain have
been applied in residual-stress studies and have
been mentioned previously. These methods in­
clude:
• Mechanical gages
• Electrical-resistance gages
• Optical gages
• Bireftingent methods
• Diffraction methods (x-ray and neutron)
• Ultrasonic methods
• Magnetic methods
110 / Measurement and Prediction of Residual Stress and Distortion
Diffraction, ultrasonic, and magnetic methods
are discussed in the section “Nondestructive Pro­
cedures” in this article.
Mechanical Gages. The application of me­
chanical gages such as those described by Heyn
(Ref 26), Stablein (Ref 27), Gunnert (Ref 31),
and others generally preceded the availability of
electrical-resistance strain gages and are not dis­
cussed due to their general lack of precision,
poor spatial resolution, and inefficiency.
Electrical-Resistance Strain Gages. Most
bonded electrical-resistance strain gages are
made from either metallic wire or foil materials.
There are also the recently developed semicon­
ductor gages. A variety of sizes, shapes, and con­
figurations are available including single-ele­
ment gages and rosettes with two, three, or four
elements. Electrical-resistance strain gages are
available in sizes as small as about 1 mm and
thus provide a resolution of strain measurement
on that order. Information on electrical strain
gages is available in numerous sources including
Ref 46 and in reviews by Crites (Ref 47) and
Masubuehi (Ref 14) as well as suppliers (e.g.,
Measurements Group Inc., Raleigh, NC).
Changes in temperature tend to cause an ap­
parent strain; therefore, some type of tempera­
ture compensation is needed. Frequently, a
“dummy gage,” which is not subjected to the
strain, is exposed to the same temperature as the
actual gage to provide a basis for comparison. A
temperature-compensated gage can also be used.
Gages must be bonded securely to the speci­
men. Various types of cements have been de­
veloped. Sometimes gages must be protected
from metal chips produced during machining as
well as from the oil or water. A number of sys­
tems have been devised for protecting gages un­
der various conditions.
Brittle coatings are a simple inexpensive
strain gage that will only provide qualitative in­
dications of residual stress. A brittle lacquer is
applied to the area where the stresses are to be
measured by material removal. After the lacquer
has cured (dried), a change in the stress field is
induced, and if the change is sufficient strain will
be produced in the lacquer, causing it to crack.
If the material removal is in the form of a hole
drilled in the lacquer, radial cracks indicate a ten­
sile residual stress in the plane of the component
surface and circular cracks indicate compressive
stress.
Optical Gages. Light reflective methods can
be used to magnify the movement of a reflective
surface in a well-fixtured component that is held
securely in place during material removal to
change the stress field and therefore induce strain
change. This method can also be used if the com­
ponent can be removed and replaced precisely in
a fixture and the position of the reflected light
measured before and after removal and replace­
ment during which a change in the residual-
stress field was induced.
Laser Methods. Other techniques applying la­
ser light have been proposed as well. These have
included shearography (Ref 48), interferometry
(Ref 49), speckle-correlation interferometry (Ref
50), and others. Vikram and others (Ref 50) sug­
gested that a small volume of the material could
be stress relieved by heating via a laser to induce
a change in the stress field and the strain change
measured by an optical technique to reveal the
residual stresses existing in the volume before
heating. However, it must be recognized that
heating a volume of steel sufficiently to change
the residual-stress field will result in tensile re­
sidual stresses in the heated volume (Ref 51),
and this would likely be detrimental to the com­
ponent in which stresses were being measured.
Birefringent Methods. Under the action of
stresses, transparent materials become doubly re­
fracting (birefringent), and if abeam of polarized
light is passed through a model (under stress)
made of such a material, a colored picture is ob­
tained from which the stress distribution can be
detennined. This technique is called the photo­
elastic technique (Ref 46). The actual component
in which the stresses are to be measured is coated
with a photoelastic polymer. When residual-
stress changes are induced in the component,
strain changes are caused and transmitted to the
polymer coating, which then becomes bire­
fringent. This can be observed and measured us­
ing a reflectionpolariscope (Ref 14). Instructions
for analyzing fringe patterns in this application
(nearly the same as those obtained in ordinary
photoelasticity) are provided by the manufac­
turer.
The photoelastic coating may be applied by
brushing a liquid polymer on the surface of the
specimen and polymerizing it by applying heat.
Alternatively, a prefabricated flat or contoured
sheet of polymer may be bonded to the part at
room temperature (Ref 52). The maximum strain
that can be measured ranges between 3 and 50%,
depending on the type of polymer used; the
strain sensitivity usually decreases with the in­
crease in the maximum measurable strain.
Chemical Methods
A number of qualitative methods to detect re­
sidual stresses that may lead to stress-corrosion
hydrogen-induced cracking in steel have been
applied to specimens representing components
to be manufactured. Magnesium chloride solu­
tions have been applied extensively to the study
of stress corrosion in austenitic stainless steels,
including some recent work by Bouzina et al.
(Ref 53).
Masabuchi and Martin (Ref 54) studied the
susceptibility of SAE 4340 steel weldments to
hydrogen-induced stress cracking. The test pro­
cedure was to immerse the weldment specimens
in a 4% H2S04 aqueous solution charged with
H2 and to which two drops of a 5% P solution
of CS2 was dissolved. A direct current (dc) was
applied between a specimen and a lead anode to
provide a current density of 0.35 to 0.8 A/in.2
The crack patterns that developed were related
to the surface tensile residual-stress distribution
in each specimen.
Stress-corrosion cracking induced by residual
stresses in carbon and low-alloy high-strength
steels has been investigated by several research­
ers (Ref 54-56). One procedure consisted of im­
mersing the specimens in a boiling aqueous so­
lution of 60% Ca(N03)2 and 4% NH4N03 for 31
h. The crack patterns that developed were related
to the surface tensile residual-stress distributions
in the specimen.
A number of standard practices for testing the
susceptibility of metals to stress-corrosion crack­
ing have been published by ASTM, including:
• ASTM G 38 “Standard Recommended Prac­
tice for Making and Using C-Ray Stress Cor­
rosion Test Specimens,” 1979
• ASTM G 58 “Standard Practice for the Prep­
aration of Stress Corrosion Test Specimens
for Weldments,” 1978
• ASTM G 39 “Standard Practice for Prepara­
tion and Use of Bent-Beam Stress Corrosion
Test Specimens,” 1979
• ASTM G 30 “Standard Recommended Prac­
tice for Making and Using U-Bend Stress
Corrosion Test Specimens,” 1979
• ASTM STP 425 “Stress Corrosion Testing,”
1967
However, these tests for the most part do not
reveal the residual stress, but rather the suscep­
tibility of the metal to cracking under known
stresses in the specified corrosion medium.
Semidestructive Procedures
Nondestmctive methods of residual-stress
measurement are characterized as methods that
in no way affect the serviceability or reduce the
mechanical strength or other properties of the
component in which stresses are measured. Be­
tween the nondestructive and destructive meth­
ods, which have a severe effect on the sendee-
ability'-, strength, and properties, are the
semi destructive methods. These are methods
that have a small to negligible effect on the com­
ponents in which stresses are measured, or meth­
ods in which the component may be repaired af­
ter the measurement.
The methods that are considered semi destruc­
tive are those that require small holes to be
ch illed or rings to be trepanned in the component
or indentations to be made in the surface. The
first two methods provide quantitative data and
the third only qualitative data.
Blind Hole Drilling and Ring Coring
The hole-drilling method was proposed in the
1930s (Ref 57) and is based on measurement of
the change in surface strain caused by stresses
relieved by machining a shallow hole in the test-
piece. The principle is that removal of stressed
material results in the surrounding material re­
adjusting its stress state to attain equilibrium.
The method has been standardized in ASTM E
837 (Ref 58). The ring-core method (Ref 59) is
also based on the strain caused by disturbing the
stress field, but in this case a relatively stress-
free island of material is isolated by making a

shallow ring around a strain gage. This method
is also called trepanning. These two methods are
the least destructive mechanical stress-relief
techniques and are relatively simple and eco­
nomical. They, as do nearly all stress-relieftech-
niques, rely on electrical-resistance strain gages
to measure the strain change due to metal re­
moval. Rosettes of strain gages are available es­
pecially for hole drilling. The size of the rosettes
has been progressively reduced over the last few
decades and are now available in sizes less than
about 10 mm from a number of manufacturers.
As with most residual-stress techniques, hole
drilling and ring coring have been applied
mostly to steels. Most applications have been
done on flat plate or cylindrically round parts
(Ref 5, 60, 61). Stresses can be determined at
various depths into the surface of the material,
down to a depth equal to the diameter of the hole
or core (Ref 62, 63). Kelsey (Ref 64), however,
observed that stresses with depth cannot be mea­
sured accurately to greater than half the hole di­
ameter. The thickness of the layers in winch
measurements are resolved is about 10 to 20%
of the hole or core diameter.
The equipment necessary to perform the mea­
surement is reasonably inexpensive, portable,
and can be used in a manufacturing shop envi­
ronment. However, experienced technologists
are needed to take the readings—from selecting
the area in which stresses are to be measured to
preparing the surface, applying the strain gages,
and reading and interpreting the data. Due to the
possibility of residual stresses being induced by
the hole-drilling or coring technique, prior cali­
bration of the application is recommended in all
cases, with the possible exception of certain ap­
plications where holes are produced by abrasive
jet machining (AJM) (Ref 65).
Rendler and Vigness (Ref 66) developed cal­
ibration constants for cold-rolled steel that they
proposed as generally applicable to all metals
provided that the elastic constants were known.
However, they seem to have overlooked varia­
tions in the strain-hardening coefficients and the
accompanying residual stress, which exist be­
tween alloys and even between tempers of the
same alloy. Dini et al. (Ref 67) showed that di­
rect experimental determination of the necessary
constants for any isotropic material with known
elastic constants can be eliminated by using data
available for cold-rolled steel and calculating
these constants using a formula presented. De­
spite the success that some researchers have
claimed in circumventing the development of
calibration constants, experimental calibration is
strongly recommended. This is best done by ap­
plying strain gages and drilling the holes in test-
pieces prior to stressing them known amounts
(Ref 65, 66). The AJM technique should be ap­
plied to any material with high propensity to
work-hardening during machining, for example,
austenitic stainless steel (Ref 68).
The following are general limitations and/or
concerns of hole drilling and ring coring:
• Areas of high stress gradients should be
avoided because the stress gradient must be
assumed to be constant across the hole or ring
diameter.
• Areas where stresses are greater than one-
third the yield strength of the material are
likely to produce erroneous results due to lo­
cal plastic yielding during metal removal.
• The thickness of the part or specimen must
be at least four times the hole or core diam­
eter.
• Strain hardening of the steel in the vicinity of
the hole may result during metal removal,
which can cause tens of ksi (10 ksi = 69
MPa) error.
• Heating may result during the metal removal.
• Holes or cores must be spaced at least eight
times their diameter apart.
• The area in which stresses are to be measured
must be accessible to a rather bulky drilling
or coring alignment device.
• Preparation of the surface for strain-gage ad­
herence may induce residual stresses that in­
troduce substantial error to the subsequent
measurement (Ref 69).
In conclusion, the drilling and ring-coring
methods are nearly nondestructive variations of
the destructive mechanical stress-relief tech­
niques and require only rather simple equipment
and instrumentation. The state-of-the-art is rela­
tively well developed compared to many non­
destructive methods, some of which require con­
siderable research and development work before
they will ever be suitable to general application
in terms of alloys and stress-field conditions.
Technological advancements in hole drilling and
ring coring have largely been due to advance­
ments in the more general area of mechanical
stress-relief methods and research in new metal-
removal techniques for metal fabrication.
Indentation Methods
Engineers and scientists have proposed the
use of indentors, such as those used to perform
hardness measurements, as a means to measure
or detect surface-residual stresses since the
1930s. Kokubo in 1932 reported that stresses ap­
plied under bending load changed the apparent
Vickers hardness values in carbon-steel rolled
sheets, both as-rolled and annealed (Ref 70). He
showed that tensile stresses tended to decrease
the apparent hardness and compressive stresses
tended to increase the hardness. The stresses ap­
plied in tension and compression were sufficient
to cause 0.3% strain.
In the 1950s, Sines and Carlson (Ref 71) pro­
posed a method that required various amounts of
external loads to be applied to the component in
which residual stresses were to be measured
while hardness measurements were made. The
loads were made to cause both tensile and com­
pressive applied stresses. The quality, that is,
whether the residual stress was compressive or
tensile, was then revealed by comparing the ef­
fect of the applied stress, and whether it was ten­
sile or compressive, on the hardness measure­
ment. At about the same time Pomey et al. (Ref
Measurement of Residual Stresses / 111
72) proposed that residual stresses could be mea­
sured by pressing a ball-shaped penetrator into
the component in which residual stresses were
to be measured and establish the relationship be­
tween the pressing load while it was progres­
sively increased, and the electrical resistance at
the interface between the penetration and the
component. He maintained that a smaller de­
crease in electrical resistance indicated that por­
tions of material under the ball were plastically
yielding and that the corresponding load on the
ball could be related to the existing residual
stress.
Later, Chiang et al. (Ref 73) provided a cri­
tique of several existing indentation analyses and
proposed an interpretation of indentations exhib­
iting hemispherical plasticity. Nevertheless, the
applications illustrated in this paper focused on
brittle materials and not metals.
There have been numerous papers published
proposing various approaches to interpreting the
indentation loads and shapes so as to estimate
the residual-stress field on the surface and near­
surface regions of materials. However, indenta­
tion methods have not earned the degree of con­
fidence of XRD or hole-drilling methods for
general applications and thus are rarely applied.
Spot Annealing
Another method that has been proposed to
measure residual stresses in metal surfaces is to
reduce the residual stresses in a small volume by
annealing the metal in the volume. It has been
proposed that fifis annealing be performed by in­
tense laser light (Ref 50). This technique was
envisioned to be similar to residual-stress relief
by removal of the material as accomplished in
the hole-drilling techniques. However, as Cullity
discussed in Ref 51, such localized heating
would induce high surface residual tensile
stresses in the heat-affected region.
Nondestructive Procedures
The methods described in the section “Strain-
Measurement Methods” all measure the change
in some dimension (strain) of the component
produced by the removal of a finite volume of
stressed metal from that component. Thus, they
measure the strain induced by removing material
so as to perturb the residual-stress field. On the
other hand, nondestructive procedures measure
a dimension in the crystal lattice of the metal or
some physical parameter affected by the crystal
lattice dimension. Whenever a mechanical force,
resulting in stress that is less than the yield
strength, is placed on a solid metal component,
that component distorts and strains elastically.
That elastic strain results in a change in the
atomic lattice dimension, and this dimension, or
change, is measured by the nondestructive
stress-measurement procedures. For example,
the diffraction methods—x-ray and neutron—
measure an actual crystal dimension, and this
112 / Measurement and Prediction of Residual Stress and Distortion
dimension can be related to the magnitude and
direction of the stress that the metal is subject to,
whether that stress is residual or applied Sub­
sequently, in this section the following methods
of stress measurement ar e described
• X-ray diffraction
• Neutron diffr acti on
• Ultrasonic velocity
• Magnetic Barkhausen noise
X-Ray Diffraction
X-ray diffraction techniques exploit the fact
that when a metal is under stress, applied or re­
sidual, the resulting elastic strains cause the
atomic planes in the metallic crystal structure to
change their spacings. X-ray diffraction can di­
rectly measure this inter planar atomic spacing;
"s
F¡g \ 2 One-angle arrangement for the slngle-expo-
sure technique. N, specimen normal; |5, angle
that the incident beam makes with N„ NpV and the
normals to the diffracting planes 1 and 2, respectively;
and \|/2, angles between N., /s',,, and NpP, respectively; r\,
the angles between the incident beam and the diffracting
plane normals; /(,, camera radius; O, point of incidence of
the x-ray beam of the specimen; 1 and 2, diffracting planes
at various attitudes to the specimen surface; 5, and S¿, mea­
sured parameters representing the distance from a refer­
ence point of known distance from the incident beam and
the diffracted x-ray beam position. S, and S¿, directly re­
lated to the Bragg angles, 0, and 02.
pig \ 3 Miniature x-ray diffractometer for the one-an-
® gle technique arrangement of XRD stress mea­
surement. This device incorporates a Ruud-Barrett Posi­
tion-Sen sitive Sc intil I ation D etecto r and i s capabl e of being
inserted in a 4 in. (100 mm) inside diameter and measuring
residual stress (Ref 22).
fr om this quantity, the total stress on the metal
can then be obtained
Since metals are composed of atoms arranged
in a regular' three-dimensional array to form a
crystal, most metal components of practical con­
cern consist of many tiny crystallites (grains),
randomly oriented with respect to their crystal­
line arrangement and fused together to make a
bulk solid. When such a poly crystalline metal is
placed under stress, elastic strains are produced
in the crystal lattice of the individual crystallites,
hi other words, an externally applied stress or
one residual within the material, when below the
yield strength of the material, is taken up by in­
teratomic strain. X-ray diffraction techniques
can actually measure the interatomic spacings
that are indicative of the elastic strain in the spec­
imen. Stress values are obtained from these elas­
tic strains in the crystals by knowing the elastic
constants of the material and assuming that stress
is proportional to strain, a reasonable assumption
for most metals and alloys of practical concern.
Reference 74 describes XRD and instrumenta­
tion in detail.
There are three basic techniques for measuring
stresses, based on XRD. They are the double­
exposure or two-angle technique (DET), the sin­
gle-exposure or one-angle technique (SET), and
the sin-square-psi or multiangle technique. Tire
angle of exposure referred to is that between the
incident x-ray beam and the specimen surface
normal. It should be noted that in any XRD
stress-measurement teclini que, x-ray peaks in the
far back-reflection range, that is, peaks with
Bragg angl es (G) of near 90", are much preferred
because they show the greatest effect with a
given amount of applied or residual stress. This
is illustrated by:
cot 0, E 1 1Z
cq, = (20, - 202)
2 [l + vj sin\ L180J
(Eq75)
where 0, is the Bragg angle of the planes dif­
fracting at t|>, and O2 is the Bragg angle of the
planes diffracting at t|/2. As G, increases, its co­
tangent decreases; therefore, a larger difference
(2G, - 2G¥) would result from a given oi(i to
maintain an equality.
For a residual-stress measurement, the dif­
fracting angle, G, of interatomic planes of at least
two different psi (\|/) angles with respect to the
surface normal must be measured (Fig. 12).
These planes are ciystallographically equivalent
(same Miller indices, hkl) and in the unstressed
state of the metal would have the same inter­
atomic (d) spacing for the planes labeled 1 and
2 in Fig. 12 (Ref 51, 75, 76). In a stressed ma­
terial, however, the two or more orientations of
diffracting planes are selected so that they are at
different angles to the surface; thus their normals
are at different psi (vp) angles to the surface nor­
mal. Then, depending on the angle of these
planes to the stress vector, their interplanar
atomic spacing is increased or decreased by
varying amounts.
The most common sources of errors and mis­
applications in stress measurements by x-rays
ar e related to stress constant selection, focusing
geometry, diffracted peak location, cold-work­
ing crystallography, texture, grain size, micro­
structure, and surface condition. The source, sig­
nificance, and correction techniques for these
errors will not be elaborated upon here; details
may be found in Ref 77.
A point of interest in the error sources con­
cerns cold working and micro stresses. As stated
previously, microstresses are usually considered
to be those manifested by strain variation across
single metallic grains. This strain variati on is de­
tected in XRD as broadening of the x-ray peak—
a distinctly different phenomenon from the peak
shift caused by residual stresses. However, mi­
crostrain variation can be measured simulta­
neously with stress. This microstrain phenome­
non has been proposed as a means of judging
cold work, dislocation den sit}', and fatigue dam­
age (Ref 78).
Despite the facts that x-rays provide stress
readings only to a depth of less than 0.001 in.
(0.025 mm) and that the error sources listed pre­
viously must be considered, the noncontact XRD
method is presently the only time-proven, gen­
erally applicable, truly nondestructive method
for measuring residual stresses. Its reliability has
been proved and documented by thousands of
engineers and scientists since the 1960s, begin­
ning with Bolstad et al.’s classic work at Boeing
using x-ray film cameras (Ref 79). This docu­
mentation includes measurement of stresses in
the Brooklyn Bridge (Ref 20) and tempering
evaluation of carburized steels. The Society of
Automotive Engineers considers the method of
sufficient practical importance to have printed
three handbook supplements on the subject (Ref
4), and another is under revision.
Even so, this nondestructive technology has
been largely restricted to the laboratoiy because
of the general lack of knowledge regarding the
state-of-the-art instruments andthelimitations of
the more widely known and available conven­
tional scanning XRD equipment. Instrumenta­
tion for bringing this technology into the field
and manufacturing area has advanced rapidly
since the 1980s, especially toward increased
portability, compactness, and speed of operation.
As shown in Fig. 13 and 14, instrumentation
has been developed and is commercially avail­
able for stress measurement in situ on the inside
diameter of 10 mm (4 in.) diam pipe, and soon
for 5 mm (2 in.) diam steel tube (Ref 22, 23).
Position sensitive x-ray detectors have been
largely responsible for these improvements to
both laboratory-based and field-deployable re­
sidual-stress-measuring instruments (Ref 9, 19,
21 -23,80-82). Also, with the speed of data col­
lection being less than 0.1 s with conventional
x-ray tube sources, XRD stress measurement can
be performed on moving components (Ref 11).
Nevertheless, many engineers have been frus­
trated in applying XRD to residual-stress mea­
surement. This has been largely due to crystal-
lographers inexperienced in residual-stress

measurement, attempting to apply conventional
scanning x-ray diffractometers and techniques to
residual-stress measurement. For example, in
conventional XRD analysis and crystallography,
sharp resolution of the diffracted spectra is very
beneficial. However, in XRD stress measure­
ment the need to measure psi (\p) angles that are
not zero defocuses the beam, and attempts to re­
focus leads to significant error in the stresses
read (Ref 83). In XRD stress measurement, the
ability to repeatedly measure the position of a
defocused diffracted x-ray peak is more impor­
tant than sharp resolution (Ref 84). Thus, it is
recommended in most cases that XRD residual-
stress measurement be performed by trained
technologists using x-ray instrumentation spe­
cifically designed and built for stress measure­
ment, not conventional scanning diffractometers.
Software packages specifically for residual-
stress measurement used with conventional
scanning diffractometers do not in most cases
eliminate the mechanical and focusing problems
of applying these instruments to residual-stress
measurement. It is necessary to mount the com­
ponent (or specimen) in which stresses are to be
measured on the conventional scanning diffrac­
tometer, which usually requires sectioning of the
component and which complicates and adds er­
ror to the measurement procedure.
Neutron Diffraction
Neutron diffraction (ND) is capable of mea­
suring the elastic strains induced by residual
stresses throughout the volume of relatively
thick steel components with a spatial resolution
as small as 1 mm3. Such capabilities provide for
residual-stress measurement inside components
without sectioning or layer removal. Principal
ND methods, as with XRD methods, measure the
spacing between crystallographic planes in a
component, and this spacing is affected by resid­
ual and applied stress. The spacing between a
selected set of crystallographic planes (q>) is re­
lated to the angle of incidence and diffraction of
Fig. 14 Engineering drawing of the miniature XRD stress measurement head showing major dimensions
the neutron radiation (0), which are equal, and
the wavelength of the monochromatic radiation
(X) by Bragg’s Law:
X= 2d sin 0 (Eq 76)
The elastic strain (s) induced by the residual
stress perpendicular to Hie diffracting crystallo­
graphic plane then is related to d by:
d — d0 sin 0O
s (Eq 77)
d0 sin 0 - sin 0O
where d0 is the distance between the unstressed
crystallographic planes. If the orientation of
principal stresses are known in the component,
the stress in any principal direction may be cal­
culated by:
(1 + v)
Sa + (sA + sB + sc) (Eq 78)
(1 - 2v)
where cA, aB, and ac are the principal stresses,
eA, eB, and sc are the strains measured in the
corresponding principal directions, and E and v
are the Young’s modulus and Poisson’s ratio,
respectively. If the principal stress directions are
unknown, strains in at least six directions must
be measured to determine the residual stresses
acting on the volume of material in which strains
are being measured.
Limitations and Applications. For residual-
stress measurements in most alloys, especially
steels and cast irons, the unstressed spacing (d0)
between crystallographic planes at the exact
point of strain measurement is not known and
not easily measured. This means that d0 or Q0 in
Eq 77 cannot be precisely established, and this
leads to various degrees of error in the accuracy
and precision of ND residual-stress measure­
ments. This condition is aggravated by the fact
that the elemental composition, and thus d0, vary
considerably within a component and markedly
Measurement of Residual Stresses / 113
within the phase (e.g., martensite, austenite, fer­
rite) of the alloy at various locations. Additional
limitations are that the component must be
brought to a nuclear reactor, each strain mea­
surement requires over an hour, a single stress
determination in one small volume of the com­
ponent requires at least three strain measure­
ments, and the measurements are very costly.
Nevertheless, the ND methods have been applied
to residual-stress measurements in steel weld­
ments (Ref 85), cylindrical steel forgings, plas­
tically deformed steel plate (Ref 86), steel rocket
case forgings (Ref 87), and many other types of
components.
Ultrasonic Velocity
The principle underlying the measurement of
stress and thus elastic strain by ultrasonic (acous­
tic) teclmiques is the phenomenon of an approx­
imately linear change in ultrasound velocity with
applied stress. In addition, it has been shown that
under certain narrow conditions residual stress
can be measured by exploiting this phenomenon.
Stress is measured by inducing a sound wave in
the frequency of several megahertz into the
metal specimen and measuring the time of flight
or some other velocity-related parameter. Since
many other characteristics of metals besides
stress-induced elastic strain affect velocity, these
must be sorted out; however, neither the tech­
nology nor the fundamental knowledge for such
sorting is usually available. The great interest in
ultrasonic techniques for residual-stress mea­
surement stems from their promise for three-di­
mensional nondestructive measurements within
the material.
Principle. A number of velocity-related phe­
nomena have been used in various methods to
measure stress effects by ultrasound. All utilize
the deviation of the reaction of the metal from
the linearity of Hooke’s law of elasticity, a =
Ms, where a is stress, s is strain, andMis elastic
modulus. This has been referred to as the anhar-
monic property' of the solid and may be repre­
sented by a power series o = Ms + Cs2 + Z)s3
+..., 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
pressions in which terms past the third-order
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
face waves
• Birefringence of orthogonally polarized shear
waves
• Harmonic generation in surface waves
A very simplified form of the anharmonic
stress strain law has been written as o = Ms +
Cs2 and rewritten as a = s(M + Cs). The term
in parentheses is approximately related to the ve­
locity of sound as pV2 = M + Cs, where p is
the density of the medium and V is the velocity
1 1 4 / Measurement and Prediction of Residual Stress and Distortion
of sound. This may be approximately rewritten
in terms of velocity dependence on strain as:
Then, to solve for strain, s = 2(V ,¡Mp —
2M)/C (Ref 88).
A simple view of the dependency of ultrasonic
velocity on the elastic modulus and density may
be shown by rewriting the equation %V2 = M
+ Cs in terms of V, differentiating, and dividing
by Vto yield an expression for ÁV/V. The result
will readily show that a fractional change in elas­
tic modulus or density would affect the velocity.
The density of metal, for which the Poisson ratio
is near 0.3, obviously changes as a compressive
or tensile stress is placed on the specimen, and
it is reasonable that the speed of sound would
then change.
Limitations and Applications. Ultrasonic
technology offers a number of types of wave
modes in which to probe metals; friese include
bulk waves, such as longitudinal and shear, and
surface waves usually confined to Rayleigh type.
Each mode offers many unique parameters for
extracting information. As has been discussed,
the primary effect of stress-induced strain on ul­
trasonic propagation in metals is on velocity.
This may be detected in a number of ways, in­
cluding measurements of wave velocity, shear
wave birefringence, and dispersion. However,
there are other characteristics of metals that af­
fect the ultrasonic velocity to the same degree as
stress. These include crystallographic texture,
microstresses, multiple phases, coherent precip­
itates, composition gradients, and dislocation
density and distribution.
Crecraft (Ref 89) discussed velocity effects,
manifested as texture-induced birefringence, and
the marked change seen with ultrasonic fre­
quency. He also reported birefringence due to
cold-work in nickel-steel specimens, but did not
attempt to separate the cold-work effects in
terms of texture, dislocation density, and so
forth. In the early 1950s, Bradfield and Pursey
(Ref 90) and Pursey and Cox (Ref 91) reported
showing the influence of small degrees of texture
on ultrasonically measured elasticity in poly­
crystalline bars. They showed how the true iso­
tropic elastic constants can be determined using
measurements of both longitudinal and shear
wave speeds along several directions. They pre­
sented stereograpliic charts that illustrated the re­
lationship between elastic behavior of cubic
crystals and results of x-ray texture determina­
tions.
McGonagle and Yun (Ref 92) noted the cold-
work effects in a paper comparing XRD results
with Rayleigh wave velocity measurements. Bo­
land et al. (Ref 93) also recognized that other
material properties can affect ultrasonic velocity'
and recommended that methods be developed to
distinguish stress-induced velocity changes from
those from other sources.
James and Buck (Ref 94) pointed out that
since the tliird-order elastic constants for most
structural materials are not readily available
from the literature, ultrasonic stress measure­
ment must be calibrated relative to the particular-
material being investigated. In the same paper
they discounted the possible effect of mobile dis­
locations on the sound velocity in structural en­
gineering metals with high yield strengths due
to the short dislocation loop lengths prevalent.
However, they did mention that crystallographic
preferred orientation (texture) during deforma­
tion or fatigue is capable of severely modifying
the elastic constants on which the sound velocity
depends.
Papadakis (Ref 95) noted marked velocity
changes for ultrasonic waves in various steel mi­
crostructures, and Moro et al. (Ref 96) measured
the effect of microstructural changes caused by
tempering on the ultrasonic velocity in low-alloy
steel. Tittman and Thompson (Ref 97) evaluated
the near-surface hardness of case-hardened steel
with Rayleigh waves; because hardness in this
case is a combination of composition, micro­
stress, and macrostress, the velocity change was
due to a combined effect.
The temperature sensitivity of ultrasonic
stress measurements has also been cited as an
important source of error. Salama et al. (Ref 98,
99) proposed that this dependence be used as a
means to measure stress, but also noted the
marked effect of dislocations and did not address
a methodology of separating the stress from the
dislocation effect.
Much of the work cited above is concerned
with attempts to measure the effects of a variety
of material properties on the changes in ultra­
sonic velocity. However, there apparently is no
comprehensive study that demonstrates the ca­
pability of quantitatively separating stress effects
on ultrasonic propagation from other variables
found in structural metals, such as dislocation
density' or crystallographic texture. Furthermore,
most of the studies cited observed velocity-
changes in bulk waves. Velocity measurements
on these waves must be measured through the
thickness of a component, and, as most metal­
lurgists recognize, obtaining uniform properties
through thicknesses greater than a few millime­
ters, especially in steels, is difficult. The subtle
property variations to which ultrasound velocity
is sensitive and the inherent lack of homogeneity
in engineering metals present additional serious
problems for through-thickness stress measure­
ments.
In spite of the microstructural variations in
manufactured steel products, success in the ap­
plication of ultrasonic methods to residual-stress
measurement has been achieved in specific
cases. One is in the measurement of hoop
stresses in railroad wheels (Ref 100). Here
changes or variations of the residual stress in the
hoop direction is of concern while that in the
radial or axial direction can often be assumed to
be constant or negligible. Some techniques then
for the measurement of the residual hoop stresses
has relied on normalizing the hoop velocity'
against the axial (Ref 101). Also, European rail­
roads have monitored ultrasonic velocity along
the wheel rims during use and attributed changes
to residual-stress changes (Ref 102). Schramm
in his paper mentioned a number of approaches
for the application of ultrasound to the measure­
ment of residual stresses in railroad wheels, and
these examples may find application in the mea­
surement of residual stress in other axially sym­
metric shapes (Ref 100). Ultrasonic residual-
stress measurements have also been applied to
rails as reported by Egle and Bray (Ref 103) and
Bray and Leon-Salamanca (Ref 104).
Barkhausen Noise Analysis
The Barkhausen noise analysis technique
(BNA) is concerned with measuring the number
and magnitude of abrupt magnetic reorientations
made by expansion and contraction of the mag­
netic domains in a ferromagnetic metal. These
reorientations are observed as pulses somewhat
random in amplitude, duration, and temporal
separation and therefore are roughly described as
noise.
Applications. A few applications of BNA to
ferromagnetic metallic components have been
made, Gardner (Ref 105) mentions a number of
applications that include helicopter rotor blade
spans, autofrettaged gun tubes, gas turbine en­
gine components, and rolling-element antifric­
tion bearing components. In these examples, the
change in residual stresses caused by known ser­
vice histories was measured.
Chait (Ref 106) qualitatively measured the re­
sidual-stress condition of a high-hardness lami­
nar composite steel weldment and compared
some of the BNA data with XRD stress readings.
Sundstrom and Torronen (Ref 107) applied their
BNA method to a number of microstructural
measurements, including evaluation of grain-
size measurement for low-carbon ferritic and fer-
ritic-pearlitic steels, evaluation of anisotropy in
deep drawing and textured steels for electrical
applications, measurement of the degree of aging
in rimmed carbon steels, and pearlite morphol­
ogy in steel wires. They have also measured iron
loss in magnetic material used for transformers
and have proposed using BNA for residual-stress
measurements, pointing out that quantitative re­
sults can be obtained if the material and its fab­
rication history are known and calibration is pos­
sible.
Most studies and applications of BNA to
stress measurement have focused on the uniaxial
stress state. However, Sundstrom and Torronen
(Ref 107) implied that the instrumentation they
used could simultaneously measure stress in two
directions to give biaxial stress conditions for
magnetic inspection of roller-bearing compo­
nents, including BNA for monitoring residual-
stress change.
Summary. The BNA method certainly has
been demonstrated to be sensitive to the stress
condition in ferromagnetic materials (Ref 108).
Nevertheless, its possibilities for application are
limited by the condition that the material must
be ferromagnetic, the narrow total range of stress
sensitivity (i.e., ±40 ksi, or 5.6 MPa), and the

shallow depth of measurement. The latter con­
dition might be relieved by using magnetome­
chanical mechanical acoustic emission (MAE)
(Ref 109), an ultrasound analog to BNA. How­
ever, the sensitivity of either of these techniques
to other characteristics of metallic components
and the consequent need for calibration with a
nearly identical specimen severely restrict the
general applicability of BNA and MAE. Many
misapplications have been made that have se­
verely damaged the reputation of the BNA meth­
ods (Ref 107, 110). Such restrictions can be re­
moved only if the basic phenomena responsible
for the effect of microstructural properties on
BNA and MAE are understood and quantified in
terms of the signal.
Barkhausen noise analysis is not recom­
mended where variations in elemental compo­
sition, phase composition, grain size, strain hard­
ening, crystallographic texture grain shape, grain
orientation, carbide size and distribution, and
other microstructural characteristics accompany
variations in residual stress. A recent evaluation
of BNA by Allison and Hendricks (Ref 111)
confirms the uncertainty of BNA residual-stress
measurements.
Summary and Recommendations
Only the destructive stress-relief, semides­
tructive hole-drilling, or nondestructive XRD
methods of residual-stress measurement are gen­
erally reliable over a broad range of steel alloys
displaying residual-stress fields induced by the
various manufacturing processes. Measurement
of residual stresses can be very expensive and
time consuming, and it is often worthwhile to
consult experts in the field before deciding on a
measurement method. Before an engineer or sci­
entist who is inexperienced in residual-stress
measurement selects a method and attempts to
measure stresses he/she should consult someone
experienced in residual-stress measurement and
analysis.
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p 1725
2. M.G. Moore and W.P. Evans, Mathemati­
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Stress Determination in Coatings*
COATINGS AND THIN FILMS can be pro­
duced by a large variety of deposition tech­
niques. Typical processes are physical vapor
deposition (PVD), chemical vapor deposition
(CVD), electroplating, electroless deposition,
anodizing, thermal growth, and thermal spray­
ing. Since the early 1980s, considerable progress
has been made in improving deposition pro­
cesses for a wide range of high-technology ap­
plications. Consequently, many new ceramic
coatings and films have been introduced in vari­
ous industries. Typical examples are metal-oxide
semiconductors for microelectronics; titanium
nitride, titanium carbide, aluminum oxide, and
silicon nitride for machining tools; and thermal
sprayed tungsten carbide/cobalt, M-chromium-
aluminum-yttrium (where M stands for iron, co­
balt, or nickel), and yttrium oxide/partially sta­
bilized zirconia coatings for aerospace
applications.
Residual stresses, which are internal and
therefore locked in, are contained in materials
that are produced by nearly every mechanical,
chemical, and thermal process, either alone or in
combination. As a result, most coatings are in a
state of internal stress, including metallics and
ceramics. The stress can be either compressive
or tensile. It is generally recognized that com­
pressive stresses in coatings are more favorable
than tensile stresses because they increase resis­
tance to fatigue failure. However, extremely high
compressive stresses may cause either coating
separation from the base metal or intracoating
spallation. Generally, if a tensile stress causes
strain that exceeds the elastic limit of the coating,
then it will cause cracking in the coating perpen­
dicular to the direction of the stress. Therefore,
understanding the formation of residual stress in
the coating is important to prevent the coating
from peeling or cracking duiing service. Fur­
thermore, residual stresses have significant influ­
ences on the mechanical and physical properties
of the coatings, particularly electrical resistivity,
optical reflectance, fatigue, and corrosion.
There are three types of residual stresses:
• Macrostresses, which are nearly homoge­
neous over macroscopic areas of the material
• Microstresses, which are nearly homoge­
neous over microscopic areas, such as one
grain or subgrain
*This article is adapted from “Stress Determination for Coatings” by J. Albert Sue and Gary S. Schajer in Surface Engineering, Volume 5, ASM Handbook, ASM International, 1994, p 647-
653.
• Inhomogeneous rmcrostresses, which are in­
homogeneous even on a microscopic level
Residual macrostresses are the ones of most in­
terest in engineering practice because they can
substantially affect component service perfor­
mance. Both residual and inhomogeneous mi­
crostresses are of more interest in materials sci­
ence.
This article intends to provide a useful guide
for measuring residual macrostress on a coating.
The most commonly used measurement methods
are mechanical deflection, x-ray diffraction, and
hole-drilling strain gage. After a discussion on
the origins of residual stress, the fundamental
principles, as well as examples of practical mea­
surements, are described for each method.
Origins of Residual Stress
Residual macrostress in a coating combines
the intrinsic stress and the thennal stress acting
in the coating plane parallel to the coating/sub­
strate interface:
ot = a¡ + oth
where crt is the total macrostress, and a, and crth
are intrinsic stress and thermal stress, respec­
tively. Intrinsic stress results from the growth
processes, depending primarily on deposition
parameters, whereas thermal stress arises from a
mismatch in coefficients of thermal expansion
between the coating and the substrate.
Many phenomenological models have been
proposed to explain the occurrence of intrinsic
stresses by correlating them with a variety of
coating imcrostructure and process features. To
varying degrees, the intrinsic stress of a coating
is associated with these deposition conditions
and coating features:
• Incorporation of residual gas atoms in the
coating
• Grain size, microvoid, and dislocation density
in tire coating
• Energetic particle bombardment during coat­
ing growth
• Lattice misfit between the substrate and the
growing coating
• Combined effect of surface tension and
growth process at grain boundaries
• Deposition temperature relative to the melt­
ing temperature of the coating material
• Annealing and shrinkage of disordered ma­
terial buried behind the advancing surface of
a growing coating
Although many studies have described the in­
trinsic stresses, information on the correspond­
ing structural details is limited. It seems unlikely
that one can formulate a generalized model of
intrinsic stress for various coating materials and
deposition processes.
Any coating that is prepared at elevated tem­
peratures (T2) and then cooled to room tempera­
ture (stress measurement temperature,!{) will be
thermally stressed because of the difference in
the coefficients of thermal expansion between
the coating and the substrate. Assuming no de­
formation of the substrate, the magnitude of the
thermal stress in the coating is:
Oth = (cte - as)(T2 - T { )EJ(\ - Vc) (Eq2)
where ac and as are the thermal expansion co­
efficients for the coating and the substrate, re­
(Eql) spectively, and Ec and vc are the Young’s mod­
ulus and Poisson’s ratio of the coating,
respectively. A coating deposited at an elevated
temperature exhibits compressive stress if as >
ac, but tensile stress if as ac. In the case of as
ac, the substrate shrinks more than the coating
does during cooling from the deposition tem­
perature and compresses the coating to maintain
dimensional compatibility.
In some cases, thermal stress is the primary
residual stress of the coating. For example, a ti­
tanium nitride coating can be deposited on a ce­
mented carbide substrate (tungsten carbide-1
wt% Ta-10 wt% Co) via a CVD process at 1000
°C (1830 °F). With the values of as = 5 X
10 _6/K, ac = 9.54 X 10“6/K,£TiN = 411GPa
(60 X 106 psi), and vTiN = 0.24, the stress in
the coating, as calculated from Eq 2, is 2.39 GPa
(0.35 X 106 psi) in tension at 25 °C (77 °F).
Deflection Method
The deflection method is the most widely used
technique for determining the residual stress in
 Stress Determination in Coatings / 119

a coating. In terms of basic principles, it involves
measuring the amount of bending in a strip that
is due to the deposition of the coating. A formula
for calculating the residual stress in an electro-
deposited coating was derived first by Stoney
(Ref 1) in 1909. Subsequent researchers have de­
rived more complexformulas to improve the ac­
curacy of the stress evaluation. Comparative
studies on those stress-evaluation formulas are
reviewed and discussed elsewhere (Ref 2-4).
Nearly all formulas are variants of Stoney’s for­
mula.
Consider a coating deposited on one side of a
strip substrate. Both coating and substrate are as­
sumed to be homogeneous. A mismatched force
at the coating/substrate interface results in resid­
ual stress in the coating, which bends the strip
either upward (concave) or downward (convex),
depending on whether the stress is tensile or
compressive. For overall force and moment
equilibrium of the coating/substrate composite,
it can be shown that the residual stress in the
coating is (Ref 5):
ac = (/.A/ i |6i 1 - vs)ft/c](/
or, in general:
crc = {Sáí/[6(1 - sypti Although Eq 3 is used most often in practice
and represents a generalized Stoney’s formula
{(1 + l'(-nil + ©)} (Eq 4)
for a planar state of stress, it tends to overesti­
mate the value of measured stress. However, it
where does not require knowledge of the elastic prop­
erties of the coating. Equation 4 provides á much
r = 1P&H - v,¡| |;..n - v,,| better approximation than Eq 3, but it does re­
© = ci, dc quire knowledge of elastic properties, Equation
4 differs from Eq 3 in terms of a correction factor
R« X-/2S (Eq 5) [(1 + 1 (-) ') ( I + ©)] Table 1 compares
stresses as a function of djdc, calculated from
where E is Young’s modulus; v is Poisson's ratio; both Eq 3 and 4. In the calculation, it was as­
¿/is thickness, with the subscript c denoting coating sumed that Ec = 400 GPa (6G X 10® psi), Es
and s denoting substrate; R is the radius of curva­ 1 GPa (30 X 10® psi), and vc = vs. It is clear
ture of the bent strip. L is the length of the strip,/ that both equations are in good agreement when
is the deflection from the free end of the strip, and djdc !*> 50. By choosing a large value of djdc.
8 is the deflection at the center of the strip the error can be minimized if Eq 3 is used.
(Fig. 1). Cantilever Beams. To measure the deflection
of cantilever beams, various techniques have
been developed (Ref 7), including optical, ca­
pacitance, mechanical, electromechanical, inter­
ferometric, and electromechanical or magnetic
restoration. Figure 1(a) shows the setup lor the
deflection measurement when an optical system
» dc) (Eq 3) is used. In this example, a titanium nitride coat­
ing was deposited on a quartz beam via a PV1)
process, and the average residual stress in the
coating was determined by measuring the
amount of deflection at the free end./, of the bent
beam, according to the relation:

A = |T/.;/:/]]3(l - CU/A/.I (Eq 6)

With the values of Es = 71.7 GPa (10.4 X 106

psi). vs = 0.16. ds = 3 mm (0.12 in.), dc = 3
X 10 ® m (1.2 X 10~4 in ). I. = 50 mm (2
in.), and/= 2 X 10 6 m (8.0 X 10 * in.), the
stress in the coating is determined to be 273 MPa
(40 ksi) in compression.
Disks. The average stress in the coating on a
disk substrate can be determined from the
amount of deflection, 8, at the center of the disk
caused by the deposition of a coating on one
side. This value can be measured optically by
interferometry or microstylus profilometry. Fig­
ure 1(b) shows a typical interferometry'apparatus
„ _ Monochromatic setup. Either technique measures deflection at
light so urce
the same position, across a diameter of the disk,
Partially both before and after coating deposition. The
silvered mirror
To microscope stress in the coating is then calculated:
(b)
A = {Esd;[(ASx + A<3V)2|! |3(l - vs)r!/.|
Fig. 1 Stress measurement techniques, (a) Bending of (Eq 7)
cantilever beam, (b) Disk deflection. Source:
Ref 6
where AS* and ASy are deflection changes mea­
sured before and after coating deposition, and r
is the radius of the disk. Whether the stress is
Table 1 Comparison of average residual tensile or compressive, it is determined by the
stress calculated using Eq 3 and 4 curvature of the disk before and after coating
Calculated stress deposition, as determined by a depth micro­
Eq 3 Eq 4 scope. When the change in curvature is upward
ds/dc MPa ksi MPa ksi
(concave), viewed from the coating side, the
stress in the coating is tensile. The opposite
200 -1143 -165.7 -1137 -164.9 pjo 2 Typical patterns of interference fringes, (at -g change in curvature indicates a compressive
100 -571 -82.8 -565 -81.9 ° Gy (b) g /■ Gy, where both components are in
50 -286 -41.5 -280 -40.6
compression or tension, (c) a, ¥ a„ where one component
stress in the coating.
20 -114 -16.5 -109 -15.8 Typical interference fringe patterns are shown
is in compression and the other is in tension. Source:
10 -57 -8.3 -52 -7.5 Ref 8 in Tig. 2. Figures 2(a) and (b) correspond to
1 2 0 / Measurement and Prediction of Residual Stress and Distortion
equal and unequal principal stresses of the same
sign, whereas Fig. 2(c) corresponds to a biaxial
stress state with principal stresses of opposite
signs. Using Fig. 2(a) as an example, the mea­
sured deflection, 5, is equal to the wavelength of
monochromatic light multiplied by the number
of light fringes (3 = 632.8 nm x 17).
Figure 3 shows typical microstylus traces on
the titanium nitride coated surface of an AISI
304 stainless steel disk, both before and after
coating deposition. The curvature of the coated
surface was downward (convex), viewed from
the coated side. With the values of = 193
GPa (28 X 106 psi), V3 = 0.28. da = 4.74 mm
(0.186 in.).;- = 11.94 mm (0.4700 in.). = 20
pm (800 pin.), and the deflection A3 = 6.3 X
10-® m (2.5 X 10~4 in.), the stress in the tita­
nium nitride coating is 4.44 GPa (0.644 X MP
psi) in compression. The measurement errors
from both the optical and the microstylus trace
setups are within one-half light band and ±0.1
pm (±4 pin,), respectively.
Practical Considerations. First, either strip
or disk-shape substrate specimens should be par­
allel within 0.02 nun (0.001 in.) over their length
or diameter. Specimen edges should be free from
vi sible flaws and chips. In addition, the surfaces
on which the deflection measurements (interfer­
ometer or profilometer) will be performed should
be ground and lapped to a finish better than 0.08
pm (3 pin.) II,.
Second, the dimensions of a strip of length L,
width w, and substrate thickness ds should obey
L > lOw > 10 ds. The substrate thickness of a
strip or disk depends on the coating thickness to
be deposited. The thickness ratio of the substrate
to the coating. djdc> should be greater than 50
to ensure the accuracy of the stress calculation
from Eq 3.
Third, substrate specimens should be stress re­
lieved before coating deposition. They should be
placed between two stainless steel surface plates
under at least an 8.8 kPa (1.3 psi) normal load,
at an annealing temperature, in a vacuum furnace
X, in.
-14 -10 -6 -2 0 2 6 10 14
X, mm
3 Tvpical microstvlus trace on titanium nitride-
coated AISI 304 stainless steel disk before and
after coating deposition
for at least 1 h. The annealing temperature is
dependent on the substrate material.
Fourth, for coatings with an inherently smooth
surface, such as those produced by PVD and
CVD, the deflection can be determined either by
interference fringe or microstylus profilometer
measurements on the coated surface. For a coat­
ing with a relatively rough surface, such as those
produced by thermal spraying and electroplat­
ing, the measurements can be made on the sur­
face that is opposite the coated surface.
Significance and Use. The deflection mea­
surement method is recommended for determin­
ing the average stress in the cross section of a
coating with a thickness ranging from several
hundred angstroms to several hundred micro­
meters. Typically, the elastic constants of a thin
coating are much different from those of a bulk
material, Equation 3 provides a means for stress
measurement on a thin coating without any
knowledge of its elastic constants. The measure­
ment normally applies only to a test sample. The
disk deflection method is particularly useful for
the direct inspection of silicon wafers used in
solar cells or integrated circuits.
X-Ray Diffraction Method
Basic Principles. Stress measurement, using
the x-ray diffraction method, is based on the
change in the interplanar spacing (strain) close
to the surface of the specimen material. The de­
tails of the theory and interpretation of residual
stress measurements are well described in the ar­
ticle “X-Ray Diffraction Residual Stress Tech­
niques” in Volume 10 of the ASM Handbook, as
well as in Ref 9 to 11. Consider an isotropic
material with a lattice parameter dh0k' for un­
stressed material in the sample plane normal
The strain in a direction inclined by an angle y
to the surface normal of the coating and the stress
acting in the surface plane of the coating at an
angle tp with the principal axis of the specimen
are related by:
bcJikl _ / dthkl __ jhkk/jhkl
(pv(/ — a0 )ia0
= [(1 + \!hkl)iE'M ]
■ (ox cos2 <p + sin2 <p + a y sin2 <p - a.)
• stir V|/ + [(1 + \’hkl)/E l'ki]G z - (vm'/Em/)
■ (ov -I crv I o.) I |(l + V iu )/E M|
■(tv_ cos tp + Cy. sin <p) sin2 v|/)
where h. k. and l are the indices of the Bragg
reflection; e“ and d'*¿ are the strain and inter­
planar spacing of (hkl) in the direction of (tp. \\i).
respectively; vM/ and Ehkl are Poisson’s ratio and
Young’s modulus in (hkl) in the coating; crx, ay,
and a. are normal stresses; t,v. Xy., and t,; are
shear stresses: ax is the normal stress acting in
the x direction on a plane perpendicular to the x
axis; and xv: is the shear stress on a plane normal
to they axis (the first subscript) in the z direction
(the second subscript). Residual stresses of the
coating in various stress states can be determined
using Eq 8.
Biaxial Stress. At a free plane, the out-of-
plane stress components a., t,-, and y,,. are all
zero, at a free surface. Because the penetration
depth of x-rays is very small, the resulting mea­
surements refer specifically to near-surface ma­
terial. Plane stress conditions, therefore, often
apply to x-ray measurements, and Eq 8 is sim­
plified to:
UpP = ld% - dfldf = [(1 + v%fw|
a,, sin2 \]/ + (xm lE hu X<5x + 0 .») (Eq 9)
where a(p = ax cos2 cp + a,¡ sin2 (p is the ma­
crostress in the coating parallel to its surface at
an angle <p with the principal axis of the sample.
For a biaxial stress state, ax = a,, = a„, and
at \|/ = 0:
(<i=o - difydf1 = 2vh%IEhu (Eq 10)
From Eq 9 and 10:
= <ffe0 + <-.,,<±1(1 + vhk‘)!Ehu] sin2 vp
(Eq 11)
In practice, high-angle diffraction peaks of an
(hkl) reflection are obtained from - \\i to +v|/ at
a given angle <p. Lorentz polarization, absorp­
tion. and background corrections are applied to
the diffraction peak profile. The peak positions
are determined by profile fitting or other methods
and are subsequently converted to interplanar
spacing dkk¿ for stress analysis.
In the linear plot of <7* versus sin2 tp, the
intercept is / = d1 *' 0, and the slope is M =
a,pi/;:f'[(l + xhkI). E hkl\. The stress of the coating
can then be determined by:
G(, = M/{d h 0 kl[( 1 + xhk')Ehkl]} (Eq 12)
Triaxial Stress State without Shear Stress. For
a material in a three-dimensional (triaxial) stress
state without shear stress, but with the stress
component ct, having a finite value within the x-
rav penetration volume, Eq 8 becomes (Ref 9.
1Í, 12):
b-hkl / j hkl jhkkt jhkl ia
cpy — “0 ) 0
= [(1 + v**i) /'.M/|(o> cos2 ip + G y sin2<p — 0 ?)
• sin2 xp + [(1 + vm/)/A"S‘]G- — (,\,huiEm)
(Eq 8)
■ (Gx + Gy + o_.) (Eq 1.3)
Two data sets, tp = 0 and (p = 90c. are needed
to obtain ax, a,, and az. The slopes and intercepts
of a linear function of <7™ versus sin2 \p at (p =
0° and (p = 90 are given by:
M„ 0 = 4"l 1(1 + xm)¡Ehu](0V - 0.)
M„ 90» = 4"[(1 + vM/)/EM/](0 v - o.-)
/ = df‘{ [(1 + vhkl)/Ehkl]o: - (vhu/Ehkl)
■ (Gv + o.v + cQ} (Eq 14)

Stresses <jx, ay, and ct. can be determined from
the sum of the slopes and the intercept in Eq 14.
Triaxial Stress State with Shear Stress. A
coating with a three-dimensional (triaxial) stress
state, including shear stresses, is fully described
by Eq 8. The shear stresses, xK and tw, have a
sin~ \|/ dependence. The d'^ versus sin2 vp dis­
tribution is no longer linear and has two branches
of an ellipse for v|/ > 0 and vp < 0. This effect
is termed “\|/ splitting,” which is an indication of
the presence of shear stress.
To obtain these stress-tensor components,
three data sets (tp • 0", (p = 45°, and (p = 90°)
are obtained for both — vp and + \\i. The average
strain a, and the deviation a2 from the strains of
“vp splitting” are determined to be (Ref 9, 11.
12) :
a\ = (e^+ + 4» > 2
= [(¿«4 + -i
= [(1 + v u, )E htlJ
■ (ov cos2 <p + rvv sitr <p + Gy sin2 <p — oz)
• sin2 y + 1(1 + vhu)iEhkl\oz - (viu /E iU )
■ (a x + o y + a.)
«■ = {«§* - V2
= Practical Considerations. First, a 'F-diffrac-
= [(1 + v,,*i)/£’,’W](tK C0S(P + tjs simp) sin3 vp
The stress-tensor components can be calcu­
lated from the slopes of linear plots of <;• versus
sin2 vp and az versus sin2 vp. For a1 versus sin2
vpj (oy — oj is obtained at cp = 0°, (a, — a.)
at <p = 90”, and at <p = 45 . whereas az is
evaluated from the intercept if d1*1 is known.
Similarly, c_. and t,E are obtained when tp = 0°
and <p = 904 respectively, from the slope of a2
versus sin2 tp.
fjíF, 4 Linear distribution oí as a function of sin2 \|/
of titanium nitride coating from ¡3331/(611) re- & of titanium nitride coating from (333)/(51 1) re­
flection
Stress Measurement. Modern diffractome­
ters are fully automated and equipped with com­
puter software for performing numerically inten­
sive analyses. Diffractometers are capable of
measuring residual stresses efficiently and eco­
nomically. Typically, the measurement can be
completed in several hours. The following ex­
amples illustrate some stress measurements us­
ing Cu Ka radiation on cathodic arc PVD tita­
nium nitride coatings on a substrate with various
stress states.
Biaxial. An approximately 10 pm (400 pin.)
thick coating of highly (111) oriented titanium
nitride was deposited on AISI 304 stainless steel
at 500 °C (930 °F). The x-ray diffraction sin2 vp
technique was applied to determine the residual
stress in the (333) (511) reflection ofthe coating.
Figure 4 shows the linear distribution of ver­
sus sin2 vp, indicating typical biaxial stress in the
coating. As shown, the slope M = —1.1933 X
10~3 mu (4.698 X 10~n in.) and the intercept
/ = 44=0 = 0.082123 nm (0.003233 pin.).
Young’s modulus and Poisson’s ratio for tita­
nium nitride in (333)/(511) are 364 GPa (52.8
X 106 psi) and 0.245, respectively (Ref 13). The
(Eq 15)
calculated residual stress for titanium coating is
— 4248 MPa (-615 ksi) in compression. For
highly (111) oriented titanium nitride film, (511)
contribution is negligible. This is addressed in
Ref 13. The (422) reflection has 20 < 130 .
which is not desirable.
Triaxial without Shear Stress. To exemplify a
(Eq 16) triaxial stress distribution, without shear stresses,
triaxial stress analysis was applied to a titanium
nitride coating deposited on Inconel 718 sub­
strate at 550 °C (1020 Te). The d'*^ versus sin2
vp distributions were obtained from (333)/(511)
for <p = 0° and cp = 90° (Fig. 5). The slopes
M ;; and V/., are —0.96782 and —1.01415
X 10~3 nm (-3.8103 and -3.9927 X 10”11
in.), respectively, and the intercept/is 0.082083
nm (0.003231 pin.). The strain-free interplanar
spacing for (333)/(511) is 0.08160 nm
F¡2. 5 Linear distribution of as a function of sin2 q/
flection at <p = 0 and rp = 90°
Stress Determination in Coatings / 121
(0.003213 pin.). Based onEq 14, the stress ten­
sor (cr„) from this analysis, in units of MPa, is:
Ay
r|T r
'y A,
> v, ®-
-2653 ± 1 5 1 0 0
0 -2819 ± 150 0
0 0 815 ± 140
The result shows that the planar stresses are
equal biaxial within experimental error and that
the stress perpendicular to the coating surface is
in tension.
Triaxial with Shear Stress. A triaxial stress
distribution, including shear stresses tw, and
xA_, was studied in a cathodic arc PVD titanium
nitride coating on AM-355 stainless steel. The
d% versus sin2 vp distributions were obtained
from (333) (511) at <p = 0°, cp = 45°. and <p =
90° using Cu Ka radiation. Figure 6 shows the
typical ellipse distribution of ./if), versus sin2 vp
at q> = 0°. Based on analysis discussed at the
beginning of this section, the stress tensor in the
titanium nitride coating, in units of MPa, is:
-2699 ± 148 1 ± 181 110 ± 32
1 ± 181 -2776 ± 148 -34 ± 34
110 ± 32 -34 ± 34 833 ± 148
tometer is preferable for conducting stress mea­
surements. The Q- and vP-diffractometers are de­
fined on the basis of the sample axis for vp tilt
perpendicular or parallel to the plane of the in­
cident and detected x-ray beam, respectively. A
'P-diffractometer gives symmetric irradiated ar­
eas in — vp and + vp tilted angles at a given (hkt)
reflection line and a greater range of sin2 vp (from
0 to 0.95 for a vF-diffractometer and 0 to 0.5 for
an Q-diffractometer).
Second, the diffractometer should be mechan­
ically aligned and calibrated using a stress-free
standard sample (NIST SRM 660 lanthanum
hexaboride powder or SR.M 640 silicon powder)
to obtain the peak position of the (hkt) reflection
line within ±0.01° at Bragg angles 20 in the
range of vp > 0 and vp < 0.
Third, an appropriate x-ray wavelength should
be selected to achieve the desired sampling vol­
ume (penetration depth) for a particular set of
ilild) planes. The penetration depth, which is de­
fined as the distance from the surface to the depth
with 63% or I e ofthe intensity ofthe reflection
line, is calculated for Í2- and 'F-diffractometers,
respectively:
t_o = (sin2 0 — sin2 vp)/[2p(sin9 cosvp)]
■rq, = (sin0 cost)/) 2u
where u is the linear absorption coefficient,
which can be obtained from Ref 14 for various
materials and radiations.
Fourth, to achieve high accuracy in residual
stress, the measurement should only be carried
out on an (hkt) reflection line with Brasa ansies
20 > 130' and with sufficient intensity for peak-
position determination.
1 2 2 / Measurement and Prediction of Residual Stress and Distortion
Fifth, an appropriately sized collimator should
be selected. It should have an irradiated area
large enough to ensure that a statistically rele­
vant number of grains or subgrains in the coating
are included in the measurement. The angular
resolution is essential in stress measurement. If
the spot mode of x-ray beam cannot sample a
sufficient number of grains, one should use an­
other method.
Sixth, appropriate methods (Ref 9, 10, 15
17), such as modified Lorentzian, Gaussian,
Cauchy, Pearson VII, parabola, center of gravity,
gravity line, and cross correlation should be ap­
plied to determine the peak positions of the re­
flection line (hkl).
Seventh, a sufficient number of measurements
in the — \|/ and +\j/ directions should be con­
ducted to obtain an accurately linear distribution
or \|/-splitting of versus sin2 \|/. The signifi­
cance of this distribution should be verified bv
repeating measurements at different cp angles. If
a nonlinear relation other than vp-splitting is ob­
tained in the d1 '^, versus sin2 \j/ distribution, then
the coating being measured is inhomogeneous
and, therefore, the x-ray diffraction sin2 y
method is no longer applicable.
Eighth, the x-ray elastic constants of the coat­
ing for an (hkl) plane, Shkl = — xhkl¡Ehkl and
Sfij2 = (1 + p%j“ can fee calculated from
single-crystal compliance, according to an ap­
propriate model (Ref 11, 12), or measured ex­
perimentally in uniaxial tension or bending tests
with a Series of loads (Ref 13, 18, 19). X-ray
elastic constants and applied loads (cra) obey
these equations:
Sfn = (1 + vMiygw
= (Vdfl)[d/do¿3d^/3sm 2 y)]
sf = = [i/(2rff)](adf/=0/23oa;)
"Ninth, a stress-free interplanar spacing, dkkI,
for a coating may not be readily available in
Fig. 6 Typical ellipse distribution of c/JJ as a function of sin2 y of titanium nitride coating from (333)/(51 1) reflection at varying angles, (a) cp = 0°. (b) cp = 45°. (c) cp = 90°
practice. For biaxial stress analysis, the lattice
spacing measured at vp = 0. dkk¿ 0, can be sub­
stituted for dhkl. In this ease, the contribution to
the total error is less than 0.1%. For a triaxial
(b)
pig, 7 (a) Typical three-element strain-gage rosette, (bt
& In-plane strain components caused lay release of
residual stress through introduction of a hole. Source:
Ref 21
stress analysis, the difference between dhk^=0
and dhkl is included in the calculation. Conse­
quently, a small error in dhkI can lead to a rela­
tively large error in the measured stress. To ob­
tain acceptable stress results. must be within
0.01% of its true value. The stress-free inter­
planar spacing d'¿ kl in the strain-free direction y *
is given by (Ref 20):
sin2 \p* = [-Sf'/fo’f^)]
- {1 + [(o, - o:)/(ox - o,)]
+ [3 + (S'f 2Sf)oz]/(°v - a,)!; <p = 0
sin2 y* = [-S?ll(Sf‘l2)\
• {1 + l(o, - cQ'(gv - a-)]}
when |av + a, - 2a.| >> 2 l0 .|
dfl = „ |1 + „Sf'(av + av + o,)
+ (S hkl!2) a2]
Significance and Use. The advantage of the
x-ray diffraction method is its capability for
measuring residual stress directly and nonde-
stmctively on a product component. Portable dif­
fractometers are commercially available and can
be used for on-site measurement. The method
can apply to a coating with a thickness ranging
from 0.5 to 350 pm (2 X 10 5 to 1.4 X 10“2
in.). However, it is difficult to measure residual
stresses in extremely thin coatings and. in some
cases, highly textured coatings. Furthermore, x-
ray diffraction is inapplicable to amorphous
coatings, and a large scatter in stress measure­
ment is often encountered in coatings with large
grain size.
Hole-Drilling Method
Basic Principles. The hole-drilling method
for measuring residual stresses involves drilling
a shallow hole in the test specimen to a depth
approximately equal to the hole diameter. Typ­
 Stress Determination in Coatings / 1 2 3

ical hole diameters range from 0.8 to 5.0 mm where p is the angle measured clockwise from hole-drilling rosette will deviate significantly
(0.030-0.200 in.). The creation of the hole re­ the location of gage 1 to the direction of <7max. from the ASTM tabulated values. The coeffi­
distributes the stresses in the material surround­ The above equations are valid for a homoge­ cients must be determined on an individual basis,
ing the hole. A specially designed three-element neous isotropic material that is wide, when com­ either by experimental or computational means.
strain-gage rosette, such as that shown in Fig. pared with the hole diameter, and thick, when The use of the hole-drilling method with such
7(a), measures the associated partial strain relief. compared with the hole depth. The equations “thin” coatings is not generally recommended
The in-plane residual stresses that originally ex­ also apply to a through-the-thickness hole in a because the sensitivity of the resulting strain
isted at the hole location can then be calculated material in the form of a thin sheet, provided that measurements is rather low. As a result, small
from the measured strain reliefs using the the sheet thickness is uniform near the hole. The absolute errors in the strain measurements can
method described in ASTM E 837-92 (Ref 21). associated calibration constants have slightly cause large relative errors in the computed resid­
The ASTM standard also gives details of prac­ different values than those of the thick-material ual stresses.
tical drilling procedures. case. Table 2 (from ASTM E 837-92) lists the Stress Measurement. The following example
The partial strain relief measured by one of dimensionless calibration coefficients for both illustrates a hole-drilling measurement on a det­
the three strain gages in the rosette in Fig. 7(b) the thin-sheet and thick-material cases. A and B onation-gun type of tungsten carbide-cobalt
is related to the principal in-plane residual can be determined from the dimensionless co­ (WC-Co) coating deposited on an AI SI 1018
stresses by: efficients using: steel substrate. The coating was approximately
0.75 mm (0.03 in.) thick and had a macroscop-
A = -(1 + v)a/2E ically homogeneous structure. The elastic prop­
sr = (°max + cminM
B = —b/2E (Eq 19) erties of the coating were Ec = 172 GPa (25 X
+ frw - o mm )B cos2 a (Eq 17) 106 psi) and vc = 0.3.
Residual stress measurements in coated ma­ A 06 2-RE hole-drilling strain-gage rosette
where crmax and amin are maximum and minimum terials create an additional complication because (5.13 mm, or 0.202 in., strain-gage mean diam­
principal residual stresses, and a is the angle the combination of coating and substrate is no eter) was attached to the coated specimen. A 2.44
from the gage axis to the maximum principal longer a homogeneous material. The calibration mm (0.096 in.) diam hole was cut in the WC-Co
stress direction. A and B are calibration con­ coefficients provided in ASTM E 837-92 no coating by abrasive-jet drilling using 27 pm
stants, the values of which depend on the spec­ longer accurately apply. However, the above two (1080 pin.) alumina particles. Drilling proceeded
imen material properties, the rosette geometry, equations are still valid for coated materials, if in four approximately equal depth increments,
the hole diameter, and the hole depth. ASTM E the coating has a uniform thickness. If the sub­ up to a final depth of 0.356 mm (0.014 in.). The
837-92 tabulates the calibration constants for the strate is less than several times greater than the strain measurements listed in Table 3 were made
standard rosette pattern shown in Fig. 7. hole depth, then it is also necessary for the sub­ after each hole-depth increment. Using the A and
Equation 17 can be inverted to determine the strate thickness to be uniform. B calibration coefficients from ASTM E 837-92,
principal residual stresses from the measured The calibration coefficients A and B for hole adjusted for the elastic properties of the coating
strain reliefs. The result is: drilling in a coated material differ from the stan­ material, the principal residual stresses in the
dard values given in ASTM E 837-92. The actual coating were found to be — 260 MPa (— 38 ksi)
Omin = [fe - S,)/44] values depend on the elastic properties of the and —286 MPa ( — 41 ksi), respectively. As
± {[(S3 - s,)2 + (S3 + Si - 2s2)2]1/2/4g} coating and the substrate, the coating thickness, might be anticipated, the residual stresses in the
and the hole diameter and depth. These coeffi­ coating are approximately isotropic.
p = !/2 arctan [(s3 + Sj — 2s2)/(s3 - ex)] cients can be determined by either experimental Practical considerations for the use of the
(Eq 18) calibrations (Ref 22) using known externally ap­ hole-drilling method are:
plied stresses or finite-element calculations (Ref
23). • A high-speed drilling technique using carbide
Approximate values of A and B for thick coat­ drills is recommended for producing a hole
Table 2 Numerical values of dimensionless ings can be estimated from the values given in in a ductile coating. Abrasive-jet drilling is
calibration coefficients á and b ASTM E 837-92. For this purpose, a “thick” recommended for a brittle, hard coating (Ref
coating is one that is at least 0.25 times the mean 24).
Through-the- Blind ho!e(b)> • The use of specially made hole-drilling
thickness hole(a) depth = 0.4D
radius of the strain-gage rosette. For the smallest
commercially available hole-drilling rosette, the strain-gage rosettes is essential. The applica­
db/d a b a b
mean radius is about 1.25 mm (0.050 in.). There­ tion of the strain-gage should follow the pro­
0.30 0.089 0.278 0.111 0.288
cedure recommended by the manufacturer.
0.31 0.095 0.295 0.118 0.305
fore, the minimum acceptable coating thickness
0.32 0.101 0.312 0.126 0.322 is about 0.3 mm (0.012 in.). • A smooth coating surface less than 0.41 pm
0.33 0.108 0.329 0.134 0.340 An approximate estimation of A and B for a Ra (16 pin. RJ is desirable for secure strain-
0.34 0.114 0.347 0.142 0.358 coated material is based on the observation that gage adhesion. An abrading or grinding pro­
0.35 0.121 0.364 0.150 0.376
the hole-drilling method is most sensitive to the cess that does not induce significant residual
0.36 0.128 0.382 0.158 0.394
0.37 0.135 0.400 0.166 0.412 stresses closest to the specimen surface. Almost surface stress should be used for surface prep­
0.38 0.143 0.418 0.174 0.430 all of the measured strain relief is due to the aration.
0.39 0.150 0.436 0.182 0.448 stresses in the material within a depth of about • The selection of an appropriately sized strain
0.40 0.158 0.454 0.190 0.466
0.25 times the mean radius of the hole-drilling gage should be based on coating thickness, as
0.41 0.166 0.472 0.199 0.484
0.42 0.174 0.490 0.208 0.503 rosette. Thus, a specimen coated to at least tills well as on the depth and diameter of the hole
0.43 0.183 0.508 0.217 0.521 depth is likely to behave similarly to a homo­ to be drilled. The diameter of the drilled hole,
0.44 0.191 0.526 0.226 0.540 D0, should be related to the diameter of the
geneous thick specimen consisting only of coat­
0.45 0.200 0.544 0.236 0.558
0.209 0.562 0.246 0.576
ing material. Thus, the A and B calibration co­ gage circle, D, where 0.3 < (D/D0) <0.5.
0.46
0.47 0.218 0.579 0.255 0.594 efficients for a ‘thick” coating are approximately • A depth microscope with a resolution better
0.48 0.228 0.596 0.265 0.612 equal to the ASTM tabulated values for a ho­ than 12.7 pm (0.0005 in.) should be used to
0.49 0.237 0.613 0.275 0.630 mogeneous material with the elastic properties measure the depth of the drilled hole at each
0.50 0.247 0.629 0.285 0.648
of the coating. depth increment.
The A and B coefficients for coatings that are • The center of the drilled hole should coincide
(a) In a thin sheet (b) In a thick material. Source: ASTM E 837-92
thinner than 0.25 times the mean radius of the with the center of the strain-gage circle within
124 / Measurement and Prediction of Residual Stress and Distortion

Table 3 Hole-drilling residual stress measurements on a detonation gun WC-Co coating

Average stress
Depth Strain, pa Gx Gy Gmir
mm in. Sl S2 S3 MPa ksi MPa ksi MPa ksi MPa ksi MPa ksi MPa ksi Ot
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; Young’s modulus, 172.0 GPa (25 X 1C^ psi); Poisson’s 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
should be used to align the drill holder or
abrasive-jet nozzle with the center of the ro­
sette.
• Precautions should be taken to ensure that the
walls of the drilled hole are square to the coat­
ing surface on which the rosette is cemented.
It is important to protect the strain gage from
abrasive-particle erosion or mechanical dam­
age during the drilling operation.
• Values for the Young’s modulus and Pois­
son’s ratio of the coating should be indepen­
dently measured in order to determine the re­
sidual stress from strain relaxations.
Significance and Use. The hole-drilling
strain-gage method is a semidestructive tech­
nique for measuring residual stress on a coating
with a thickness of at least 0.1 mm (0.004 in.).
The method, which is quite versatile, can apply
to test samples as well as to actual components
with complex geometries. Furthermore, it can be
used for on-site measurements.
Method Comparison
The mechanical-deflection method is capable
of measuring the average stress throughout the
coating thickness, but requires the stress to be
uniform over large distances in the in-plane di­
rections. In contrast, the x-ray diffraction and
hole-drilling methods can make a much more lo­
calized measurement in-plane, but they have a
significantly more limited depth capability. A
good agreement in stress measurements between
the deflection and x-ray diffraction methods has
been demonstrated (Ref 13). With the extrapo­
lation of blind-hole measurements to the near
surface, the stress measurement is in good agree­
ment with that measured by x-ray diffraction
(Ref 25). A user can select the most suitable
method based on economics, environment, coat­
ing microstmctures, and the geometry of the
component to be measured.
REFERENCES
1. G.G. Stoney, Proc. R. Soc. (London) A, Vol
82, 1909, p 172
2. C.N. Kouyumdjev, Surf Technol., Vol 26,
1985, p 35
3. C.N. Kouyumdjev, Surf. Technol., Vol 26,
1985, p 45
4. G. Sotirova and S. Armyanov, Surf. Coat.
Technol, Vol 28, 1986, p 33
5. M. Ohring, in The Materials Science of Thin
Films, Academic Press, 1991, p 461
6. R.W. Hoffman, in Physics of Thin Films,
Vol 3, 1966, p 211
7. D.S. Campbell, Handbook of Thin Film
Technology, L.I. Maissel and R. Glang, Ed.,
McGraw-Hill, 1970, p 12-21
8. R.E. Cuthrell, D.M. Mattox, C.R. Peeples,
P.L. Dreike, and K.P. Lamppa, J. Vac. Sci.
Technol, Vol 6A (No. 5), 1988, p 2914
9. V.M. Hauk, Adv. X-Ray Anal, Vol 27,
1984, p 81
10. Residual Stress Measurement by X-Ray Dif­
fraction, J784a, 2nd ed., SAE Handbook,
Society of Automotive Engineers, 1971
11. I.C. Noyan and J.B. Cohen, Residual Stress
Measurement by Diffraction and Interpre­
tation, B. Ilschner and N.J. Grant, Ed.,
Springer, 1987
12. H. Dolle, J. Appl. Crystallogr., Vol 12,
1979,p 489
13. J.A. Sue, Surf Coat. Technol, Vol 54/55,
1992,p 154
14. C.H. Macgillavry and G.D. Rieck, Ed., In­
ternational Tables for X-Ray Crystallogra­
phy, The Kynoch Press, Birmingham, 1962
15. W. Parrish, T.C. Huang, and G.L. Ayers,
Trans. Am. Cryst. Assoc., Vol 12, 1976, p
55
16. A. Brown and J.W. Edmonde, Adv. X-Ray
Anal, Vol 23, 1980, p 361
17. A. Brown and S. Linde, Adv. X-Ray Anal,
Vol 30, 1987, p 343
18. V. Hauk, International Conference on Re­
sidual Stresses, ICRS2, G. Beck, S. Denis,
and A. Simon, Ed., Elsevier, London, 1989,
p 292
19. H. Behnken and V. Hauk, International
Conference on Residual Stresses, ICRS2, G.
Beck, S. Denis, and A. Simon, Ed., Elsevier,
London, 1989, p 341
20. V.M. Hauk, Adv. X-Ray Anal, Vol 27,
1984,p 101
21. “Determining Residual Stresses by the
Hole-Drilling Strain-Gage Method,” E 837-
92, Annual Book of ASTM Standards,
ASTM
22. “Measurements of Residual Stresses by
Hole-Drilling Strain Gage Method,”
TN503-4, Measurements Group, Wendell,
NC, 1993
23. G.S. Schajer, J. Eng. Mater. Technol.
CTrans. ASME), Vol 103 (No. 2), 1981, p
157
24. M.T. Flaman and J.A. Herring, Exp. Tech.,
Vol 9 (No. 8), 1985, p 30
25. C.O. Ruud, P.S. DiMascio and J.J. Yavelak,
Exp. Meek, 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
countered by mechanics of nonrigid solids, anal­
ysis of residual stress presents one of the most
challenging tasks because it involves the analy­
sis of physical-mechanical processes and struc­
tural changes in the material under various me­
chanical and heat impacts. Although methods of
analyzing residual stress have been under devel­
opment since the 1930s, this field still presents
quite a number of problems to be solved. De­
velopment of experimental techniques providing
for large amounts of strain field data suitable for
later mathematical processing gave impetus both
to the beginning of new and the development of
already available approaches to residual stress
analysis, this fact significantly expanding the
range of solvable applied problems. The objec­
tive of this chapter is to present results from new
developments in methodology and applied tech­
niques for solving problems in the field of resid­
ual stress analysis.
Residual stresses can be subdivided provision­
ally into too classes: macrostresses (stresses of
the first type) and microstresses (stresses of the
second type). Microstresses are stresses that ac­
tually exist directly in the crystalline grain and
experience changes within the crystalline aggre­
gate (grain) due to crystal inhomogeneity, dif­
ferent alignment of crystallographic planes, and
some other factors. Macrostresses can be re­
garded as averaged microstresses on some finite
base. It must be noted that to determine macro­
stresses by microstress averaging is possible
only if microstress distributions comply with
consistent patterns of statistics.
Most methods for determining residual stress
aim at obtaining values of macrostresses. This is
because the majority of modem approaches to
stress-state evaluation are based on continual
models of material whose deformation and de­
struction are described on the basis of continua
mechanics. It might be well also to point out
considerable difficulties in experimentally deter­
mining the microstress due to minuteness of
crystal grains characterized by arbitrary irregular
form and generally being inhomogeneous.
At the same time, for example, the x-ray study
of residual macrostress (the so-called sin2 y
method) is based on measuring changes in dis­
tances between atomic planes of metal grain lat­
tice (i.e., microstrains).
With regard to problems considered in do­
mains of strength evaluation, reliability, and op­
timal structure design, different methods and re­
spective experimental techniques have been
developed to solve typical problems of residual
stress analysis for most practical cases.
Efficiency of one or another method is deter­
mined by the studied object geometry, type of
stress state, nature of residual stress distribution,
and materials properties. Methodology of re­
search, including distinctive features of experi­
mental techniques and facilities are given in
Ref 8.
Classical methods of residual stress research
used nowadays, both destructive and nonde­
structive, provide no opportunity to reliably de­
termine residual stresses in terms of their high
gradients when a pronounced change of stress
occurs on the gage length in the order of 1 mm
(0.04 in.). At the same time, determining residual
stress on this gage length is necessary when an­
alyzing strength, integrity, and durability of
structures with welded joints, welded deposits,
and other inhomogeneities.
Special methods that provide for analysis of
high-gradient (up to breakage) fields of residual
stress in parts made of homogeneous and bime­
tallic materials have been developed to analyze
such problems.
This chapter is dedicated to methodology de­
velopments that accompany experimental deter­
mination of significantly inhomogeneous fields
of residual stress. It presents a systematic outline
of modem methods for determining residual
stress fields characterized by significant inhom­
ogeneity, including theoretical foundations of
respective methods as well as aspects of their
application. These methods are based on math­
ematical processing of extensive experimental
data obtained when notches of various types are
made in the part under investigation. Here, the
procedure for obtaining stresses from experi­
mental data is based on the fact that residual
stress determination is posed as an inverse prob­
lem from the mechanics of nonrigid solids.
Also presented are problems encountered in
obtaining experimental data necessary for deter­
mining residual stress, including requirements to
the nature and scope of acquisition procedures
as well as descriptions of special equipment used
in solving practical tasks. Examples of applying
these techniques to the study of high-gradient
residual stress fields are given.
Study of Residual Stress as Inverse
Problem of Experimental Mechanics
The source of residual stress appearance lies
in the initial strain, e °, that fails to meet the equa­
tions of strain compatibility. This strain is con­
nected by the Hooke’s law to the elastic strain,
etJ — e°, emerging in the body (where etJ are frill
strains corresponding to the general solution of
the problem with external loads missing). Resid­
ual stress is adjusted for equilibrium inside the
body after eliminating the impacts that caused it.
In the theoretical study of residual stress, either
the initial incompatible strain, e°, or the se­
quence of changes in force and temperature con­
ditions of loading that leads to initial strains,
are assumed to be known.
The approaches to the study of residual stress
presented in this chapter belong to destructive
methods. Yet, in contrast to the known investi­
gation techniques that involve notching, these
methods do not assume any a priori correlation
between distribution of residual stress to be
found, on the one hand, and the stress-strain state
of the investigated part after notching, on the
other, the latter being determined experimen­
tally.
Following are experimental design methods of
determining the continuous distribution of resid­
ual stress in flat parts of arbitrary shape by mea­
sured parameters of stress-strain state close to
notches made. Such parameters can be repre­
sented by stress-strain tensor components or
those of displacement vector, as well as by some
of their functionals (e.g., the first invariant of
stress tensor) that retain the attribute of linear
dependence on residual stress to be found.
126 / Measurement and Prediction of Residual Stress and Distortion
The problem of determining residual stress
from measured parameters of stress state in the
vicinity of a created notch belongs, by the man­
ner of posing, to the class of inverse problems.
The observed picture of the stressed state is a
response of the residual stress that is relieved
along the notch line and must be restituted by
this response. Inverse problems are distin­
guished by being ill defined in most natural (with
regard to practice) spaces (C and L2), which in­
corporate initial data and target distributions of
residual stress (Ref 1). These problems are ill
defined because close distributions of observed
stressed-state parameters (close within measure­
ment error limits) can be matched against sig­
nificantly different distributions of residual
stress along the notch line.
Consistent procedures for determining resid­
ual stress can be based on regulating algorithms
for various integral-solving equations. Consider
two variants of obtaining consistent derivation
procedures with differently posed problems.
In the first variant, the notch is gradually ex­
panded and measurements are made for a certain
parameter of stress state at some specific locus
that follows the shift of a notch tip. Thus, the
distribution of the observed parameter is deter­
mined along the notch line as the paid geometry
changes. The corresponding inverse problem is
reduced to the Volterra integral equation.
In the second variant, the created notch cor­
responds to its final length, and the respective
overall effect along some line in the vicinity of
the notch is measured. The corresponding in­
verse problem is reduced to the Fredholm inte­
gral equation.
Method of Volterra Integral Equations. As
the notch is expanded, residual stress on its
edges is relieved, this stress playing the role of
edge load for a new section of part boundary
(Fig. la). Due to the superposition principle, the
relationship between the required residual stress,
Oy ©, and the measured parameter of stress state
along the notching line, jx(x), (Fig. lb) may be
represented as the Volterra integral equation of
the first type:
=]i(x) L (Eql)
where L is the maximum length of the notch. The
operator kernel, B(x£), corresponds to values
¡i(x) at point x from 8-impact at point £,, while
the domain of its definition is a triangle (i.e., at
\ > x, B(x£) — 0 is obtained.
Apart from considering Eq 1, it is possible to
suggest its transformation on the basis of an ad­
ditional condition—smoothness of the changed
function ju.(x). Then, by way of differentiating,
Eq 1 is reduced to the Volterra equation of the
second type:
B(x,x)vy(x) + | = p'(x) (Eq 2)
When applying the method of the Volterra in­
tegral equation, the following important fact
should be considered. While preparing the ex­ tional experiment to select measurement lines
periment, account is taken of its conditions and and points with high information resolution.
measuring tool sensitivity in choosing the value As for Eq 2, its solution is a correctly solvable
of a step irr expanding the notch and taking mea­ problem, and the operator of this equation is a
surements. In this case, the discrete character of regularizing operator for Eq 1. When using Eq
obtained information is in rro way connected to 2, the accent in solving is on finding an efficient
the nature of measured distributions. From this algorithm for numerical differentiation of dis­
factor develops the task of subjecting the initial crete experimental data.
data to preliminary processing and that of cre­ Values ju.(x) and p(s) are known from the ex­
ating some continuous and differentiable ana­ periment in the presence of additive random dis­
logues from discrete data and within error limits turbance whose value is dependent both on the
comparable to experiment errors. Particular pat­ experimental method used and the specific con­
terns for processing initial data can be designed ditions of measurements. The accuracy of mea­
in various ways, including regularization meth­ surements cannot be increased as far as it is pro­
ods. vided by the numerical methods used to
Method of Fredholm Integral Equation of determine kernels of integral operators. They are
the First Type. Aline running close to the notch constructed by multiple solving of boundary
tip is selected (Fig. 2). Due to the linearity of the problems for the notched part studied. As a rule,
problem under consideration, the relationship errors of initial data are always significantly
between the required residual stress cjv© along
the notch with length L and the values of the
measured parameter p© on this line is:
I" = \L(s) s < E S £ < E L (Eq 3)
The kernel of integral operator H(s£) is de­
termined in the region S X L and corresponds
to measured parameters p© on line S from 8
impacts at points ^ El. From the point of meth­
odology, reducing the problem to solving the
Fredholm equation of the first type is very im­
portant. First, conducting an experiment is rela­
tively simple compared with the approach that
uses the Volterra equation because in this case,
all experimental data are obtained from the sin­
gle length notch. Second, when solving Eq 3 nu­
merically, creating a matrix analogue of an in­
tegral equation would require (under equal
□-------- *-x
discrete values) significantly fewer boundary
problems to be solved in comparison with the I
first approach, which allows for the changing
boundary of the notch tip area. (b)
Solutions of equations of the first type (Eql,
Fig. 1 Design diagram of Volterra integral equation
3) are unstable toward variations of initial data ® method, (a) Residual stress relieved at notching,
(right side) and call for regularizing methods. (b) Measured parameters of stress state at the notch­
The indicated distinctions in experiment ar­ following point
rangement detennine specific features in the
mathematical structure of these equations. Thus,
the Volterra equation (Eq 1), all other factors
being the same, is conditioned with regard to ay
to a greater degree (i.e., has wider information
possibilities than Eq 3). According to the regu­
larization principle (Ref 1), information possi­
bilities of considered c omputational / experimen­
tal procedures can be evaluated by the
maximally admissible degree of smoothness in
solving respective integral equations. Informa­
tion capacities are largely determined by
smoothness of integral equation kernel. The
higher the kernel smoothness, the liigher is the
smoothing (averaging) effect of the integral op­
erator, and consequently, the less distribution ay
manifests itself in peculiarities of measured dis­
tributions |i.(-s). Accordingly, the considered ap­ Fig. 2 Design diagram for method of Fredholm integral
proaches provide for a preliminary computa­ equation

higher than those of the problem operator, and
in the event of considered problems, we regard
the operator to be specific with precision.
Following the principle of regularization, it is
necessary to introduce a priori information about
functional properties of residual stress distribu­
tion when solving integral equations of the first
type (Eq 1, 3). Usually, there is no quantitative
information about distributions searched for, yet,
from the physical viewpoint, it is natural to re­
gard these distributions as sufiiciently smooth
functions. Regularization methods based on
qualitative data about smoothness of searched
distributions allow suppression of oscillating
components, whatever their nature. Various reg­
ularizing algorithms and principles of their con­
struction are given in Ref 1 to 3.
One of the most universal methods in solving
ill-conditioned problems based on variation prin­
ciple is the method of smoothing functional
(Tikhonov’s method). This functional has the
following form (arguments are left out): ra[oy]
= p|,(//ay,f.i) + a02[ay], where p|2 is a resid­
ual in L2; H is the integral operator in Eq 3 (B is
for Eq 1); a > 0, regularization parameter; and
0 is the stabilizing functional whose value is a
measure of function smoothness. In the consid­
ered problem that searches for smooth distribu­
tions, when selecting 0, it is expedient to apply
restriction both to the norm of function ay itself
and to that of its first derivative.
According to the variation principle, the reg­
ularizing solution is represented by function ay,
supplying the minimum to the functional and de­
termined from Euler’s equation for this func­
tional:
(H*H + aL)Oy = H*\i
where H is an ¿/-dependent operator, while the
operator L depends on the selected functional 0.
Accordingly, the functional takes the form:
düy
02[ay] = q\\oy\\l + p
d!~
where q and p are nonnegative continuous
weight functions. Then:
d { doy\
Lüy = qOy ~ — ^
Regularization parameter a can be selected from
the conditions:
pL2(HGy,\i) < 8
where 8 is the specified error of initial data. The
constraint for the norm of derivative in the func­
tional 0 is an important thing when searching
for required distributions. In this case, uniform
convergence of regularized solutions, oy(c,), to
the actual one, ay(£), is ensured at decreasing
8—that is, max|c£(|) — Gy(2) —> 0| at 8 —> 0
and corresponding decrease of a (a can tend to
zero not faster than 8) (Ref 1). It should be noted
Methods for Determination of Inhomogeneous Residual Stress Fields / 127
that solving Eq 1 and 3 by reducing them to Eu­
ler’s equation provides for transition to a respec­
tive self-conjugate operator (H*H or B*B), this
resulting in the loss of Volterra property. There
are ways of regularization to retain this property
(Ref 4), but they are more complex and effort
consuming. To construct matrix analogues for
operators of Eq 1 to 3, grid quantizing is selected
for the area, including a created notch where the
grid becomes dense. Kernels of integral opera­
tors B(x£), B'fxf), and H(s£) are calculated by
solving a set of boundary value problems, with
8 impacts being reproduced by applying a uni­
form load cry(2,*) = const in the region of notch
edge formed by one or several grid steps, where
£* is the center of such region. Elements of ker­
nels B(x£) and H(x£) are parameters of the
stress-strain state analogous to measured param­
eters |i(jt) and jx(w), respectively. The kernel
B'r(x£) is constructed by B(x£) values with the
aid of respective difference formulae.
Solutions of boundary-value problems for
two-dimensional elasticity theory can be ob­
tained easily on the basis of software complexes
ANSYS, NACTRAN, and the like, which pro­
vide high accuracy of results for complex geo­
metric parts with high-stress gradients.
Calculation of residual stress on the basis of m
solved integral Eq 1 and 3 is implemented with
the smoothing functional method grounded on F¡a 3 Problem 1. Determining residual stress by Fred-
° holm integral equation (computation experi­
programs developed by the authors. ment). (a) Initial data, (b) Stress along the notch line: full
Evaluation of Method Accuracy. As an ex­ lines, exact values; dotted line, restituted stress for two var­
ample of residual stress restitution in flat parts, iants of random disturbance in initial data
consider results of the numerical experiment
based on reducing the problem to the Fredholm
integral equation of the first type (Eq 3). Such ft
an experiment aims at demonstrating efficiency
of proposed approaches because Eq 3, all other
conditions being the same, is less conditioned
compared with the Volterra equation of the first 1.0 -
type (Eq 1). A square plate with the side 2/0 (Fig.
3), where a thin notch with the length /0 was cut
along the axis was chosen. Residual stress dis­
tribution was specified on edges of this notch,
and distribution of the stress state parameter j.l(w)
on the line s parallel to the axis y was found by
solving a boundary value problem of elasticity
theory (direct problem).
Values of tangential stress T^y(s) were calcu­
lated as pU) with a bearing on photoelastic coat­
ings. These values were used as exact initial data
into which random disturbances were introduced
with a normal law of distribution, the level of
disturbances comprising about 5% from the
maximum values x^,(s) over the notch length.
The disturbance data were used in residual stress
restitution (inverse problem).
Solution of direct and inverse problems as
well as construction of the matrix analogue for
the integral operator of Eq 3 was made on the
grid crowded in the vicinity of 0.2/0 notch tip. (b)
Figures 3 and 4 present restitution results for
two variants in distribution of residual stress Fig 4 Problem 2. Determining residual stress by Fred-
° holm integral equation (computation experi­
with different stress gradients. ment). (a) Initial data, (b) Stress along the notch line: full
Solution of direct and inverse problems as lines, exact values; dotted line, restituted stress for two var­
well as construction of the matrix analogue for iants of random disturbance in initial data
128 / Measurement and Prediction of Residual Stress and Distortion
the integral operator of Eq 3 was made on the
grid crowded in the vicinity of 0.2/o notch tip.
The value of error introduced into initial data
corresponds to the most real level of random os­
cillating lire guiar component in distribution of
Tiy(V) parameter. The fact is that the distribution
T^y(s) over the line s, every point of which be­
longs to the regular zone of the considered re­
gion, is an analytical function and determined by
solving a problem of elasticity theory. Thus,
when processing the experimental data prelimi­
narily, it is necessary to use them for construct­
ing the smoothest analogue of tliis distribution.
All coarse oscillating errors of initial data of the
order of 10 to 20% will be eliminated when con­
structing such analogue. The level of oscillating
error in initial data of the order of 3 to 5% is
difficult to control, thus making the main distur­
bance value responsible for the “looseness” of
the searched solution. As to the systematic error
in the form of smooth component of initial data
shift, its influence on the accuracy in solving the
inverse problem is less than that of the oscillat­
ing component. The presented results illustrate
the effectiveness of the regularizing algorithm
(2.4) when interpreting the distribution z^y(s)
containing random disturbance. The maximum
deviation of restituted values from exact values
does not surpass 10 to 12% relative to maximum
values over the notch length, this being quite a
satisfactory result at 5% error level of experi­
ment, a figure that corresponds to the actual ac­
curacy of the photoelastic coating method. Nu­
merical analysis demonstrated that the
regularization parameter in the scheme (2.4) can
be chosen out of the condition min||adb£/da||
(i.e., it is possible to confine oneself to choosing
a quasi-optimal value while solving the prob­
lem). Attempts to solve Eq 3 without regulari­
zation methods are totally invalid. The distur­
bance level of obtained solution conditioned by
irregular random components in initial data is so
high that the obtained solution has nothing in
common with the actual one.
The considered approaches to solving the
problem of residual stress continuous distribu­
tions demonstrate that recurring to methods for
solving ill-conditioned problems, together with
numerical ones for solving boundary-value prob­
lems, allows for efficient computational/experi-
mental schemes of investigation, which are free
from simplifying assumptions about the nature
of searched distributions. An important peculi­
arity of such approaches lies in the combined use
of numerical and experimental methods as the
unified system for investigation where the main
role is played by the computational experiment.
The results presented can be extended to prob­
lems of determining spatial distributions of re­
sidual stress, difficulty in solving such tasks be­
ing caused by a large body of information to be
processed, and by two-dimensional integral
equations.
Some Peculiarities in Applying the Method.
Practical application of the approach developed
for studies of residual stress includes three prin­
ciple methodological aspects:
• The process of creating notches—indicators other, can be established after analytically solv­
of residual stress—in the part under investi­ ing the problem of SIFs in the iimer crack (Fig.
gation 5), whose edges experience arbitrarily distrib­
• Methods for obtaining the initial information uted loads of = - o.Xx) and t^(x) (Ref 6,7):
pU) or p(j) for subsequent calculation of re­
sidual stress
• Selection of procedure to solve equations that KXx) = 2/y(^j - QW
link the residual stresses to be found with
those experimentally discovered—p(jc) and K u ( x ) = 2A/to) I" I” - X m (Eq 4)
ftO)
Processes and methods used in indicator-crack It should be observed that the equations in Eq
studies of residual stress and presented in the 4 are Volterra integral equations of the first type
section “Evaluation of Method Accuracy” canbe with the Abel kernel, this providing for the pos­
applied as techniques of workpiece notching and sibility of their analytical conversion. After ap­
methods of obtaining source information for plying the Abel operator
subsequent residual stress calculation.
Calcination of residual stress on the basis of
solved integral Eq 1 and 3 is implemented with
dx Jo Jx2 - E,
the smoothing functional method grounded on
programs developed by the authors of this work.
to both the right and left sides of the equation,
the following is obtained:
Indicator Crack Method
= 2{Kxyv2d/dx^ [Kfájyjix - ©ids}
Method of crack as indicator of residual stress
can be interpreted as a particular case of the gen­ T^(*)= 2(locYmdfJX [Ku®Jyj(x -1)]^}
eral approach considered in the article “Mea­
surement of Residual Stresses” in this Hand­ (Eq 5)
book, which regards the determining of residual
stress as an inverse problem of experimental me­ These expressions are main-calculated rela­
chanics. In this case, the notch, whose edges fea­ tionships for the built-up crack procedure used
ture relieved residual stress, is represented by a to determine residual stresses in the inner regions
mathematical cut (crack), while the parameters of homogeneous plates. From Eq 5 follows the
of stress state p(x) are represented by distribution correctly set task of calculating residual stress on
of stress-intensity factors for normal breakoff the basis of experimental data, this fact, in turn,
and transverse shear', K/x) andJin(x). Such state­ ensuring consistency of obtained results against
ment for some boundary-value problems reduces measurement errors. On the other hand, applying
the main equation of the problem to the Volterra tliis method requires more effort-consuming ex­
integral equation of the first type, with Abel’s periments as compared with the general method
kernel, this providing for their closed analytical considered in the article “Measurement of Re­
solution. As a result, the consistent calculation sidual Stresses” in this Handbook.
procedure for computing residual stress from ex­ It should be noted that in contrast to the meth­
perimental data becomes quite simple. At the ods of successive grinding, the method of built-
same time, the experimental investigation pro­ up crack is applicable for the study of two-di­
cedure is more effort consuming since, in order mensional fields of residual stress. Moreover,
to obtain the function of stress-state parameter, since the indicator crack is a more intense “stress
values K1 andAn must be determined at each step concentrator” in comparison with the circular
of experimental study. hole (let alone the methods that require the part
Study of Residual Stress in Inner Regions to be cut completely), this provides for its higher
of Plates. This method is intended for determin­ susceptibility'.
ing locally inhomogeneous fields of residual
stress in fiat parts.
The general outline of the method proposed
in Ref 5 that makes it possible to investigate re­
sidual stress in inner regions of plates can be
summarized as follows. A crack is built up step­
wise along the line \ E [0,x], which must be
determined for residual stress (Fig. 5). At each
step in the vicinity of the crack tip, the stress
field must be determined, which, in turn, is used
to calculate values of stress-intensity factors
(SIF) for standard breakoff and transverse shear
Ki and Ku. Connection between residual stresses
g J x ) and x.^Xx) on the one hand, and relation­
ships Ki(x) andATn(x) obtained experimentally on
continuously increasing the crack length, on the Fig. 5 Internal crack in infinity plate

Steps at crack buildup can be quite small, thus
ensuring the possibility of determining residual
stresses in regions of higher gradients. For ex­
ample, in the investigation described in the sec­
tion “Residual Stress Investigation Examples,”
steps for crack buildup amounted to the value of
about 1.0 mm (0.04 in.). If applied, the method
of hole drilling would call for 0.1 mm (0.04 in.)
bores to determine stress for 1.0 mm (0.04 in.)
row pitch, this being practically unfeasible
(Ref 8).
At the same time, the possibility of applying
the correlation in Eq 5 to calculate residual
stresses from experimentally found dependen­
cies K¡fx) and Ku(pc) is restricted to determining
stress in the inner regions of flat parts.
Study of Residual Stress Close to Edges of
Piecewise-Homogeneous Plates. The method
just described, which is based on Eq 5, is applied
only to determine residual stress in the inner re­
gions of homogeneous parts. Yet a number of
important practical tasks is connected with the
necessity to investigate residual stress in the vi­
cinity of borders. In the first place, here belongs
the study of residual stress in bimetallic materi­
als used in power installation shells with corro­
sion-proof surfacing. During the heating process,
the difference in thermal-physical and mechan­
ical properties of base and cladding layers of a
bimetal causes plastic compressive strains,
which, when parts are cooled dorm to room tem­
perature, lead to residual stresses. These stresses
cannot be relieved by subsequent heat treatment.
Another important practical task is the analysis
of residual stress in members of structures made
of heteromodulus materials. Along with the pro­
cess manufacturing of a structure member or a
two-layer material, another important factor re-
Fig. 6 Border crack in bimetallic strip under arbitrary
loading on the crack bands
Schematic of the test problem for estimation of
Fig. 7
procedure accuracy for experimental data pro-
cessing
Methods for Determination of Inhomogeneous Residual Stress Fields / 129
sponsible for emergency of residual stress is rep­
resented by the difference in elasticity moduli of
materials with two-layer composition. In this
connection, the research (Ref 9) obtained ana­
lytical relationships of Eq 5 type in the event of
edge crack in a bimetallic band (Fig. 6). These
relationships made it possible to determine stress
on crack edges cyx) and t^(x) (residual stress)
on the basis of known relations Aj(x) and Kn(x),
which correspond to behavior on crack edges x
£ [0,a] (Eh E2 and ju.,, ju.2 represent Young’s
moduli and Poisson’s ratios for materials of the
first and second layers, respectively). When de­
riving respective relationships, the solution in­
volving calculation of SIFs for an edge crack in
the band whose edges experience arbitrary loads
~ — Oy(x) and ~ = — t^,(x), obtained in
Ref 10, was used.
If the tip of the indicator crack is in the first
layer, the expressions for calculating residual
stress are of the following form (Ref 9):
= ,/5uaT,(a) Ku = Jicama)
a;(x) = (d/dx) ^ [tXül(x)/J(x¿ - x2)]/dx
—J [vP1(«)/«i(x,m)]íÍm x E [0,a] (Eq 7)
~(x) = (d/dx) j [tT 2(t)/,/(x2 - x2)\dx
+ [*¥ 2(u)m2(x,u)]dti
Jo
Expressions for calculating m:(x,t) and m2(x,z)
can be found in the subsection “Calculation for­
mulae for determining residual stress.”
For an essentially important case, fy = E2, gj
= ji2= and h/H 0 (edge crack in the homo­
geneous plate), the following expressions are de­
duced from Eq 7 and 8:
al/x) = (d/dx) | [tTrii)/,/!*2 - x2)]dx
fa
— [Ti(M)m(x,M)]di/
Jo
m(x,u) = au( 1 — ax)e~axn(au)da
Jo
rvJ2
n(au) = 2/k I (1 — au sin (p)e ~ausin,(’d(p
The study described in Ref 9 also obtained
relationships for determining residual stress in
the case that h < a < H. Being cumbersome,
they are not cited here. At the same time, there
is no practical need to apply the solution for
cases when the crack tip is in the second layer
of bielastic band. Preferable is the investigation
procedure based on the processing of two ex­
periments during which the indicator crack is, at
first, built up in one layer, then at some distance
from the first crack in the second layer (or in
analogous specimen).
Evaluation of Method Accuracy. Based on
experimentally obtained relationships Áj(x) and
JvTn(x), the correctly formulated task for residual
stress calculation provides consistency of re­
spective procedures. Various approaches can be
used to solve the problem.
A simple and reliable way to process experi­
mentally obtained relationships K^x) and Ku(x)
on the basis of Eq 5 and 7 to 10 is represented
by the following procedure:
1. Experiment results obtained as Kh(xJ and
Ku/x j values (where x, is the length of the
indicator crack corresponding to /-step) were
smoothed on the basis of spline approxima­
tion.
2. Integrals are computed by the trapezium
method—for example, on the basis of the
Romberg algorithm.
3. Obtained relations are differentiated— for ex­
ample, using the modified method of Ridder.
When solving problems for residual stress
(Eq6) analysis in cases described by Eq 5 and 10, it is
possible to realize tins procedure of experimental
data processing by applying standard program
complexes.
Following is an example of solving the test
task for a piecewise-linear stress field of residual
stress close to the border of a homogeneous half
plane, the example being considered in the con­
text of evaluating the accuracy in the mentioned
procedure of data processing (Fig. 7).
In this case, the problem of determining the
Aj(x) frinction can be represented as a sum from
(Eq 8)
the solution of three boundary problems:
Problem A c^(x) = o (0 ^ x ^ a)
Problem B cqx) = 2cx/a (0 < x < a)
Problem C o~/x) =0 (0 < x < all)
~(x) = —5a (all < x ^ a)
Aj(x) relationships were plotted on the basis
of available analytical solutions for problems A,
B, and C (Ref 11, 12). To simulate experiment
errors with the aid of a random-number genera­
tor, random values Kf(x-) = K^xj + AAj(x.)
were introduced in /-points uniformly distributed
in the range [0,a]. Two cases of unifonnly par­
titioned section [0,a] were considered in doing
so: I = 20 and I = 40. Range of scatter in values
of SIF AAjtx,) comprised 10% of the maximum
value Ki, this being in agreement with experi­
(Eq 9) mental error while determining the factor on the
basis of modem techniques (the section “Exper­
imental Methods and Equipment” provides de­
tails). Residual stress was calculated in accor­
dance with this procedure. The results are shown
in Fig. 8.
These data reveal high accuracy of calculation
for residual stress ay(x) and consistency of re­
sults. Even in the vicinity of point x = all—
that is, the zone featuring an abmpt change of
stress (an unlikely event in practical tasks)—the
difference between exact values and those com­
puted by Eq 9 does not exceed 10%. Outside tills
zone, the value of the mentioned error does not
130 / Measurement and Prediction of Residual Stress and Distortion

exceed 5% of the maximal stress (and 3% from
the value of stress leap at points = ai 2) in both
considered cases of the partitioned section 0 <
x £ a.
Some Peculiarities in Applying the
Method. Practical application of the developed
approach to investigation of residual stress com­
prises three principal methodological aspects:
• Technique for creating the indicator crack,
which would preclude extra stresses in the
workpiece and coating
• Methods for determining SIFs at combined
loading on the basis of results processed for
stress fields, strains, or displacements in the
zone of crack tip
• Selection of procedure for solving equations
that connect residual stresses to be found with
experimentally discovered relationships K^x)
and Ku(x).
A rectangular cutout made by a 0.2 to 0.5 mm
(0.008-0.02 in.) milling cutter can be used as an
indicator crack. If the cutout length is much
greater than its width, h (h/a ' 0.03), then, on
the basis of methods described in the section
‘Experimental Methods and Equipment,” it is
possible to determine quite accurately those SIFs
that could develop should a corresponding crack
be created. In this case, the source information
about the stress-strain state is obtained in the re­
gion that excludes the vicinity of cut-out extrem­
ity r > 3h fa distance to the cut out “tip”). It
might be practical to use a narrow rectangular
cutout instead of an indicator crack also because
at high levels of residual stress, local secondary
plastic strains can develop due to high-stress
concentration in the vicinity of the crack tip. If
narrow indicator-cutouts are used, the likelihood
of developing secondary plastic strains is re­
duced. It is worth noting that the use of SIF-
determination methods presented in the section
“Experimental Methods and Equipment” rules
out the impact of local plastic strains in the in­
dicator-crack tip zone on the determining accu­
racy. On the other hand, presence of local plastic
strain to some extent influences the stress-strain
state of the object surfaces relieved on objectcut-
ting. It is determined experimentally (on the ba­
sis of strain field results) w hether local plastic
strains are present or absent. Each specific case
calls for assessment of their impact on residual
stress to be found with due consideration to their
actual level and peculiarities of the problem
solved. Still, it should be pointed out that devel­
opment of secondary plastic strains is not limited
to the method of built-up crack. This phenome­
non may well attend any destructive method—
for example, in the widely used method of cir­
cular hole drilling when, due to stress
concentration in the contour zone, there may de­
velop stresses that exceed the yield point of the
material under investigation.
The problem of determining SIF from pro­
cessed results of polarization-optical measure­
ments at combined loads is that there is a pro­
nounced experimental error (Ref 8.14. 15. et al.)
in the crack tip zone (Fig. 9), where the stressed
state is assumed, from the standpoint of fracture
mechanics, to be described by Vestergard’s as­
ymptotic relationships:
!3
r,i|('->') = I 2 A x/- K (0)
A 2kr t -■ i
(/./ = x.y: N = I, II, III) (Eq 10)
This calls for applying data obtained at some
distance from the crack tip while determining
SIF, and this fact, in turn, requires that not only
asymptotic elements be considered, but also reg­
ular ones of the full solution for the respective
problem of elasticity theory.
For the reliable determination of the SIFs K¡
and A), under combined loading, it is necessary
to use the methodology, based on mathematical
treatment of a substantial volume of the experi­
mental information (Ref 16-18 et al ). There­
fore, for the measurement of strains and dis­
placements fields in the area of the crack
indicator, the optical-geometrical methods
should be used in the first place, as well as the
methods of holographic interferometry and elec­
tronic digital speckle interferometry, and also the
method of photoelastic coatings (Ref 8). In con­
sidering the holographic methods, the scheme of
the receiving of real-time hologram (Ref 19) can
be used for the receiving of the interferencion
pictures.
The modem methods for SIF determination
under combined loading require only the deter­
mination of the function coefficients. This func­
tion describes the field of stresses in the crack
zone on the basis of the experimental informa­
tion. The function of stresses in the form of the
series can be used for the analytical representa­
tion of the field of stresses in the crack zone. The
terms of the series are the own functions (Wil­
liam’s functions) ofthe solution of elastic theory
problem for the regions w ith the wedge cutouts:
<I»(r,0) = 2 r"/2 + 1/(0) (Eq 11)
n=1
where r,0 are the polar coordinates, /(0) =
</„{sin|(.v - 1)0] + (s - 1) (,v + 1) sin |j> +
1 )0J + b„{cos[(.v - 1)0] - cos |(.v + 1)0]}: s
= h/2; and an ,b„ are the coefficients for the sym­
metric and antisymmetric components of the
function cl>(r,0) expansion. Notice that K¡ =
aij2n,Ku = -bjln.
The finding coefficients an . b„, {n = 1.2,3 ...
N) are defined on the basis of the mathematical
treatment of the measurement data of the band
order (the method of photoelastic coatings
is using) or the normal displacements, it (the ho­
lography method) in i points (i >> V).
Using the method of photoelastic coatings: the
expressions for the stresses have the form:
2 — O ' Oi — y ( O e — or)~ + l e g

----- _ = 2 -/'“-‘faF 1„ + b„F 2 „)

2 71 = 1 2

F» = I r r"P - ‘faF3„ + b„F 4 „) (Eq 12)

n= 1 2

where:

F ln = -(.s - 1) sin[(s -1)0]

+ (,s — 1) sin[(s +1)0]
F2„ = (r 1) cos[(s -1)0]
+ (s + 1) cos[(s +1)0]
F 3 „ = -(s - 1) cos[(s -1)0]
+ (s — 1) cos[(s +1)0]
F 4 „ = -(.V - 1) sin|(,v -1)0]
“U + 1) sin|(.v + 1)0] (Eq13)

and. using the method of holographic interfer­

ometry:

w= -- 2 r”n-l2n
E „=i
>,a„ sin| (.s' 1)0] + /)„cos[(,sj — 1)6] (Eq 14)

Crack with a tip on the boundary of heteroge­
Fig. 9
neous materials
where E is the material’s elastic modulus, ju. is
Poisson’s coefficient, and t is the thickness of
the part.
Since the local geometry of the crack-tip zone
does not correspond to the mathematical slitting,
the place of crack-tip position (r = 0) in certain
measure is conditional. In connection with that
in Ref 16 and 17, the specification of the crack-
tip position, corresponding to the experimentally
obtained fields of stresses or displacements in the
crack zone, was provided. Therefore, the correc­
tions on the crack-tip state (8x,Sy) are the finding
parameters also as ambn. That specification also
is important because the errors in the determi­
nation of the crack-tip state can appreciably in­
fluence the finding values of SIFs.
If the photoelastic coating method is used, the
obtained system of equations is nonlinear, which
requires the application of corresponding meth­
ods for their solution (for example, the Newton-
Raffson’s method).
The summary approach is provided to the
creation of the analytical solution of the elastic
theory task, corresponding to the initial experi­
mental information. In difference of the other ap­
proaches to the solution of the determination of
the stress-intensity factors task, this method is
true in view of the uniqueness of the elastic the­
ory task solution.
In Ref 18, on the basis of the numerical tests,
the possibility of an application of the given ap­
proach to the determination of the SIFs under
combined loading in the case of loading of crack
banks with the nonhomogeneous stresses chang­
ing with the high gradients is discussed. The task
about the piecewise-continuous broken field of
normal and shear stresses was considered test
one; the stresses act on the banks of a crack in
an infinite plate. The appeared stress-strain state
was defined on the basis of the precise analytical
solution of the corresponding task of elastic the­
ory (Ref 7). The values Kx and K1Z were deter­
mined using the approach with the displacement
field. The results of the investigation show that
the relative difference between the precise values
of the SIFs and values, based on file mentioned
approach, consist of less than 5%. It happens
even in the cases in which the point-of-stresses
rupture lies in close distance from the crack tip
Ala > 0.05 (A is a point of slitting and a is the
crack length).
Methods for Determination of Inhomogeneous Residual Stress Fields / 131
These results justify the recommendation of
the mentioned approach for the determination of
the SIFs caused by creation of a crack indicator
in the investigated parts.
Calculating residual stress from experimen­
tally obtained dependencies Rj(x) and Ku(x) on
the basis or relationships in Eq 5 to 9 does not
call for specially developed techniques due to
correctness of the problem solved. Both direct
numerical methods and standard software com­
plexes can be used for computation. Preference
should be given to those procedures that provide
for spline approximation of K/x) and ATn(x)—
dependencies at the first stage of experimental
data processing.
Peculiarities in Studying Piecewise-Ho-
tnogeneous Materials. Equations 6 to 8, used
to calculate residual stress from experimentally
obtained dependencies Rjty) and Aj/jt), corre­
spond to the case in which an edge indicator
crack is located in a layer of bielastic bands.
Hence, it follows that in studies of residual
stress, an indicator-crack tip should be at some
distance from the boundary between heteroge­
neous materials.
If the crack tip is on the juncture of hetero­
geneous materials (Fig. 9), then the respective
boundary value problem of elasticity theory has
an asymptotic solution, different from that for
the case of a crack located inhomogeneous mi­
lieu
The characteristic equation to determine the
degree of X stress singularity, in this case ob­
tained by Zak and Williams, is of the following
type (Ref 20):
l(k2 — kl')(k1 + 1) cos X tz — 2k\ — lk{k2 + 2k{
— k2 + 1 + 4k\(k2 — k{)(IX + l/ — 0
(Eq 15)
where k} = (G-[!G2 — 1)/4(1 — v}) and k2 =
k( 1 -
Vl)/(1 - v?)\k = GtyG2; Gj,G2 are shear
modules of materials.
The X value to be found is the sole real root
of Eq 15 in the range (—1,0). Thus, stresses in
the crack tip have the peculiarity of the rx type,
with X being different from X0 = —0.5, which
corresponds to the case of crack located in the
homogeneous material.
The following table presents X values calcu­
lated on the basis of Eq 10 for ty = Jty = 0.3
and different ratios G,/G2:
G j /G 2 X + A2(...)(2chax + ash ax)
0.2 -0.366
0.6 -0.450
1.0 -0.5
2.0 -0.575
4.0 -0.654
6.0 -0.699
10.0 -0.754
As the crack tip nears the boundary of hetero­
geneous materials, the singularity degree of X*
stress changes depending on elastic properties of
materials and the distance from the crack tip to
the juncture A. It is evident that at X* -a X at A
—> 0; X* —» X0 = —0.5 with growing A.
With those considerations, the following pro­
cedure for study of residual stress in piecewise
homogeneous materials (bielastic band) can be
accepted:
1. Two analogous specimens are used in the re­
search. Residual stresses in each layer are de­
termined on separate specimens. If residual
stress along the boundary of heterogeneous
materials does not change, the study can be
made using only one specimen, with the first
and second indicator cracks located at the dis­
tance that rules out their mutual influence.
2. Dependencies Aj(x) and Kn(x) in the range 0
< x < h are determined experimentally for
each layer. In this case, the SIF-determination
methods developed for study of cracks in the
homogeneous material are applied.
3. Experimentally obtained dependencies Rj(x)
and Klz(x) for the first and second layers are
used to calculate residual stresses cty.r) and
Txy(x) in the range 0 ■< x <h with the aid of
Eq 17 to 20 in the following section.
4. Values of residual stress on the boundary be­
tween heterogeneous materials are deter­
mined by extrapolating the found dependen­
cies o7(T) and Txyty) to a corresponding locus
of the boundary.
The specified method excludes the necessity
to determine SIF for the case when the crack tip
is located either on or close to the boundary be­
tween heterogeneous materials.
Calculation formulae for determining re­
sidual stress in the piecewise-homogeneous
(bielastic) band are as follows. If the tip of the
indicator crack is in the first layer (a < h), the
expressions for calculating residual stress are of
the following form:
K, = J^W¡(a) Ka = .jm^2 (d) (Eq 16)
ctyx) = (d/dx) [iT [ (x)/J(x2 - Ey\dx
— [Ty (ii)m\(x,u)\iu x E [0,a]
Jo
(Eq 17)
where
m¡(x,u) = au\A¡(...)(axchax + shax)
Jo
— M(au)chax]da
Aj(...) = Aj(ah, ahu au, k, |q, |x2) k = G<i!G2
4
2 AJjt = qj (j = 1,4)
i-l
fn = 2(1 - g,)C2 - S21 /12 = (1 - 2jqjSj - C21
f\ 3 = M'S'n - 2(1 — fx2)C'1 ]
/, 4 = m - 2ji1 )51 - C„]
/21 = 621 + (1 - 2\i{)S 2 f22 = S 2 \ 2(1 — g1 )C2
J2 2 = k[(l — 2ji1 )5'i + Cn
f2A = -M2(1 - 2g2 )C, + S n ]
132 / Measurement and Prediction of Residual Stress and Distortion
/31 = s2 — C21 f3 2 = —S21 f33 = Si — c„ On the basis of the analytical relations be­
/m = <^11 jti = -/32 f\2 = S2 + C2¡
tween the contour residual stresses and the
stresses (or strains, displacements) arising in the
f\3 = ~f}4 fA 4 ~ S\ + C„ specimen, and which can be measured on the
q¡ = Yi + MS2 q2 = Y2 — MC2 cut-out contour, the residual stresses can be de­
q3 = Y 3 + MC2 qA = Y 4 - MS2 termined. The previously mentioned stages of
the proposed approach were put to the base of
Yx = [2(1 - H,)io(a«) - Y4]e-^ all the rupture methods of the residual stresses
Y 2 = -[2(1 - \ii)I0(au) + Y 2 ]e~°* measured. However, a main feature of the cut­
Y q = (c — a/j)/0(a«) + out indicator method consists in the suggestion
M(au) = /0(au) — X0(a«) + aii[/i(aa) — i_!(aa)]
about arbitrary distribution of the residual
stresses on the contour, on which the cut is car­
Cj = chauhj Cji = auhjCj ried out.
Sj = shauhj = auhjSj General Relations. To define the residual
q = 1,2 h2 = h- hi = H -h; q= 3,4 stresses by use of the cut-out indicator method,
at g = 3, C = 1 at g = 4, C = 2 it is necessary to receive the contour residual
stresses by some characteristics of stress-strain
Ij( j = 0,1) - modified Bessel functions of the first
state, which were obtained with the help of the
type
experimental methods in some area adjoining the
L j ( j = -1,0) - modified Struve functions contour of the cutting, without its inclusion. That
(Eq 18) means the task inverse to the first general bound­
ary problem of the elastic theory is solved.
t^(x) = (d/dx) |X [tT2(t)/J(x2 - t2)]cfi
As a basic relation, the Muskhelishvili equa­
tion of the elastic theory can be used in the view:
+ ['f/2(«)»i2(x,«)W«
Jo <p(a) + cd(o)/(d'(ct)<p'(ct) + 9(0)/, + if2 (Eq 21)
m2(x,u) = au[M(au)chax on y-loaded contour. Here 9 and 9 are the stress
Jo
— /42(...)(avc/20v + sh ax) functions; ©(o) is the function, which confor­
- Ai(...)axshax]da (Eql9)
mally maps the contour y on the circle; f + if2
are the functions of loading on the contour and
where M(au) is determined on the basis of the
relationships in Eq 7, while the formulas for Eq
S\ + i/2 (X n + iY n )dS
16 and 17 are:
4 The expansion into a Fourier series under the
2 Aft = dj U = 1,2,3,4) mapping onto the circle of plane specimen,
¿-1
bounded by given contour y (Ref 7) can be used
di = Yf - MC 2 d 2 = Y * + MS 2 for the solution of the first general boundary
d 3 = Y* - MS 2 d A = -Yf + MC 2 problem of the elastic theory':
Yf = Yf - Y 0 Y* = Yf - Eq
Yf = v2(1 - hi) - r3 9(0 = 9(0 = ¿40
0 0
E0 = 2(1 - g,)/0(au)e-ah
Y 3 = [ahlr/au) — aul (au)]e~ (Eq 20)
a>1
t
The functions of confonnal mapping and
loading can be presented in the following form:
Arbitrary Cut-Out Indicator + CO
Method or(o)/ffl'(c) = 2 4°k
The cut-out indicator method is based on an
application of the boundary equation of elastic
theory. The main idea of this experimental-ana­
Si +/2 = 2rikok
lytical method is that the cut of a plane specimen
is made along the fixed contour, out of which The possible loadings are limited by ones, wliich
arises an additional stress-strain state. This state can be adequately offered by expansion into a
appears because of stresses releasing along the Fourier series.
contour of the cutout. This (additional) field of After the transformation, the system of linear
stresses, strains, and displacements can be mea­ equations is obtained:
sured on the basis of the known interferencial-
optical methods (method of optically sensitive [C]a = A
coating, methods of holographic, speckle-inter­
ferometry, method of electronic digital speckle- where [C] is the matrix of coefficients and a and
interferometry, and so on, Ref 8). The discrete A are the vectors of expansion coefficients 9, 9,
values of strains can be obtained by tifie other and S + if2.
experimental methods (for example, with the It should be noted that the different functions
help of a small-base gages measurement). of the conformal mapping permit the use of the
given relations for an arbitrary cutout (e.g., the
infinite plate with arbitrary cutout and arbitrary
cutout from the plate with any shape, including
the circular hole and the mathematical cut-
crack).
Experimental Data Treatment. The deter­
mination methodology of the internal stresses
using the method of round and nonround holes
and cutouts requires the experimental definition
of functions 9 and 9 of Kolosov-Muskhelish-
vili’s potentials on the basis of relations for the
stresses:
Ax + rY = 2(9'(z) + 7(4)
Yy - Xyr + 2iXy = 2(¿~9"(z) + 9'(z)) (Eq 27)
or for the displacements:
2\i(u + iv) = x(p(z) — z(p'(z) — 9(z) (Eq 28)
The given functions are searched in the form
of corresponding Fourier series, and the task of
their determination is reduced to the finding of
coefficients under the expansion into series.
As initial information, the displacements data
u and v in the plane of plate, the normal displace­
ments data (w — C7X + <7y = Xx + Yy), the
maximum shear stresses data (xmax) can be used.
If two or more components of stresses, strains,
and displacements near the cut-out indicator are
known, the treatment and optimization of the
data are maximally simplified. If the normal dis­
placements are known, with the help of them and
(Eq 22)
one of Kolosov-Muskhelishvili’s relations, the
function 9 can be obtained. To find the function
9, it is necessary to use the data of the other
components of displacements.
If the experimental determination of all three
components of the displacements and their nu­
merical interpolation on cutting contour is pos­
sible, then the determination of the contour re­
sidual stresses is possible using the relations of
(Eq 23) displacements and loading functions on the con­
tour. In this case the nonlinear (including plastic)
residual stresses can be defined because the
given relations are valid for the nonlinear area as
well (Ref 7).
Evaluation of Method Accuracy. The cor­
(Eq24) rectness of the residual stresses calculation on
the basis of the experimentally determined fields
of displacements, strains, and/ or stresses is pro­
vided with the use of received analytical rela­
(Eq 25)
tions, which connect the experimental data with
the searching values on the cut-out contour. It
can be provided also by the possibility'' of cor­
responding calculation procedures optimization
and the possibility' of treating the substantial
masses of the experimental information. The dif­
ferent approaches and procedures can be used for
the numerical calculations. It should be noted
(Eq 26) that the given approach is more simple than the
general method described in previous sections,
and the method of growing cracks, which allow
for simple optimization of the calculating pro­
cedures used.
In Ref 13, on the basis of numerical tests, the
precision evaluations of the residual stresses de­

termination using the experimental data, ob­
tained by method of holography and optically
sensitive coatings (the fields of the normal and
tangential displacements, also the difference of
stresses), were fulfilled. The task about piece-
wise-continuous broken field of the residual
stresses in infinite plate was considered as a test.
The round hole is an indicator of stresses. The
arising stress-strain state is defined by means of
the precise analytical solution of the correspond­
ing task of an elastic theory (Ref 8). The nu­
merical tests were carried out for the three types
of experimental information, characterizing the
stress-strain state in the area of circular cutout:
sums and differences of stresses, values of nor­
mal w and radial u displacements, and values of
normal w and tangential v displacements were
used. The results confirm the effectiveness of the
hole-indicator method for the practical applica­
tion for the investigations of appreciably non-
homogeneous fields of the residual stresses in
plane elements of constructions.
Features of Practical Application of the
Method. Technology of the creation of cut-out
indicators is similar to usual technology, applied
for the investigations of the residual stresses by
the small circular hole method (Ref 8).
Experimental information about the fields of
stresses or displacements in the area of holes
(cut-outs) indicators is presented in the follow­
ing section.
Experimental Methods and
Equipment
It is possible to apply different stress-strain-
state parameters determined experimentally in
studying stress fields, deformation, and displace­
ment as the source data to examine locally in­
homogeneous fields of residual stress. This sec­
tion presents some problems in obtaining
experimental data necessary for determining re­
sidual stress on the basis of methods and respec­
tive computation procedures whose fundamen­
tals are given in preceding sections.
Determining inhomogeneous fields of residual
stress within the considered framework requires
significant amounts of data be obtained with re­
gard to strain fields or displacements in local sur-
Fig. 10 Outline of photoelastic coating
Methods for Determination of Inhomogeneous Residual Stress Fields / 1 3 3
face zones of investigated objects that develop
after a notch is introduced (exception in this case
is represented by the Volterra integral equation
method described previously). These circum­
stances prevent one from applying methods of
measuring strain state at individual spots, among
them the small-base tensiometry (with the use of
small gages) widely used in the study of residual
stress. In view of the requirements to the scope
and accuracy of experimental data needed to an­
alyze residual stress by considered methods, it is
possible to conclude that coherent optical meth­
ods (holography interferometry, speckle inter­
ferometry, etc.), as well as the photoelastic coat­
ing method (Ref 8), are most efficient for
obtaining experimental data.
Photoelastic Coating Method. In terms of
equipment employed, the photoelastic coating
method (Ref 8, 21) is one of the simplest and
most reliable ways to study strain fields on the
structure surface under static loads and to inves­
tigate stationary interim processes. Once devel­
oped, this method has been actively pursued to
study residual stress using various techniques
that employ workpiece cutting, and in particular,
in combination with the circular hole drilling
(Ref 8, 22-26, et al.).
Still, this method has several peculiarities, and
it is subject to associated errors that sometimes
can significantly influence the validity of results.
Respective problems are considered in studies
(Ref 22, 24) where one can find ways to reduce
errors or take them into account while applying
the photoelastic coating method. Accuracy of
strain-stress measurement on the surface of pho­
toelastic coating objects is known to depend on
several factors: errors from measurements of op­
tical propagation difference, effect of coating
hardness, and uneven thickness of coating and
effects of irregular strain distribution over the
coating thickness. It was pointed out in some
papers that when measurements in stress con­
centration zones are taken, the most significant
among these factors that determine experimental
error are represented by the influence of defor­
mation irregularity over the coating thickness
due to high gradients of strain measured on the
surface of the studied workpiece. M. Akhmet­
zyanov (Ref 24) suggests that the respective ad­
justment of optical measurement results for the
coating requires that mean deformations be de­
termined separately by coating thickness and
second order equations be solved numerically in
partial derivatives for the region studied. F.
Zandman (Ref 21) recommends repeat experi­
ments with reduced thickness of photoelastic
coating, this, on the one hand, significantly ex­
tending the range of conducted experiments, yet,
on the other, being practically unfeasible while
studying residual stress. In keeping with the
aforesaid, the following method is proposed for
choosing the thickness of photoelastic coating,
optimal with regard to obtaining the maximum
value of optical effect with an acceptable value
of result error.
Selecting the Thickness of Photoelastic Coat­
ing in the Study of Holes and Notches. The value
of the optical effect in the photoelastic coating
is proportional to its thickness (i.e., as the coat­
ing thickness grows, the error in optical mea­
surement decreases). On the other hand, the
growth in the thickness of photoelastic coating
leads to the increase of errors related to the in­
fluence of coating hardness and to that of strain
being distributed unevenly over the coating
thickness.
A simulation problem in the study (Ref 21)
called for computations whose results allow for
the quantitative assessment of aforementioned
errors while examining within high gradients of
stress, which are always present when methods
described in the preceding sections are applied.
Such assessment makes it possible to establish
the optimal thickness of the optically sensitive
coating from the required measurement accuracy
with regard to the level of the measured optical
effect.
The simulation problem is outlined in Fig. 10.
It is represented by a two-layer plate with a cir­
cular hole, the plate being subjected to the uni­
form all-directional tension load far enough from
the hole. A thin layer with thickness h corre­
sponds to the photoelastic coating, while a
thicker layer corresponds to the steel specimen.
The change in parameter h/c leads to the change
ofstrain gradient 5(6! — e2)/dr at constant thick­
ness of coating. Consideration is given to the
parameter change in the range 0 < h/c < 20.
Calculations were made for the following me­
chanical properties of materials: ratio of elastic­
ity moduli EfE2 = 0.015, values of Poisson’s
factors m = 0.36; p2 = 0.3 (for epoxy photoe­
lastic material and steel). The obtained results
allow evaluation of the method error that
emerges in zones of high gradients of stress and
is caused by uneven distribution of strain over
the coating thickness, this evaluation being made
by comparing difference values of main strains
on the studied surface (Si — e2)z=0 and mean
strains over the coating thickness (6¡ — e2)* =
(l//?)/o(si — e2)(z)dk- Main results of calcula­
tion are given in Fig. 11 and 12.
These results make it possible to lay down do­
mains of relationship for parameters h/c and r/
c where the value of considered error, 8max =
[(6! - e2)* - (8! - 62)]/(Bi - e2), does not
exceed the specified value.
On the basis of obtained results and in view
of known quantitatively evaluated errors condi­
tioned by other previously mentioned factors, the
following general conclusions can be drawn and
recommendations made as to the application of
the elastic coating method when taking mea­
surements in zones of high gradients of stress for
steel workpieces studied. If relationships of me­
chanical properties for materials of studied parts
are different from specified ones, it is necessary
to obtain estimated values analogous to those
implemented.
The results also can be used to estimate mea­
surement error on the notch contour at non-axi-
symmetrical stress distribution as well as for
noncircular holes, notches, and fillets. To do this,
the value of the maximum gradient of stress in
134 / Measurement and Prediction of Residual Stress and Distortion
the measurement zone must be estimated on the
basis of available solutions, boundary layer
problems of elasticity theory with similar ge­
ometry, and types of effective load, or those
given directly from experiment data. The value
for the radius of “equivalent” hole “c” and pa­
rameter hie then can be determined.
It follows from Fig. 11 and 12 that coatings
with thickness less than 0.3 of hole radius (hie
< 0.3) or fillets provide for high accuracy of
measurement. Calculation results demonstrate
that in this case, the error 8max does not surpass
5 to 6% on the hole contour and comprises less
than 3% at distance 0.15 R from the contour.
When optical measurement results are extrapo­
lated to the hole contour—this usually done
while processing data from the photoelastic
method to rule out “fringe effect” in the optically
sensitive material (Ref 21, 24)—the mentioned
error will not exceed 2%.
0 0.2 0.3 0.4 0.6 0.8 1.0
h/c
Fig. 11 Relationship of maximum error Sm3X on hole contour to the parameter hic
01 2 3 4 5
Fig. 12 Domains of relationship for parameters r/cand h/c where value SmTC does not exceed the specified value
When residual stress is investigated by the
standard method of hole drilling, the minimal
values of hole radii are commonly assumed to
be approximately 3 mm (0.12 in.). Correspond­
ing evaluations show that in this case 1 mm (0.04
in.) coatings should be used to provide for the
necessary level of optical effect at sufficiently
small deformations. When the arbitrary notch
method described in the section “Arbitrary Cut-
Out Indicator Method” is applied, the radius of
the hole (indicator of residual stress) is, as a rule,
at least 7 to 10 mm (0.28 to 0.4 in.), this enabling
2 to 3 mm (0.08 to 0.12 in.) coatings to be used
for measurements.
Should the relationships of mechanical prop­
erties for the studied object material and photoe­
lastic coating differ significantly from accepted
relationships, respective simulation problems
have to be calculated to evaluate errors. To this
end, it is possible to apply standard software
2 3 4 5 6 7 8 910
6 7 8 9 1 0
(h/c)
complexes that allow computation of stress-
strain state for bielastic parts using the least-
square method.
Selecting the Thickness of Photoelastic Coat­
ing while Determining the SIF. Results given in
Fig. 11 and 12 can be used to determine the op­
timal thickness of coating when the indicator-
crack method is applied. This is possible because
the recommended technique for determining SIF
from measurements made on the coating ex­
cludes from consideration the zone closest to the
crack tip and makes it possible to reliably deter­
mine icj and Ku from processed results of mea­
surement in the range ría > 0.05/0.1.
Stress distribution in the zone of crack tip,
which corresponds to an asymptotic solution,
takes the following form at 0 = x/2:
o¡ - g2 = 2Ki/J$nr
For the inner crack with length 2a in the unlim­
ited size plate being stretched and under infinite
tension stress a, If = cj%a. With regard to the
photoelasticity law for the photoelastic coating
method, the following equation is obtained (Ref
1 ):
(Si - s2)T = (1 + \i)aJa/r/Ej2 (Eq 29)
where (s t - s2)T is the difference of main de­
formations in the crack zone. For the circular
hole with radius c in the unlimited size plate un­
der infinite all-directional tension a at r = c\
(Si - s2)o = (1 + \T)2<3c2!Ex2
where (sj — s2)o is the difference of main de­
formations, which was found after solving the
problem analytically.
Gradients of main deformation difference are
determined from the following expression:
(/(Sj - s2)0/dr = -(1 + |x)4oc2/£>3 (Eq30)
By comparing right sides of Eq 29 and 30, it
is possible to determine the radius of hole c at
which there are equal gradients of main defor­
mation difference on the hole contour and on the
boundary of crack vicinity used as domain of
source data when determining SIF (ria > 0.05/
0.1). Corresponding assessments demonstrate
that if the vicinity of the crack tip is used for SIF
determining (as shown in the following sec­
tions), the value ría > 0.05, and at r/a £ 0.07,
c = 0.2a. Hence, it follows that at crack length
a = 15 mm (a = 0.59 in.) it is acceptable to
use 1 mm (0.04 in.) coatings if the domain for
obtaining source information ría > 0.07 is
adopted.
It should be noted that this result is obtained
with allowance made for stress fields in the crack
tip vicinity being represented asymptotically;
therefore, values of stress gradients in the crack
zone actually are overestimated.
Optic interferometry Methods. Consider­
ing all ripes of notches discussed in the three
previous main sections, parameters of stress-

strain state to be determined in the vicinity of
notches (residual stress indicators) can be rep­
resented by components of surface displacement
field in the object studied, these components ap­
pearing after a notch is introduced. The most ef­
fective ways to register local changes in the sur­
face form are coherent-optical interference
methods. Compared with the photoelastic coat­
ing method (Ref 27), these have certain advan­
tages since they provide for measurements di­
rectly on the surface under study. It should be
noted, however, that the equipment used in this
case is much more complex compared with that
applied with the photoelastic coating method.
The same applies to the experiment technique,
including special requirements to notches-indi-
cators in preparing which any displacements of
the workpiece as the rigid ensemble should be
ruled out.
Different approaches aimed at studying resid­
ual stress in cut parts by coherence optics have
been well developed so far. Various schemes are
used to obtain displacement fields after a notch
is made: the real-time method, double exposure,
and sandwich-hologram method (Ref 29-34).
Most of these works, as well as some publica­
tions in digests (Ref 25, 26), are dedicated to the
study of residual stress employing the hole drill­
ing method; the paper (Ref 28) considers layer-
wise grinding while the work (Ref 19) considers
the method of successive crack buildup. Study
of residual stress that employs coherent optics is
systematically presented in monographs (Ref 35,
36).
The study in Ref 34 is quite distinctive among
pig "J 3 Optical design for the special speckle interferometer. 1, glass prism; 2 and 1 0, semi-transparent mirror; 3,
® object; 4, reflecting base surface; 5, lens; 6, charge-coupled device; 7, diffracting screen; 8, 9, 11, and 1 2,
mirrors; 13, rotated parallel-sided plate
Methods for Determination of Inhomogeneous Residual Stress Fields / 135
these publications. This work presents a method
that, apart from resolving components of normal
displacement, makes it possible to reliably de­
termine and use tangential components of dis­
placements for residual stress evaluation, this
fact significantly expanding research potential.
With regard to peculiarities of investigating
locally inhomogeneous fields of residual stress,
the most promising measurement tool seems to
be the electronic digital speckle interferometry
that combines the known benefits of coherent op­
tical methods (contact-free nature, high-sensitiv-
ity, lack of preliminary procedures on the studied
object) with efficacy of direct computer presen­
tation, storage, and processing of data (Ref 8,
37). In this context, the design and performance
capabilities of the special interferometer devel­
oped for research of residual stress is discussed
subsequently. The interferometer provides for
separate recording of all three components of the
displacement vector (Ref 38). It is worth men­
tioning that a special small-size portable unit was
developed from this design to enable research
both inside and outside the laboratory.
A plane laser beam passes through a glass
prism (1) (Fig. 13). In the classical Michelson
interferometer, a deflected wave front is used to
measure the normal component of the displace­
ment vector W with the aid of a semi-transparent
mirror (2) that developed two beams out of the
plane wave, these beams lighting both the stud­
ied area on the object (3) and the diffusely re­
flecting base surface (4). Images of resulting
speckle sfructures are focused with the lens (5)
onto the charge-coupled device (CCD) (6)
placed in the imaging plane (y), with a digitized
signal from the latter being registered in the form
of computer files.
On passing through holography elements, the
beam is transformed into three plane waves, two
of which lighten the studied surface by means of
mirrors (8) and (9) at 45° angles to the normal
in the plane of axis x. The semitransparent mirror
(10) transforms the central beam in two waves,
which, when reflected from mirrors (11) and
(12), illuminate the surface under study at 45°
angles to the normal in the plane of axis y. To
measure displacements in tire object after its
notching, well-known optical designs of speckle
interferometers sensitive to components can be
used in the plane (U and V) and away from the
plane (W). Such complex experimental installa­
tion actually combines three interferometers,
with optical designs for determining U and V
being completely identical yet turned by 90°
round the normal to the object. Each of the three
components in the spatial vector of displacement
is determined in arbitrary order and indepen­
dently from the two remaining ones. Figure 14
shows a plane fragment of the optical design for
determining components W and U. To measure
the normal component of the displacement vec­
tor W, there is a classical Michelson interfer­
ometer with the semi transparent mirror (1) that
makes two beams out of the plane wave A, these
beams illuminating along the normal both the
studied region on the object (2) and the diffusely
reflecting base surface (3). The tangential com­
ponent U is determined using the optical design
with two inclined beams B and B (with beam A
closed) placed in the same plane with the normal.
Images of the total speckle structures formed are
focused with the lens (4) onto tire CCD matrix
(5) placed in the imaging plane (y), with digi­
tized signals from the latter being registered in
the form of computer files. Deducing image in­
tensity distributions (speckle structures) re­
corded before and after the object deformation
and corresponding to each type of interferometer
finally results in the system of interference
fringes
To PC
x
Fifi 14 Figment of optical design for the special
speckle-interferometer
136 / Measurement and Prediction of Residual Stress and Distortion
Fig. 15 Interference patterns in the zone of hole-indicator, (a) Normal displacement w. (b,c) Tangential displacements u and v
Fifí. 16 Layout of tracking points in the vicinity of
notch tip; behavior of the Volterra integral
equation kernel at these points
Fringe pattern in the photoelastic coating (fig­
ures represent fringe order)
whose orders are connected to values of dis­
placement components by linear relations:
w = XNJ2 u = XM/2 cos a
w - XMJ2 cos o! (Eq31)
where X is the wavelength of the emission used;
Nh l = ij,k are orders of interference fringes on
corresponding speckle interferograms, that is,
geometric loci of equal displacementpoints, nor­
mal to the surface (if displacement is determined
from the plane) and tangential (inside the plane
that contains direction vectors of lighting
beams).
The speckle interferometer can be applied suc­
cessfully to stud)' locally inhomogeneous fields
of residual stress, as a means of measuring the
strain response after a notch is introduced High
sensitivity' of speckle interferometry enables one
to measure reliably even with small diameter
holes (2-3 mm, or 0.08-0.12 in.).
To demonstrate interferometer capabilities,
Fig. 15 displays typical speckle interference pat­
terns that characterize displacements in the zone
of the circular hole indicator with a 2 mm di­
ameter, obtained when studying residual stress
in the weld zone.
The method allows for values of displacement
both on the notch (hole) contour and those at
some arbitrary’ range from it as input data while
solving the inverse problem, with no distortion
in scale commonly inherent to the cognate
method of holographic interferometry.
Electron-digital speckle interferometry' makes
it possible to accumulate data as computer files
for comparing different states attendant to the
notch-crack length expansion and to the increase
of indicator hole size if necessary'. It is worth
noting that compared with holography interfer­
ometry', electron-digital speckle interferometry
is about two times more sensitive to tangential
components of displacement. Noteworthy, also,
is the fact that when electron speckle interfer­
ometry’ is applied displacement fields are reg­
istered directly in digital form, convenient for
further mathematical processing of results from
experimental procedures considered in previous
sections.
Residual Stress Investigations
Examples
Study of Residual Stress in the Flat Speci­
men Made of Hull Plate Steel Using the Vol­
terra Integral Equation. Following is an ex­
ample of determining residual stress in practice,
on the basis of the general approach presented
in the section “Study of Residual Stress as In­
verse Problem of Experimental Mechanics.” A
flat specimen cut in a circular direction out of
the cylinder-shaped shell of a water-moderated
reactor pressure vessel was examined. The base
material of the pressure vessel was alloy steel.
The shell inner surface was faced with corrosion-
preventive cladding 9 mm thick.
The calculation procedure is based on apply­
ing the Volterra integral equations (Eq 1 and 2).
Regular points A, B, C, and D close to angle
points and over the symmetry’ axis (Fig. 16) were
selected as typical measurement points when ap­
plying these equations.
Oriented to measurements made with the elas­
tic coating method, the value was used on
the symmetry' axis as the value to be measured,
and the value xxy in the vicinity’ of angle points.
Values B(x,e) obtained close to the notch tip are
actually independent from the notch length; that
is, B(x,s) B(x - s), while derivatives with
respect to x and s coincide; that is, B((x,e) «
B((x,e). Conditionality’ of the system of linear
equations (Eq3) depends on the kernel structure
determined by a measurement point chosen. To
obtain a better conditionality', it is rational to
choose a kernel with prevailing elements of the
main diagonal that corresponds to the closer vi­
cinity of the notch tip (e.g., point A or B) (see
Fig. 16).
The method of elastic coating was applied in
measurement taking. The 1.8 mm coating of op­
tically sensitive material based on epoxy’ rosin
(Ref 8, 24) was glued over the specimen. The
notch on the coated specimen was gradually ex­
panded by 1 mm steps with the 0.5 mm disk­
milling cutter. Optical measurements of fringe
orders m and isocline parameters <p at typical
points (Fig. 17) that track the notch tip growth

were made with the reflection polariscope “Pho-
tolastic Inc.” Figure 17 gives the picture of the
typical fringe pattern in the notch tip zone for l
= 7 mm.
Figure 18 presents the dependency ob­
tained from processed data of optical measure­
ments as well as the residual stress profile oy(x)
calculated using Eq 3.
Study of Residual Stress in Bimetal Using
the Crack-Indicator Method. As an example
of applying the indicator crack method in prac­
tice, results from the study of residual stress in
a flat specimen taken from bimetallic cylindrical
M P a were used
Fig 18 Deterrn ¡n Ingres ¡dual stress in the hull pi ate still
® specimen with corrosion-preventive facing.
Data points indicate optical measurements in the photo­
elastic coating taken at notch-tracking points, with the
notch being expanded stepwise, through 1 m steps
Methods for Determination of Inhomogeneous Residual Stress Fields / 137
casings of power installations are presented here.
The specimen was cut out of a full-fledged 21 as plots of relations Kfx) and residual stress
template from the material used in the reactor ay(x) for bimetals under consideration.
casing of a nuclear power plant. The cladding
(stainless steel 08Crl8Nil0TÍ) was applied to
the base material of the vessel (low alloy steel
lOCrNilMo) by explosion welding. Thickness
of the cladding layer was 7.5 mm. The manufac­
turing process for large-scale members from
such material envisages butt welding of bime­
tallic elements. The weld zone was studied for
residual stress (Fig. 19).
During this study, methods and procedures
(way of crack creating, method of determining
SIFs, and that of calculating residual stress) de­
scribed in the section “Indicator Crack Method”
To determine values of SIFs in indicator
cracks, the photoelastic coating method was
used Figure 20 gives typical fringe patterns that
emerge in the zones of edge indicator cracks,
these patterns being obtained when investigating
the first specimen.
Experiment results demonstrate that at all
measuring points, K u (x¿) values make up less
than 7% of Kfa) values. Hence, it follows that
Oy(X) » Xxy(X).
Fig. 20 Photograph of fringe patterns in zone of crack-
indicator tip (crack length is 12 mm)
(Jx, MPa
Results of residual stress study in the weld zone
Fig. 21
of b ¡metal I ic material from nu cl ear power pi ant
reactor casing
Principal results of the study are given in Fig.
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11. Y. Murakami, Ed, Stress Intensity Factors
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14. G. W. Smith, Use of Photoel asti city in Frac­
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163-189
15. H.P. Rossmanith and R. Chona, Survey’ of
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16. RJ. Sanford and J.W. Dally, A General
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17. N.A. Makhutov and I.A. Razumovsky, De­
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(Moscow), 1989, Vol 2, IMEKO, p 5-13
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19. N.A. Makhutov, V.J. Kulijev, I.A. Razu­
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Local-Inhomogeneous Residual Stresses
with the Use of Edge Crack as Indicator,
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Singularities at Bimaterial Interface, J.
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Effects in ‘Hole Method’ and Application of
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Mechanics of Strained Solids, Nauka, Mos­
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Technique for Study of Zones with Large
Stress Gradients, Sov. Mach. Sci., Academy
of Sciences of the USSR, No. 2,1984, p 80-
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28. V.G. Seleznev, A.N. Archipov, and T.V.
Ibragimov, Holography Interferometry in
Residual-Stress Determination, Ind. Lab.
(Russia), translated from Russian original,
(c/b Consultants Bureau New York and
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of Residual Stresses by Holographic Inter­
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Dokl. RAN (Proceedings of the Russian
Academy of Sciences), Vol 271 (No. 1-3),
Yule, American Institute of Physics, 1983,
p 555-556
31. A.A. Rassokha, Technique Residual Stress
Investigation by Holographic and Speckle
Interferometry, Probl. Prochn., 163, 1983,
p 111 -115 (in Russian)
32. D. Nelson and J. McCrickerd, Residual-
Stress Determination through Combined
Use of Holographic Interferometry and
Blind-Hole Drilling, Exp. Meek, 26, 1986,
p371-378
33. L. Wang and J. Ke., The Measurement of
Residual Stress by Sandwich Holographic
Interferometry, Opt. Lasers Eng., No. 9,
1988, p 111-119
34. V.S. Pisarev, V.P. Shepinov, and A.Yu. Shi-
kanov, Reflectance Hologram Application
of Interferometers to Determine Residual
Stress by Probing Hole Method, J. Theo­
retical Phys., Vol 66 (No. 1), 1966, p 99-
113 (in Russian)
35. Y.I. Ostrovskii, V.P. Shchepinov, and Yu.I.
Yakovlev, Holographic Interferometry in
Experimental Mechanics, Springer Series in
Optical Sciences, Vol 60, Springer-Verlag
(Berlin), Heilberg, 1991, p 248
36. V.P. Shchepinov and V.S. Pisarev, Strain
and Stress Analysis by Holographic and
Speckle Interferometry, Chichester: John
Wiley & Sons, 1996, p 496
37. R. Jones and C. Wykes, Holographic and
Speckle Interferometry, Cambridge Univer­
sity Press, 1984
38. A.A. Apalkov, I.N. Odintzev, and I.A. Ra­
zumovsky, Application of Speckle Interfer­
ometry for Residual Stress Measurement,
Ind. Lab. (Russia), translated from Russian
original, (c/b Consultants Bureau New
York and London), Vol 66, 2000
Residual Stress in the Forming
of Materials
Z. Wang and B. Gong, University of Toronto, Canada
ALL METAL PRODUCTS, except casting
components, are subjected at some point in their
manufacturing process to at least one metal­
working or metal forming operation. Such opera­
tions can be very diverse, but all have the same
primary objective: to produce a desired shape
change. Several different operations may often
be necessary; for example, a specific steel chosen
to make tubes for manufacturing golf clubs is
first hot forged, rolled, extruded into tubular
shape, and then cold drawn with specific dies
into final shape, apart from all the subsidiary
treatment.
Metal forming can be further divided into hot
forming and cold forming. This article addresses
cold forming and its resultant residual stresses.
Cold forming (working) is defined as a forming
process or plastic deformation operation carried
out at temperatures below the recrystallization
temperature of the workpiece material, but more
often it is simply referred to as the forming pro­
cess at room or ambient temperature. The most
commonly used cold forming operations (draw­
ing, extrusion, rolling, and forging, deep draw­
ing, and pressing) are briefly discussed below.
Drawing. Large quantities of metal or alloy
products such as rods, tubes, and wires with vari­
ous special sections are finished by the cold
drawing process.
Bars. Large bars, up to 150 mm (6 in.) in di­
ameter or sometimes more, are frequently given
a light sizing pass, reducing the diameter by
about 1.5 mm (Vie in.) to improve surface finish
and dimensional tolerance (Ref 1). Light reduc­
tions are also made in the production of bright-
drawing angles, channels, and strips. Many of
the smaller-sized round bars, however, are drawn
with much greater reductions of area, even up to
50% per pass. The general configuration of dies
for rod and wire drawing is shown schematically
in Fig. 1. A theoretical approach can be used to
predict the maximum reduction of area possible
in a single pass. In drawing round bars, for in­
stance, the limiting reduction would be as high
as about 63% (Ref 1).
Wires are usually drawn through a large num­
ber of dies before reaching the final size, and
may be reannealed several times as drawing pro­
ceeds. For wire drawing of high-carbon steel
(~0.5 to 0.8 wt% C), for example, six or more either one (almost always the die) to the station­
dies are needed. Power-driven capstans are pro­ ary bed and the other to the reciprocating ram.
vided between each die and the one ahead of it. The pressure can be applied rapidly by a sharp
Final drawing speed often reaches 7.5 m/s blow, as in a crank press or header (impact ex­
(1,500 ft/min). Dies are often made of tungsten trusion), or more slowly by a squeezing action,
carbide. The reduction at each die in a range of as in a hydraulic press.
~5 to 30% is determined by the size of the cur­ Rolling is a process in which the thickness of
rent die and also the preceding one, and can be the material is reduced by passing between a pair
altered by changing one of the dies. The defor­ of revolving rollers, which are generally cylin­
mation in wire drawing is not uniform, causing drical in shape for producing flat products such
nonuniform hardness distribution along the ra­ as sheets or strip. Their surfaces can also be
dius direction. This phenomenon is particularly grooved or textured in order to change the profile
severe in the last couple of dies. The higher the as well as the emboss pattern of the products.
die angle, the more severe the phenomenon (Ref Specifically, cold rolling is carried out for spe­
2). The total reduction after sequential passes cial purposes such as the production of good sur­
could be more than 90%, allowing the tensile face finish or special mechanical properties. Ac­
strength of the final wires to be doubled com­ cording to statistics, more materials are rolled for
pared with that of the as-received rods (Ref 3). further manufacturing applications than are
Tubes. Most tubes are made by hot extrusion treated by all other processes.
to hollows, followed by one or multiple drawing Forging, Deep Drawing, and Pressing.
passes at room temperature. Several major cold
Forging compresses metal between a hammer
drawing processes are used for the production of 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
the first three processes (Fig. 2a-c), the major 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
thickness. But it is also possible for the diameter
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
increase in wall thickness, by sinking the tube
extension of pressing in that the metal blank is
without internal support (Fig. 2d). The heaviest
given a substantial third dimension after flowing
reduction in tube size may be reached with a
through a die (Fig. 4). Simple pressing is carried
moving mandrel, because the friction at the inner
out by loading a blank between a punch and a
surface can also carry a portion of the drawing
load. Most tube drawing with a mandrel or plug
involves some reduction in internal diameter, if
only an initial clearance in the bore is allowed.
Extrusion. In this process a cylinder or billet
of metal is forced through an orifice by means
of a ram so that the elongated and extruded metal
has a transverse shape that coincides with the die
orifice. Cold extrusions are usually with the final
forming processes.
Low- and medium-carbon steels, low-alloy
steels, and stainless steels are the common ma­
terials that can be cold extruded. In cold extru­
sion, a punch applies pressure to the slug or pre­
form, causing the work metal to flow in the
required direction (Fig. 3). The relative motion 1 Schematic of a converging die for rod and wire
between punch and die is obtained by attaching drawing
142 / Residual Stress Formation in the Shaping of Materials
die so as to indent the blank and give the product
a measure of rigidity. Can ends in food and bev­
erage containers are the most widespread ex­
amples.
Advantages. Overall, metal forming pro­
cesses such as extrusion, drawing, rolling, and
forging offer many advantages compared with
other production engineering methods. The de­
fjg 2 Tube elongation by drawing with internal support by (a) mandrel, (b) plug, (c) floating plug, and (d) without
internal support by sinking
formation is carried out at constant volume with
no loss of material in the form of chips. In the
case of cold forming, a more favorable grain
llow and dislocation structure are achieved,
which could enhance mechanical strength and
fatigue strength significantly. In particular, form­
ing can improve the dimensional accuracy and
surface finish of metal.
Residual Stress in Metal Forming
When a metal is being plastically deformed,
internal stresses frequently are created due pri­
marily to deformation incompatibility—that is.,
the different strain levels experienced in differ­
ent locations at the same time. This difference in
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
F¡2. 5 Generation of residual stress in sheet bending, (a)
® Geometry of a bent sheet, (b) Stress-strain rela­
tionship. (c) Distribution of residual stress through thickness
 Residual Stress in the Forming of Materials / 143

the effect of reversing the direction of straining

in a le .i piece. If a metal specimen is plastically
deformed first in one direction—e.g., in ten­
sion -the yield stress measured in the reversed
loading—i.e., in compression—is 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 stresses—known 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 art inhomogeneous distribution of FÍ2. 6 Ending 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 Longitudinal Tangential
over distances of the order of the dimensions of
the body, and the latter show marked variations
(a) 0.47 reduction
ill 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 (b) 0.62 reduction
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, A, 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:

A = h- (Eq 1) (c) 0.83 reduction

For drawing or extrusion, according to Fig. 1,
the contact length, L, is equal to (h0 — /;1)/(2sina)
and the mean thickness or diameter, h, is equal
to (/;0 + h{)l2. Thus,

A = [(/?0 + h ) sina|/(/j(l - h¡)

x (Eq 2)

For axisymmetrical drawing, where h is the di­

ameter, the reduction is given by r = {dl —
d f ) / d g . Hence,

, sin 4- P - r)mf
A = ----------------------------------------------------- (Eq 3)
r

Similarly, one can demonstrate that for flat roll­

ing,

*
A
(2 -
= -----------------------------------------------------r r(Eq 4)
r
Distance from center, in.
In the formulas for drawing and extrusion, A in­
creases with decreasing reduction and increasing Fig. 7 Residual stresses in lightly drawn steel rods. Source: Ref 5
1 4 4 / Residual Stress Formation in the Shaping of Materials

die angle; in the cáse 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 Core Surface
ceptibility to slrcss corrosion. 500
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 Ireatment may
considerably soften the work-hardened materi­
als. From the poinl of view of forming, on the
other hand, ¡1 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 60 120
duce residual stresses significantly. This will be
discussed in later sections on wire drawing. Cross-section Area, mm2
Nevertheless, i t is of utmost importance to un­ Fig. 8 ntluence of área reduction On residual sffésSBS.aftér drawing with one die. Source: Ref (>
derstand the distribution and magnitude of resid­
ual stresses in cold forming products. There are
usually two major approaches to the study of re­ 600
sidual stresses: direct experimental measure­
ments and theoretical simulations. Experimental 04
approaches such as hole-drilling, x-ray. and neu­
tron diffraction methods usually give reliable
and even straightforward results. However, hole
2nd die
drilling requires destructive testing, and the latter
two methods are expensive and time consuming. -------Ea2=0.2% .2
■5
In recent years, the finite-element method (F’EM) * -300 -------Ea2=0.6% a
has received considerable attention and has Si
- SA2=1%
proved a powerful tool for the analysis of metal
forming processes, including residual stress -600
Core Surface
analysis. In the following section, the generation
of residual stress due to inhomogeneous defor­
mation is illustrated by a few simple examples. 04
Residual stress distributions studied either ex­ 5
perimentally or theoretically in workpieces un­
der various cold forming processes are presented
and discussed in detail.

a
Residual Stresses in Specific Cold >
*3
Forming Processes cr
tí

Bending of Sheet
The development of a system of internal stress Cross-section area, mm2
as the result of inhomogeneous plastic straining Fig. 9 Residual stresses after drawing with different area reduction in the second die. Source: Ref 6
 Residual Stress in the Forming of Materials / 145

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 A. 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 A is very large that 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 Springbaek in the case of sheet bending would of the wire interior. In that ease, 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 draw ing 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 (sA). after drawing
amount of springbuck 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 stress namely, 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 (A parameter), as discussed Die angle 2a = 25°
since layer 4 has less plastic deformation or dis­ previously. With A-values equal to 1 or lower Final rod diameter dx = 15mm
Area reduction eA
placement than layer 5 and thus tends to resist (i.e., with high reduction and small die angle),
the plastic extension of layer 5. As a result, layer the flow pattern of the materials or the defor­
5 feds compression; the compression stress level mation is relatively uniform and the residual Take eA = 18% as an example. Under this
would be zfafi’, where Js is the residual strain stresses created are minor. In general, as A is condition, the axial residual stress in the core
shown in Fig. 5(b) and E is the Young’s 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 w ire 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 inhomogeneouslv 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
Cross-section area, mm2
stress distribution—compressive at the surface
and tension in the central regions—may be ex­ Fig. 10 Residual stresses after drawing, with three different distances between the two dies. Source: Ref 6
146 / Residual Stress Formation in the Shaping of Materials
face region. A lower reduction (eA = 10%) re­
sults in a higher residual stress on the surface,
but a lower one in the core. Along the radial
direction, all residual stresses are in the com­
pression condition, being highest at the core and
close to zero at the surface. Figure 9 shows the
influence of the area reduction in a second die
on the residual stress distribution. The area re­
duction in the first die is 10%, the distance be­
tween the two dies is 5 mm (0.02 in.), and the
die angle is 2« = 25°. The small deformation of
only cA2 <= —0.6 to 1% in the second die results
in an effective reduction in stress levels, espe­
cially for axial and equivalent residual stresses.
Figure 10 demonstrates the influence of dis­
tance between the main die and the second die
(5. 13. and 21 mm, or 0.2, 0.5, and 0.8 in., re­
spectively) on the residual stresses for an initial
wire diameter of 16 mm (0.6 in.). The area re­
ductions in the first and the second dies are both
constant (<:A1 = 10% and 1%, respectively). The
stress distributions for the two inter-die dis­
tances, 13 and 21 mm (0.5 and 0.8 in.), are very
similar. However, the equivalent residual stress
for the 5 mm (0.2 in.) distance is much lower.
This is because the plastic deformation zones in
these two dies are connected due to the small
distance between the two dies, and thus the in­
homogeneous deformation pattern produced by
Fig. 11 Influence of destressing in multi rol I straight-
ertfng and additional drawing (3.8%) on the
distribution of longitudinal residual stresses in 1H18N9
steel wire. Deformation, 75%. (six passes). Source: Ref 8
150
O {200}
100
□ {211}
eg 50
CL Coaxial Ctjang
u
^ axial Otang
0 -'TT
naxiat CTtang
-50
a -100
s
;o -150
cá -200
Biy
-250
initial state tp = 0.23 9 = 0.34
-300
Fig. 12 Res'dual stresses at the outer surface of the
tubes. Source: Ref 9
the primary die is not only affected but also con­
trolled completely by the secondary die (Ref 6).
The residual stress pattern in multistage cold-
drawn steel wire is quite similar to that of single­
die drawing. Figure 11 shows the distribution of
longitudinal residual stresses in 1H18N9 wire, a
high-chromium, high-nickel alloy steel, from
center to surface (Ref 8). Chemical composition
of the steel is similar to that for 300 series stain­
less steels according to the SAE specification
(0.12% C, 9.0% Ni, 2.0% Mn. 0.3% Mo. 18,0%
Cr, 0.3% W, 0.15% V). The 1H18N9 steel wire
was drawn through six or eight passes from 2.0
to 1.0 mm (0.08 to 0.04 in.), with a total reduc­
tion in area of 75%. The tensile strength after
drawing is 1540 MPa (220 ksi), and the yield
Stress is about 1380 MPa (200 ksi). Residual
stresses, measured using the electrolytic etching
method, were very high (close to the yield stress)
both at flic wire surface and in the interior. To
relieve these high residual stresses, two destress­
ing operations were tried: multiroll straightening
and additional light deformation drawing
(3.8%). Figure 11 also shows the influence of
these two methods. It is apparent that additional
light drawing can significantly reduce residual
stresses.
The pattern of residual stresses in cold-drawn
tubes, on the other hand, seems sensitive only to
the area reduction, Figure 12 shows axial and
tangential residual stresses at the outer surface
of tubes before and after cold drawing (Ref 9).
The tubing was made from ferritic steel (DIN St
35) with an initial outer diameter of 28 mm (1.1
60 120 180 60 120 180
Cross-section area, mm2
Fie. 1 3 Comparison between residual stresses after open-die extrusion without ejection and after drawing with one
die. Source: Ref 6
in.) and a w all thickness of about 3.5 to 4 mm
(0.14 to 0.16 in.). The tool used for drawing con­
sisted of a die and a mandrel (see Fig. 2a). The
reduction in area is represented by a nature
strain, defined as 9 = ln(wi0/.T j), where A0 and
Ai are the initial and final cross-sectional areas,
respectively. Residual stresses were measured
using the x-ray technique and calculated from
the {200} and {211} reflections. Before defor­
mation, the residual stress state at the outer sur­
face is compressive and of rotational symmetry.
As a result of the plastic processing during cold
drawing (9 = 0.23), both the axial and tangen­
tial residual stresses shift toward the tensile di­
rection. With further increasing in values of 9.
they are reduced in both directions. When 9 =
0.34, even compressive stresses, although small
in magnitude, occur.
Extrusion and Rolling
Similar to the case of the drawing process, re­
sidual stresses produced by extrusion and rolling
processes are strongly dependent on deformation
zone shape. Figure 13 compares residual stresses
created by open-die extrusion without ejection
and by the single-die drawing process, and
shows very similar patterns and magnitudes of
residual stresses upon the same amount of form­
ing ratio. If the extrusion is rapid enough, tem­
perature gradients caused by inhomogeneous de­
formation may cause an added effect upon
subsequent cooling. Nevertheless, this is not the
major cause of residual stresses (Ref 5). The ef-
tg
CL
T3
3
a
Cm
s
>
*3
cr
W

feet of die angle, reduction in area, and defor­
mation zone parameter A on surface residual
stresses in extruded steel rods is shown in Fig.
14. The numbers marked in the figure are the
axial residual stress values on the surface in kg/
mm2, and the solid lines represent the constant
A-lines. Apparently, higher die angles and lower
extrusion rates produce higher residual stresses.
The residual stress pattern within the kernel of
the cold extruded rods, on the other hand, seems
dependent only on area reduction (Ref 9).
Residual stresses at the surface of rolled strip
are shown in Fig. 15 (Ref 5). The residual
stresses are normalized by the yield strength in
the figure, and the abscissa is A2. With the in­
crease of A, residual stress goes up and could
even reach the yield stress of the material. Fligh
residual stresses, coupled with damage at the
centerline, can result in spontaneous splitting or
“alligatoring’’ of the work material as the mate­
rial leaves the deformation zone (Ref 5). This
type of failure is most likely in early breakdown
rolling of ingots because the section thickness is
usually large relative to the roll diameter, while
the reduction per pass is low. Furthermore, the
ingot structure will not have benefited from prior
deformation.
0.25 0 50 0.50 0.70
axial residual stresspnthe surface In kg/mmf and the con-
slam A-lines are calculated from Eq 4. j)j¡ and A are the
initial and final cross-sect tonal areas, respectively. Source:
Ref I
Fig. 15 Residual stresses at the surface of rolled strip.
®* The residual stresses are normalized by the
yield strength, and the abscissa is A2. Source: Ref 5
Residual Stress in the Forming of Materials / 147
Residual Stresses in Cold-Formed Steel strain corresponds to a compression residual
Members stress. The figure provides following informa­
tion:
Steel elements (members) produced by cold
forming are a valuable alternative to hot-rolled 1. Compression residual stresses (positive resid­
sections. They offer weight savings because of ual strain) were found on the inside surface
their wall thinness, as well as a greater variety of the sections, and tension residual stresses
of shapes. The cold forming processes com­ (negative residual strain) were found on the
monly used for steel members are rolling and outside surface.
press braking. The latter is a procedure in which 2. The magnitudes of the surface residual
sheet metal is bent to a desired angle. Rolling, stresses of the sections ranged between ap-
used mainly for large-section series because it is
continuous, increases both y ield strength and ul­
timate strength. Press braking is economical for
a limited series of section, the length of which
is restricted by the length of the press machine
itself.
As a typical example, the distribution of re­
sidual stresses in steel members formed by press
braking and rolling methods, respectively, are
shown in Fig. 16(a) and (b) (Ref 10). Tensile
strength for the rolled steel member is 480 MPa
(70 ksi) and for the press-braked member is 350
MPa (50 ksi). At the top of Fig. 16 are geometric
locations for residual stress measurement, which
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
0.75
Fifi. 16 l^s'dual strain, (a) Press braking, (b) Rolling. '.18 Residual stresses at the middle height of a cup
® Source:: Ref 10 * whII. Source: Rut' I I
148 / Residual Stress Formation in the Shaping of Materials

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
J
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 portions- up 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.
I
Fig. 19 Scheinatic-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
the plate thickness. Therefore, the direct appli­
Sunk Tubes, and Radial Forging
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 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 1 2 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 Sach’s method. The
Blank diam 120 mm (4.7 in.) solid and dashed lines are from numerical anal­
Blank holding force 5 tons ysis. and of and of 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
Maximum punch load 9 tons Fig. 21 Residual stress distribution on the inner surface
° of the workpiece. Source: Ref 1 2
retical methods give a very close result. The re­
sidual stress pattern and magnitude are very'
Table 3 Forging geometry and process con­
similar in the longitudinal and circumferential
ditions
directions. At the inner surface, the residual
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 inFig.
Die inlet angle 6°
Process conditions 17 (Ref 11).
Friction Rigid Coulomb friction Radial forging is a cost-effective and material­
Friction
Contact stiffness
0.05
4.0 31 K#N.mrrT2
Fig. 22 Residual stress distribution with respect to saving forming process for reducing the cross
® thickness. Source: Ref 12 sections of rods, tubes, and shafts. The advan-

tages of radial forging are smooth surface finish,
considerable material or weight saving, preferred
fiber structure, minimum notch effect, and in­
creased material strength. Components pro­
cessed by radial forging generally have higher
residual stresses and thus undergo some deflec­
tions after forging. The residual stress distribu­
tion m high- strength metal is of great importance
since its presence, if above a particular level, can
shorten the service life of critical components
used under severe conditions.
A hollow shaft is an example of a common
machine element manufactured by radial forg­
ing. A radial forging die is shown schematically
in Fig. 19. The residual stress distribution in a
steel tube (MIL-S-1195) produced by cold forg­
ing has been simulated using a three-dimen­
sional FEM model (Ref 12). The forging ge­
ometry and parameters are listed in Table 3.
Figures 20 and 21, respectively, show the stress
distributions at the outer and the inner surfaces
along the axial direction, from which it can be
seen that the outer surface was dominated by ten­
sile residual stresses with maximum value at tire
rear part of the workpiece. The axial stresses ex­
perienced a minimum (— 48 MPa, or — 7 ksi) at
Residual Stress in the Forming of Materials / 149
the front part of the workpiece and increased
along the axial direction to the maximum stress
(300 MPa, or 45 ksi) at the rear part of the work-
piece. However, the inner-surface stresses con­
sisted mostly of compressive residual stresses,
with only small tensile stresses at the front part
of the workpiece. Figure 22 shows the residual
stresses as a function of workpiece thickness.
The axial stresses varied greatly between the in­
ner and outer surfaces, but the radial and hoop
stresses did not change significantly with thick­
ness. The maximum tensile stress occurred at the
outer sur face of the workpiece along the axial
direction.
REFERENCES
1. G.W. Rowe, Principles of Industrial Metal­
working Processes, Edward Arnold Ltd.,
London, 1977
2. E.P. Riley-Gledhill, Recent Development in
Wire Making, Steel Times, Vol 214 (No. 1),
1986, p 12, 14
3. B. Gong and Z. Wang, “Investigation of
Cold-Drawing Process—Mechanical Prop­
erty Relationship of High C Steel Wires,”
unpublished technical report, University of
Toronto
4. T. Mura, Micro-Mechanics of Defects in
Solids, Martinus Nihoff, The Hague, 1982
5. W.F. Hosford and R.M. Caddell, Metal
Forming, Prentice Hall, 1993
6. J. Gerhardt and A.E. Tekkaya, Advanced
Technology of Plasticity, Vol II, Springer-
Verlag, 1987, p 841
7. J. Gerhardt and A.E. Tekkaya, m Residual
Stress in Science and Technology, E. Mach-
erauch and V. Hauk, Ed., DGM Informa-
tionsgesellschaft, 1987, p 875
8. A. Skolyszewski, J. Luksza, and M. Packo,
J. Mater. Process. Technol., Vol 60, 1996,
p 155-160
9. C. Genzel, W. Wreimers, R. Malek, and K.
Pohlaridt, Mater. Sci. Eng., Vol 205A, 1996,
p 79-90
0. C.C. Weng and T. Pekoz, J. Struct. Eng.,
Vol 116, 1990, p 1611-1625
1. K. Saito and Y. Shimahashi, ~\nMetal Form­
ing Plasticity Symposium, H. Lippman, Ed.,
Springer-Verlag, 1979
2. D.Y. Jang and J.H. Liou, J. Mater. Process.
Technol, Vol 74, 1998, p 74-82
The Effect of Final Shaping
Prior to Heat Treatment
T. Er¡csson/ Unkoping University, Sweden
FINAL SHAPING OF PARTS, including
operations such as grinding, cutting, milling,
turning, drilling, and processes such as shot
peening and blasting, involves local plastic de­
formation. This means that they invariably are
accompanied by residual stress formation. The
residual stress can be compressive or tensile and
at times even have large shear components. The
primary concern regarding residual stresses lias
been the effect on the mechanical properties—
in particular, fatigue, contact fatigue, wear, and
stress-corrosion cracking (SCC). However, the
presence of residual stresses also means the pres­
ence of elastic deformation, although usually on
a very small scale. If this deformation is included
in the final shape, distortion may result if the
residual stresses are released by, for instance,
heat treatment. The degree of distortion depends
on the magnitude and geometric extension of the
residual stresses. A highly stressed but thin sur­
face layer is less disturbing tifian the presence of
a large zone with smaller residual stresses.
Therefore, it is also important to consider resid­
ual stresses from preceding operations such as
straightening. This article first discusses the
mechanism for residual stress formation due to
the most important final shaping operations and
typical examples of residual stress distributions.
This is an area that is fairly well understood and
for which mathematical models for calculating
the residual stress are becoming available. Next,
the effect on shape of relaxing the residual
stresses, a less-studied topic, is discussed. Only
for applications with extreme requirements of
shape precision has this been done. Examples
based on published work about bearing rings and
turbine blades are presented. Recent experimen­
tal studies of straightening of bars also are re­
viewed.
Final Shaping Processes
Grinding is a chip-forming machining
method. Many similarities when it comes to re­
sidual stress creation exist between grinding,
milling, turning, and planing (Ref 1). The crea­
tion of residual stresses by grinding has been
treated in many studies, (Ref 1-7). The cutting
energy used in the machining process results in 100 jum. The magnitude depends on the material
temperatme increase and plastic deformation. and grinding conditions. In principle it should be
Three factors that can cause residual stresses can less than the yield strength of the affected ma­
be distinguished: terial. For AISI 5100, values between 600 MPa
(87 ksi) in tension and compression have been
• Plastic deformation involving a smearing of reported (Ref 9).
the material in the plane of the surface tends
Milling. In contrast to grinding, there is a
to give compressive residual stresses.
well-defined cutting geometry in milling. Simi­
• Temperature increase that momentarily lar to grinding, a particular tool is not continu­
causes an expansion, which is constrained by ously in action. Down-cut milling, up-cut mill­
the bulk material. The resulting thermal ing, and face-milling are distinguishable (Fig. 4).
stresses may exceed the yield stress at the ac­ In all cases the residual stresses are due to the
tual temperature and, therefore, the surface balance between the three factors mentioned pre­
material will be upset. During the subsequent viously. The mechanical process usually is di­
cooling, tensile residual stresses are created. vided into chip formation and smearing of the
• If the workpiece is made of hardenable steel, workpiece surface. Chip formation (i.e., metal
martensite may form due to the rapid heating separation) tends to give tensile residual stresses
and cooling, causing compressive residual while smearing (i.e., plastic deformation) of the
stresses. surface tends to give compressive ones. Most of
the generated heat is stored in the cliip and is
The total resulting residual stress depends on
removed from the workpiece. Factor 2, the tem-
the balance between these three factors (Fig. 1).
The residual stress is given as a function of
grinding power, but it could equally well have
been described as machining power. The higher
the grinding power, the more dominant the ten­
sile residual stress contribution otherrnal due to
factor 2 will be. For the highest powers, marten­
sitic hardening may occur, shifting the residual
stress in the compressive direction.
The residual stress creation during grinding
has been modeled mathematically (Ref 4,7). Im­
portant parameters are the cutting speed; the
depth of cut and the feed rate, which results in
cutting forces; the mechanical properties of the
workpiece; and the heat conductivity of the
grinding wheel and the workpiece. The impor­
tance of the latter is well illustrated when com­
paring the residual stresses after grinding with
an alumina wheel and cubic boron nitride (CBN)
wheel, respectively. The much better heat con­
ductivity in the CBN wheel causes less tempera­
ture increase and, hence, more compressive re­
sidual stresses (Ref 4). F¡2 1 Contributions to the residual stress after grinding
Examples of residual stress depth profiles are as a function of the grinding power. othaml is the
given in Fig. 2 for a 0.45% C steel in two heat thermoelastic part, is the mechanical part, and orsE is
the total residual stress. In region a, only elastic deforma­
treatment conditions and in Fig. 3 for the steel tion occurs; in region b, thermoplastic deformation; in re­
AISI 1055. Typically, the affected depth is rela­ gion c, thermoplastic plus thermomechanical deformation;
tively shallow, usually considerably less than and in region d, rehardening occurs. Source: Ref 2
 The Effect of Final Shaping Prior to Heat Treatment / 151
400
200
-200
Ck 45 Surfac e ground with CBN
if -400
as-quenched 700 HV10
Parallel 1 To the grinding
-600 Transverse J direction —
Quenched and tempered 420 HV10
-800 Parallel 1 To the grinding
Transverse J direction
-1000 ________________ 1______________ 1____________
25 50 75 100 125 150
Distance from surface, (am
Fig. 2 Residual stress distributions in the longitudinal and transverse directions after CBN grinding of steel SAE 1045
(Ck 45) in two heat treatment conditions: as-quenched and quenched and tempered. Source: Ref 5
perature effect, is favored in down-cut milling Turning. A difference between milling and
and face milling with inclined cutting axis and turning is that the tool is in continuous cut in
factor 1, the smearing effect, in up-cut milling turning. In turning, tensile stresses often are
and face milling with perpendicular axis (Ref 1). found near the surface, and compressive stresses
The depth of the affected layer is usually thicker appear deeper into the material (Fig. 6). The
than in grinding. Typical examples are shown in stress distribution is affected by friction in the
Fig. 5(a) and (b) for down-cut milling and up- cutting process, which tends to cause tensile
cut milling of recrystallized 0.45% C steel. stresses in the surface near layer and by plastic
deformation, which causes compressive stresses
in the deeper layers. Figure 7 shows the residual
stress distribution after face grooving (turning) a
cylindrical bar of the nickel-base alloy IN718
(Ref 10). The affected depth after turning is
larger than after grinding; up to about 200 pm
can be found after turning. Computer models
have been developed for turning (Ref 11).
Shot Peening. The primary objective of shot
peening is not to shape the material but to
strengthen it. In shot peening, shots made of
steel, ceramics, glass, or other materials are
thrown on the steel surface by an air jet or cen­
trifugal forces. It results in a plastic deformation
-100 0 100 200 300 400 500
of the surface, which gives rise to residual com­
Depth, pm
pressive stresses. Depending on the size (diam­
eter), hardness, density, and speed of the shots;
the hardness of the workpiece; and the coverage
of the surface by shots, the magnitude and depth
distribution of the residual stress will van,'. The
process is well understood, and fairly accurate
methods are used to calculate the residual stress
by FEA (finite-element analysis) (Ref 12-15).
However, it is more instructive to give a quali­
tative explanation based on Fig. 8 (Ref 16).
The residual stress field is caused by two par­
allel processes. One process is the fonnation of
-100 0 100 200 300 400 500 a Hertzian pressure due to the vertical forces
Depth, pm connected with the impacts of spherical shot
balls. As indicated on the left side of Fig. 8, the
F¡o 3 The residual stress distributions in the longitudi- resulting shear stress has a maximum at a certain
® nal and transverse directions after grinding of
steel AIS I 1 055 using grinding wheel speed 40 m/s and
depth. If the pressure is high enough, plastic
depth 3.8 pm. Both neutron and x-ray diffraction were elongation will occur' and, therefore, compres­
used. Source: Ref 8 sive residual stresses will be produced. The other-
process is a direct plastic deformation of the sur­
face as indicated on the right side of Fig. 8. Thus,
plastic elongation of the surface layers occurs.
The former effect is more pronounced for a hard
workpiece material, and tire latter for a soft one.
A few examples of residual stress profiles are
shown in Fig. 9(a) and (b). It is obvious that the
depth of the affected layer increases with the ra­
dius and speed of the shot balls. Depths approx­
imately equal to the ball diameter have been re­
ported in steel. The magnitude of the stresses is
less than the yield stress. Work hardening can
cause the residual stresses to exceed the yield
stress of the unpeened material. The largest com­
pressive residual stresses can be achieved by
strain peening when the workpiece is strained in
tension during the peening.
Shot peening also causes shape changes,
which can be considerable for thin sections. This
effect is used in a manufacturing process known
as peen forming in the aeronautical industry. It
also is used to monitor the shot-peening intensity
by help of so-called Almen strips. The bending
of standardized steel strips then is measured.
Pressure rolling is another mechanical
strengthening process with some similarities to
shot peening. It usually is applied to workpieces
with cylindrical symmetry. A roll is pressed
against the workpiece to obtain high-compres-
sive residual stresses. Very deep affected zones
can be obtained, more than 1 mm (0.04 in.) (Fig.
10).
Straightening of bars, tubes, and plates often
is carried out to meet the requirements of
straightness tolerances. The methods for
straightening are described in Ref 17 and 18. Ex­
amples include stretching, pressing, rolling,
peening, heating, or other deformation methods.
These procedures involve plastic deformation in
local areas of the part and bring about the gen­
eration of residual stresses and sometimes work
hardening of the steel. Figure 11 illustrates how
after bending partially into the plastic regime,
residual stresses are generated due to elastic re­
covery. During subsequent machining and/or
heat treatment, the residual stresses can become
released and cause distortions. Normally, the
plastic deformation goes fairly deep into the ma­
terial. The most common straightening methods
depend on bending and usually are carried out
in several small steps, either by pressing or roll­
ing. Stretching of bars and shapes is less frequent
because it is difficult to get the same productivity
as for bending (Ref 19). However, stretching is
attractive because it introduces less residual
stresses than bending does. For strips, a combi­
nation of bending and stretching frequently is
applied.
Distortion after Final Shaping
After this survey of residual stress effects
caused by important final shaping operations,
distortion, which can arise during subsequent
heat treatment if the residual stresses relax com­
pletely or partially, should be considered. The
 152 / Residual Stress Formation in the Shaping of Materials

thickness of the surface layer with residual stress
and the magnitude of the stresses are then deci­
sive. To estimate if any noticeable effect is to be
expected, Stoney’sformula (Ref 20) can be used.
This formula permits calculation of the bending
of a strip due to a surface layer with a coating
with residual stress. It is in analogy with the Al-
men strips:
TE h2
"sub f
(Eql)
Ló 1 — V hfilm id
where c is the stress in the surface layer, E is
the elastic constant, v is the Poisson constant,
hsub is the thickness of the substrate, hñhr¡ is the
thickness of the surface layer, and A is the radius
of curvature of the strip. For the present appli­
cation, it is of interest to calculate the “bending
out” d of a strip of length 2/ (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 = i2 (Eq 2)
Residual stress

Inserting Eq 2 into Eq 1:

3(1 ~ v)
d ° ' ^film (Eq 3)
E

The important quantity when comparing the ef­

fect of different manufacturing processes, is the
product <j • /?filrn. The stress, a, 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 I---------- h
“sub-
c AE1045, normalizec Si Í.E1045, normalized According to tins analysis, grinding should be
Up-cut milling Down-cut milling the least risky operation to cause distortion and
200 200
X Long tudinal
straightening, shot peening, and pressure rolling
the most risky, with milling and turning in-be­
, Lon gitudinal
¡aL ■ ■■■#!—
tween. Shot peening, however, rarely is followed
by heat treatment because the beneficial effect
xTransv erse against fatigue or SCC may be lost due to resid­
Trar sverse
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
0.02 0.04 0.06 0.08 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 Res¡dual stress distributions in longitudinal and transverse directions after up-cut milling (left) and down-cut
0 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 ven,' care fill studies about
the origin of distortions (Ref 21-23).
Reference 21 points out that one source of dis­
tortion is the presence of uneven residual stresses
that have been generated and stored in the ma­
terial during the manufacturing route. Although
the rings are perfectly round after turning or cold
rolling, they will become distorted during heat­
ing to the austenitizing temperature due to the
release of the residual stresses. This is exempli­
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
room temperature no plastic deformation due to
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.
Fig. 6 Res'dual stresses in the parallel (solid line) and transverse (dashed line) directions caused by turning of SAE In another example, rings were manufactured
1045 for different cutting feeds. The cutting speed is 90 m/s and no cooling. Source: Ref 1 from cold-rolled, straightened, and peeled tubes.
 The Effect of Final Shaping Prior to Heat Treatment / 153

The cut-off rings were distorted and the mea­
surement of ovality of a series of parted-off rings
showed that the ovality followed the helix move­
ment of the manufacturing operation of the tube
(Fig. 14). In a further study, seven tube-manu­
facturing routes were investigated regarding
their ovality of rings after soft annealing and af­
ter hardening. Residual stresses were measured
at the outer surface of each ring at three different
locations spaced 120° apart. Figure 15 shows
depth profiles of residual stresses in the best case
and the worst case. It is evident that the residual
stress is much smaller in the best case, and that
the deviation in residual stress between the three
locations in the worst case is considerable. The
depth of residual-stressed layer is around 400 jum
in tills case. When the standard deviation of oval­
ity after hardening is plotted versus the range of
measured residual stress, a clear correlation is
found (Fig. 16). It is also pointed out by the au­
thors that there is a clear difference between
cold-rolled and hot-rolled tubes, probably due to
the different hardnesses, which could be re­
garded as the potential for storing uneven resid­
ual stress.
In a further study, an attempt was made to
discriminate between the influence of the manu-

Fifi 7 Res'dual stresses in the radial (transverse) and tangential (longitudinal) directions caused by face grooving
® 718. The cutting speed is 1 200 m/s and the feed, 0.5 mm/revolution. Source: Ref 10

Hertzian pressure as a consequence Stretching of a surface layer as

of the vertical forces connected with a consequence ofsurface hammering
the impact of shot balls
0.1 0.2 0.3 0.4 0.5
Distance from surface, mm

g Influence of shot-peening parameters on residual

F'g- stress distributions, (a) Shot diam 0.3 mm and 0.6
Plastically mm. (b) Shot velocity 23 m/s and 81 m/s. Source: Ref 1 6
extended
layer

Effect is possible with a Effect is marked with a hard F¡g j0 Residual stress distributions in tangential (roll-
soft shot and a hard workpiece shot and a hard workpiece ® ing direction) and axial directions in a pres­
sure-rolled round bar with 20.7 mm diam made of SAE
F¡g g 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 1 6 the surface in mm. Source: Ref 9
154 / Residual Stress Formation in the Shaping of Materials

factoring route and the heat treatment. An inter­ Yield strength at

mediate normalizing treatment was carried out,
and the rings were measured after soft annealing, \
normalizing, and hardening. Figure 17 shows the 20° C
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 gives a good possibility to dem­
onstrate the effect of residual stresses present in 600°C
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 850°C
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 521 00, 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

F¡£ 11 The Pr'nc'PaI stress distribution in a rectangu­

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 521 00. Source: Ref 21

The bending of a strip due to a thin surface j j Tangential residual stress distributions under the surface in soft machined rings from different manufacturing
Fig. 12 layer with the residual stress a
F 'g
routes. Source: Ref 21
 The Effect of Final Shaping Prior to Heat Treatment / 155

has been studied by computer modeling and ex­
periments (Ref 23). The heat treatment was soft
annealing because it was undesirable to add
quenching stresses. All experiments and simu­
lations were performed for the bearing steel SAE
52100. Three-point bending was performed on
490 mm (19 in.) long tubes with 81 mm (3.2 in.)
outer and 65 mm (2.5 in.) inner diameter. The
tubes were placed on two fixed supports of 1300
mm (51 in.) radius and bent with a punch of the
same radius. Rings of 77 mm (3 in.) outer and
66 mm (2.6 in.) inner diameter and 15 mm (0.6
in.) height were produced by turning. The rings
were soft annealed under controlled heating to
820 °C (1508 °F) and slowly cooled. The total
cycle time was 20 h.
The computer simulation was carried out us­
ing the finite element modeling (FEM) code
ABAQUS in combination with a heat treatment
simulation code DistSIMR. To model the bend­
ing, an elastic-plastic model with isotropic hard­
ening and von Mises flow criterion was used.
The material removal was divided into four
steps. First was the cutting of a tube section to
be turned; the second and third steps were the
turning of the inside and outside of the tube, re­
spectively; and the fourth, cutting of the ring by
removing all the material not belonging to the
ring. In the simulation of the soft annealing, no
phase transformations needed to be included.
Most of the plastic deformation during heat treat­
ment takes place at high temperature, and a creep
model was used to describe this deformation.
The simulation of the turning occurs in four
steps. First, a short section is cut from the tube
and distortion is calculated from the elastic
spring back. Next, the inside is turned, and it is
assumed to produce a circular shape that is later
distorted when the elastic stresses are equili­
brated. After that the outside is turned and the
springback is limited. Finally, the ring is cut
from the tube. This step releases substantial con­
straints from the ring and the shape becomes
strongly distorted. During Hie turning, one end
of the ring is constrained, simulating chucking.
There, the calculated distortion is smaller than at
the other end. In the course of the subsequent
soft annealing, the remaining residual stresses
are relieved and some additional out-of-round­
ness distortion occurs.
In Fig. 18 calculated distortions are shown for
the outer ring profile at three positions after turn­
ing from bent tube and after soft annealing. The
positions correspond to 5, 10, and 16 mm (0.2,
0.4, and 0.6 in.) from the midpoint of the bent
tube. As expected, the section nearest the center
has the largest out-of-roundness. In Fig. 19 the
measured out-of-roundness distortion expressed
as the peak-to-valley radius variation is com­
pared for five rings with the calculated distor­
tion. The agreement is good. It should also be
pointed out that the distortion of a ring made
from an undeformed tube was very small. Two
conclusions can be drawn from friese results.
First, substantial out-of-roundness can be gen­
erated from the internal stresses. Second, the dis­
tortion caused by the soft annealing is relatively
small compared with the distortion due to the
mechanical release of residual stresses. Although
this study treats bending of a straight tube, the
general conclusions are valid for straightening of
a bent tube.
An effect of the condition of the heat treat­
ment equipment was also noticed in the first
study about bearing rings cited previously (Ref
21). A furnace characterized as the “best in
class” gave only about half the ovality as a stan­
dard furnace. Important factors are uneven heat­
ing and/ or poor support. Preheating rings prior
to the introduction into the austenitizing furnace
has been reported to be beneficial if considerable

Calculated outer profile at top Calculated outer profile at center Calculated outer profile at bottom

Fig. 18 Calculated accumulated distortion of the outer ring profile at three positions. The distortion is given after
turning from bent tube and after soft annealing. Source: Ref 23

ity of rings after hardening. Source: Ref 21

Average Maximum
(total: 50 pm) (total: 126 pm)

Stress relaxation Stress relaxation

during normalizing during normalizing
40.0% 26.0%
Soft

Before soft After soft Before soft After soft

annealing annealing annealing annealing

pjo "J 7 Origin of the out-of-roundness of rings after pjo. "J 9 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
156 / Residual Stress Formation in the Shaping of Materials
Table 1 Residual stresses and residual stress differences in cross sections of bars 80 X 80
mm of SAE 4142
Ballring cooling bed
Residual stress,
Treatment MPa (ksi)
Hot roiled -45 (-6.5)
Hot rolled + roll straight -32 (-4.6)
Hot rolled + press straight + 68 (9.9)
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
Accuracy of measurements, ± 30 MPa.
Source: Ref 2d
residual stresses exist in the machined parts to
be heat treated (Ref 24). The preheat not only
allows the relaxation of residual stresses without
gross plastic deformation but also minimizes
thermal shocking as the parts are subsequently
loaded into the high-temperature furnace.
Shot Peening of Gas Turbine Components.
Shot peening normally is not a process that is
followed by heat treatment, but shot-peened
Left end Center Right end
Position along the length of the flat bar
pig 20 The Barkhausen noise parameter measured be-
fore (open symbols) and after (filled symbols)
parallel roll straightening of flat bars, 215 X 22 X 5000
mm, of the tool steel UHB Chipper. Measurement points
are equally spaced over the length of the bar. Circles from
the top surface and the squares from the bottom surface.
Source: Ref 27
1: radius 2: radius 3: radius fraction in five points in cross sections, near the
40 mm 34 mm 28 mm
F¡g 21 Distortion of cut-out rings of the high-speed
steel SS44 after crossed-axis-roll straightened
round bars with 81 mm diam. The filled and open symbols
are for bars that showed little and large ovality, respec­
tively, before straightening. The thickness of the rings is 2 that these stresses are not in the longitudinal di­
mm. Source: Ref 27
Trailer table
Maximum difference, Residual stress,
MPa (ksi) MPa (ksi)
28(4)
+ 49 (7.1)
50 (7.3) + 41 (5.9)
102 (14.8) -84 (12.2)
components may be required to operate at liigh
temperature. In a recent work (Ref 25) on shot-
peened turbine blades made of Inconel 718, the
potential magnitude of mechanical distortion,
which could result from thermal stress relaxation
of compressive layers induced by shot peening,
is calculated using FEM. It is stated that any
shot-peened thin section component could be
subject to distortion, and that the worst is ex­
pected when the section tliickness is of the order
of the depth of the compressive layer induced by
shot peening. Uneven relaxation such as frill re­
laxation on only one side of a blade is extra dam­
aging. This can arise if there are large tempera­
ture differences between the two sides. Two
cases were modeled: uniform relaxation from
both sides of the blade, and relaxation on the
concave side only. As expected, the latter case
created the maximum distortion. Based on ex­
periments it was concluded that thermal relaxa­
tion progresses in two stages: a primary, very
rapid stage, and a secondary, more gradual stage.
The rate and amount of relaxation are directly
correlated with the degree of cold work caused
by the shot peening. A high degree of cold work
gave a more rapid and complete relaxation of the
residual stress.
Straightening. Few reports about measure­
ments of residual stresses due to straightening
exist in the literature. Such measurement should
not only give the residual stress values on the
surface but should include depth profiles to be
really meaningful.
Residual stresses have been measured (Ref
26) before and after straightening of 6 m (20 ft)
long bars with a quadratic cross section, 80 X
80 mm ( 3 X 3 in.) and 110 X 110 mm ( 4 X 4
in.). Examples of the results are shown in Table
1 for the steel SAE 4142 (42CrMo4). After hot
rolling, bars were cooled on two types of cooling
beds—ballring bed and frailer table, respec­
tively. The former gave out-of-straightness be­
tween 20 and 30 mm (0.8 and 1.2 in.) and the
latter, between 40 and 60 mm (1.6 and 2.4 in.).
The bars were either press or roll straightened.
The residual stress was measured by x-ray dif­
comers and in the center of the cross sections.
In Table 1, typical residual stress values are
shown together with the total variation between
residual stress values in a cross section. Notice
rection but in the plane of the cross section. The
residual stress values are in the range 30 to 80
MPa (4 to 12 ksi) and the variations 30 to 130
MPa (4 to 19 ksi). The measurement uncertainty
was less than 30 MPa (4 ksi). The variations are
Maximum difference,
MPa (ksi)
bigger after the straightening. The report does
43 (6.2)
not tell exactly where the measurement points
81 (11.7) are situated, but they are probably a few milli­
123 (17.8) meters from an edge. The yield stress was not
given, but it is nonnally about 400 MPa (58 ksi)
in the as-hot-rolled condition.
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
different steels and equipment.
In one series of studies the residual stresses in
flat bars before and after parallel roll straight­
ening were measured on the top and bottom sur­
faces along the bar. The Barkhausen noise tech­
nique was applied using Stress Scan 500
equipment. The measurements only give approx­
imate stress values, the higher the value, the
higher the residual stress in the tensile direction
will be. An example is shown in Fig. 20 for rec­
tangular bars 215 X 22 X 5000 mm (8.5 X 0.9
X 197 in.) made of a tool steel UHB Chipper.
The residual stress varies along the length of the
bar, being mainly compressive on the top and
bottom surfaces before straightening, and tensile
on the top surface after straightening. At the two
ends of the bar the residual stress does not
change so much due to straightening and is
slightly compressive. Not shown here is that the
residual stress varied across the width of the bar.
In a further study on rectangular bars 63 X 4.7
X 400 mm (2.5 X 0.19 X 15.7 in.) made of the
same steel, the bars were carefully ground in
steps from one side and the bow measured after
each step. A conclusion was that most of the bow
was due to operations before straightening.
For round bars with 81 mm (3.2 in.) diameter
made of the high- speed steel SS44 the out-of-
roundness of rings with different diameters
turned and cut-off from the bar was measured
(Fig. 21). The bars to be turned were 70 mm (2.8
in.) long and cut from long straightened bars.
These bars had been rotary straightened in a
crossed-axis-roll machine. The figure presents
data for several bars with large and small out-of-
roimdness before straightening. It is obvious that
the cut-out rings with the largest diameter had
the largest out-of-roundness. This indicates that
the residual stresses have been largest near the
surface of the bars. The change in average di­
ameter (not shown here) was quite small, around
0.1 mm (0.004 in.), indicating that the out-of-
roundness was due primarily to unsymmetric re­
sidual stresses in the hoop direction created dur­
ing straightening.
The distortions so measured on the rectangu­
lar and the round bars after machining (grinding
and turning, respectively) should be better un­
derstood. This is important for being able to min­
imize them in order to increase the custom sat­
isfaction of delivered bars. A step was taken in
this direction by carrying out an FEM simulation

pig 22 calcubted 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
of parallel-roll straightening using DYNA2D.
The model includes four upper and four lower
rolls and comprises 2501 elements and 1600
nodes. The flat bar has the dimension 30 X 2500
mm (1.2 X 98 in.). The width is not considered
in the two-dimensional model. Figure 22 illus­
trates how the plastic deformation grows during
the straightening and reaches 2% effective strain
at the surface and 0.4% in the center after passing
the last rolls. The residual stresses (not shown
here) can also be calculated. The deep plasticized
zone indicates that the residual stresses can ex­
tend deep into the material. A main conclusion
is that straightening can be simulated and Hie
effect of material operation parameters studied.
Conclusions
A survey has been presented about the gen­
eration of residual stresses due to machining
such as grinding, milling, and turning, and sur­
face deformation processes such as shot peening,
pressure rolling, and straightening. The text il­
lustrates by typical examples of residual stress
profiles. The so-called Stoney’s formula is used
to show that due to the thin affected layers after
machining only small distortions are expected
after relieving the residual stresses when a ma­
chined component has a dimension (thickness)
much larger than a few hundred microns. Shot
peening and, in particular, straightening should
give more distortion when relieving the residual
stresses due to larger affected depths. These con­
clusions are supported by careful studies on
manufacturing of bearing rings and straightening
of bars. It is also pointed out that proceeding heat
treatments and straightening operations could
give much more substantial distortions due to tire
presence of deep and irregular residual stress
fields. A modeling study of stress relaxation of
shot-peened material demonstrates that severe
distortions can occur when a relatively thin part
The Effect of Final Shaping Prior to Heat Treatment / 157
functions at elevated temperature. The same
should hold for a subsequent heat treatment.
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E. Doege and F. Weber, The Effect of Pro­
duction Conditions on Residual Stresses in
Bars, Stahl und Eisen, Dusseldorf, Ger­
many, Vol 111, 1991, p 85- 88 (in German)
J. Bergstrom, The Effect of Straightening on
Material Properties, Jernkontorets forskn-
ing, TO 40-37, Jemkontoret, Stockholm,
1996 (in Swedish)
Factors Affecting Final Part Shaping
J. Pan, Shanghai Jiao Tong University, P.R. China
THE FACTORS THAT AFFECT the final
shape of components are quite complicated.
Many resultant factors from each step of the de­
sign and manufacture processes, besides heat
treatment and alignment processes, have various
influences on the final shape of the components.
Factors and the relationships between heat treat­
ment and distortion of components are summa­
rized briefly in Fig. 1. The complexity results not
only from the large number of factors but also
from complicated interactions among them. For
example, with the contents of the alloying ele­
ments in a steel increasing, the heat conductivity
of the steel decreases, and the difference in tem­
perature increases in the component during heat­
ing and cooling processes, resulting in larger dis­
tortion. On the other hand, the hardenability of
the steel increases with the increase of the con­
tents of alloying elements. The proper cooling
rate can be employed in its quenching process in
order to decrease the distortion of a component
made of the steel. Another example is an eccen­
tric cylinder shown in Fig. 2. The distortion ten­
dency of the component is large due to its thin
wall and asymmetry. If the component is made
of 45 steel and quenched in a salt solution, the
tendency of distortion further increases because
of the high cooling rate. The external diameter
of the component is obviously expanded after
quenching. The distortion of the component is
very small if the component is made of 40Cr
steel and marquenched in nitrate (Table 1).
When a screw plate is molded by a rolling
process, the shape of its tooth face is protruded
due to the influence of plastic-flow resistance of
the metal from which the screw plate is made.
The shape of the tooth face is concave after
quenching if a certain method is employed to
decrease the cooling rate of the back side of the
screw plate during quenching. For example,
when the fixture shown in Fig. 3 was used during
quenching, the tooth faces of the two screw
plates were concave. If a steel plate with appro­
priate thickness determined by experiments is
placed on the back sides of the screw plates to
make the cooling rate of the back sides lower
than that of the tooth faces, the cooling rate of
the back of the screw plate will be relative to the
cooling rate of the tooth faces.
For a component, the asymmetry'' is another
factor that increases the tendency of distortion.
The distortion of a component made of AISI
1045 steel, shown in Fig. 4, was heated at 830
°C (1530 °F), quenched in water for 3 s and then
quenched in oil. The external with a diameter of
57 mm (2 in.) (Dl) expanded by 0.17 to 0.27
mm (0.007-0.011 in.) and the internal diameter
(dl) expanded by 0.37 mm (0.015 in.) (Ref 1).
The distortion of Dl and dl obviously could be
reduced after quenching if the end of the com­
ponent was put on a small sleeve with an external
diameter of 80 mm (3 in.), internal diameter of
57 mm (2 in), and height of 30 mm (1 in.).
It can be seen from these examples that the
influences of various factors affecting the final
shape of the component sometimes supeipose,
and sometimes offset, one another. Thus, it is
necessary to know every factor comprehensively
when the reasons that cause the distortion are
analyzed and the measures of controlling distor­
tion are studied. But, it is hue that under various
conditions, a factor plays a different role in the
distortion of a component; it can play an impor­
tant role under one condition and an unimportant
role under another condition.
Influence of Shape of Component
on Heat Treatment Distortion
Quenching Distortion of a Component
with Simple Shape. Besides the volume change
caused by the phase transformation during heat
treatment, the shape of a component will deform
with the functions of thermal stress and structure
stress. The distortions of simple components
caused by these stresses are shown in Fig. 5. The
functions of thermal stress and stricture stress
are contrary to each other, as shown in Table 2.
The quenching distortion of a certain component
is the result of the common effects of thermal
stress and structure stress. Generally speaking,
the distortion of the component with simple
shape, uniform thickness of the wall, and good
symmetry is relatively small and regular. The
more complex and worse the symmetry of the
shape of a component is, and the larger the dif­
ference in tliickness of the component, the larger
the distortion of the component will be.
The Cylindrical Component. The length and
diameter of the component with axial symmetry
after quenching will have a little change. The
distortion relates to the ratio of length to diam­
eter (LID), size, quenching condition, heating
temperature, the composition of the steel, and so
on. Thus, the quantity'' and direction of the dis­
tortion under various conditions are quite differ­
ent. Some examples are listed in Table 3.
For a medium-carbon cylindrical component,
the length will increase while the diameter will
decrease after being quenched. The distortion
will i ncrease with the heightening of the quench­
ing temperature (Fig. 6). The distortion is also
sensitive to the ratio of LID (Fig. 7). If the me­
dium-carbon steel cylinder has not been fully
hardened, the distortion will decrease with the
increasing of the diameter (Fig. 8). The distor­
tion of 1045 steel after being heated to 840 °C
(1540 °F) and quenched in nitrate bath is less
than that in water (Table 6).
Carbon content greatly influences the distor­
tion of cylindrical carbon steel components (Fig.
9). The distortion of medium-carbon steel is
greatest, while the distortions of both low-carbon
and liigh-carbon steels are relatively small. For
T12 steel after being quenched from 780 °C
(1430 °F) and 1015 steel after being carburized
and then quenched in water from 850 °C (1560
°F), the length decreased and the diameter in­
creased.
If the cooling condition is different between
the two sides of the cylindrical component dur­
ing the quenching process, there will be bending
deflection. The face with a higher cooling rate
will protrude in a longitudinal direction due to
thermal stress, but will be concave because of
transformational stress. The direction of the
bending is dependent on the relative amount of
thermal stress and transformational stress.
Asymmetry. The asymmetrical axle compo­
nent will experience bending deflection caused
by uneven cooling of the two sides during
quenching. If there were only thermal stress, the
component would protrude to the side with the
faster cooling rate when quenched. But, because
of transformation stress, the component pro­
truded to the side with the slower cooling rate
when quenched. The amount of final distortion
depends on the relative amount of these two
stresses:
• The axle with keyslot (Fig. 10) is the most
popular asymmetrical component. The influ-
160 / Residual Stress Formation in the Shaping of Materials

enees of keyslot on quenching distortion are tion of a small axle made of AISI 52100 steel cooled in air. The 1045 steel valve stem had
shown in Table 4. (Fig. 11) was more than 0.75 mm (0.03 in.) such bending deflection as shown in Fig. 12
• The axle with cross slot experienced bending after being heated to 840 °C (1540 °F), after being heated to 820 °C (1500 °F),
deflection after being quenched. The distor­ quenched in nitrate bath for 5 to 10 min, then quenched in water for 2 s, and then quenched

Fig. 1 Factors affecting the final shape of a component

 Factors Affecting Final Part Shaping/ 161

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.
• For components with a deep slot in the end
side, quenching distortion of the slot is influ­
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).

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, 4>48 Internal radius, <j>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 4>70 X 4>50 X 70 mm (4>25 X <j>2 X 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
Elongating along the shortest-sized direction Contracting along the shortest-sized direction
mation of the external radius is —0.02 to 0.04 Surface concavity
Surface protruding
mm ( — 0.0008-0.002 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
( — 0.002-0.003 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
of hollow cylinders made of 1045 and 5140
steels, respectively.
The principal laws of the distortion of a hol­
low cylinder are:
• 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
amount of swelling of the internal radius and
external radius increases with the increase of
wall thickness when the wall thickness is
small. When the wall thickness is larger than
10 mm (0.4 in.). However, the amount of
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
than 12 mm (0.5 in.), the amount of swelling
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 AIS11045 steel.
Fig. 3 Fig. 4
dius when being quenched in nitrate bath. The (1) screwplate, (2) ironplate, (3) jig Source: Ref 1
162 / Residual Stress Formation in the Shaping of Materials

amount of swelling of the internal radius is
less when being double-liquid (salt and oil)
quenched, approximately 0.5 to 0.6% of that
of the external radius. The deformation is
much less when being marquenched, nor­
mally less than 0.15%, and tends to be re­
duced.
• After being tempered at medium temperature,
internal and external radii of the component
decrease, but the deformations are much less
than that during quenching.
• When medium-carbon low alloy steel 5140 is
quenched in oil or marquenched, the internal
radius shrinks if the wall thickness is smaller
than 10 mm (8 < 10 mm) (0.4 in., 8 < 0.4
in.), while the internal radius, external radius,
and height increase if the wall thickness is
larger than 10 mm (8 > 10 mm) (0.4 in., 8
<0.4 in.). The deformation is approximately
0.1 %, which is much less than that of 1045
steel after being quenched in water. The dis­
tortion of the internal radius of the hollow
cylinder made of 1045 increases with the in­
crease of 8. When the thickness of wall
reaches a certain value, the amount of swell­
ing will decrease with the increase of 8.
• The distortion patterns of high-carbon steel
1080, 10100, and 10120 are generally the
same. For quenching a hollow cylinder made
of high-carbon steel, the swelling deforma­
tions of internal radius and external radius are
less than that of medium-carbon steel. The
higher the carbon content, the smaller the
swelling deformation will be. When the wall
thickness is larger than the thickness of the
hardening layer, the larger the size is, the
smaller the swelling deformation of internal
and external radii will be, and even the inter­
nal and external radii shrink.
• When high-carbon low-alloy steel 52100 is
heated to 830 °C (1530 °F) and quenched in
oil, its internal and external radii shrink, while
the height increases.
• The inner hole of low-carbon steel 1015
shrinks after being carburized and quenched.
The larger the internal radius, the larger the
shrinking deformation will be. The shrinking
deformation increases with the increase of
height. The deeper the carburized layer is, the
larger the shrinking deformation will be. The
external radius shrinks when the wall thick -
ness is smaller than 10 mm (0.4 in.) and
swells when the wall thickness is larger than
10 mm (0.4 in.).

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
AD, mm (in.) (a)
Steel No. Heat treating process Top Medium Bottom AL, 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
 Factors Affecting Final Part Shaping / 163

• When low-carbon low-alloy steel 5120 is car­ • The internal radius of high-alloy tool steel
burized and quenched in oil, its internal ra­ Crl2Mo swells after being quenched. The
dius shrinks, while the external radius and thicker the wall is, the larger the swelling de­
height have no obvious change. formation will be. Normally, the external ra-

I I Deformation in length
%\ 0.43
l l Deformation in diameter
Sample size: 4>25, L/D = 5 ~ 6

0.206
0.10 0.208
0.00084
n

0.000014
F¡g 6 Effect of quenching temperature on the distortion cd
of medium-carbon steel cylinder 0.024 0.012
0.15% C 0.45% C 1.0% C 1.2% C

Fig. 9 Effect of content of carbon on the distortion of carbon steel cylindrical components

Fig. 10 Distortion of asymmetrical axle with keyslot

Table 4 Quenching distortion of asymmetrical axles with keyslots

pja 7 Effect of length to diameter ( L / D ) on the distor- Type of steel and

® tion of medium-carbon steel cylinder quenching method Direction of bend deformation Deformation of keyslot
Medium-carbon steel
quenched in water
High-carbon steel quenched
in water

Width of keyslot
dwindles
Convex deformation toward the side with keyslot
Medium-carbon steel
marquenched in nitrate
bath
High-carbon steel
marquenched in nitrate
bath The bend with convex or concave deformation is limited. Width of keyslot
The deformation of axes results from other factors. dwindles or expands
slightly
Various alloying steels
quenched in oil

Width of keyslot
expansion
Convex deformation toward the side opposite keyslot
Various alloying steels
quenched in nitrate bath

Width of keyslot
expansion
Convex deformation toward the side opposite to keyslot
164 / Residual Stress Formation in the Shaping of Materials

__________________ ^ _______________________________________I I i

■
~ i
—1__!— •~t~ ii
J
¡¡ i i —*
-

220

355
Fig. 11 Bend distortion after marquenching of 52100 steel axle with keyslot. Source: Ref 2

Bend direction ater quenching

Fig. 12 Distortion of valve stem after quench. Source: Ref 1

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.)____________AD____________________AL_________

<£28 X 119 + 0.27 to+0.32

(<1)1.102 X 4.685) ( + 0.0106 to +0.0126)

<1)28 X 119 + 0.03 -0.18 to -0.15

(01.102 X 4.685) (+0.0012) (-0.0071 to -0.0059)

0)22 X 120 -0.02 to -0.03 + 0.63 to +0.69

5140
(00.866 X 4.724) (-0.0008 to -0.0012) (0.0248 to +0.0272) d(0 50)

0)22 X 120 + 0.08 -0.13 to -0.18 D(070)

5140
(00.866 X 4.724) ( + 0.0032) (-0.0051 to -0.0071)

F¡g "J 4 Distortion of a long cylindrical jacket made of

1045 steel after quenching. Source: Ref 1
Source: Ref 3

-A b

+A b pig 5 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
 Factors Affecting Final Part Shaping / 165

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 AD, mm (in.) Ad, mm (in.) AD, mm (in.) Ad, mm (in.) AD, mm (in.) Ad, mm (in.)
height, the deformation of height is larger
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)
than that of diameter. Otherwise, the defor­
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
comes wide if the internal radius swells. On the
other hand, the keyslot becomes narrow if the
internal radius shrinks (Fig. 17). The smaller the
wall thickness is, the larger the distortion of
keyslot will be.
Uneven Distortion of Internal Radius. For
hollow cylinders with keyslot, the distortion of
internal radius is uneven. The shape of the inner
hole after being quenched becomes elliptical.
Eccentric Hollow Cylinder. Because the
wall thickness of an eccentric hollow cylinder is
quite different in various directions, the defor­
mation is different after being quenched, as
shown in Fig. 18.
Component with Different Cross Sections.
The deformations of internal and external radii
at both ends of the component are different be­
cause of the difference in wall thickness. Mean­
while, the adjoining parts restrict each other, thus
the deformation is as shown in Fig. 19.

Influence of Asymmetry
When the cooling rates at the two sides of an
asymmetric component differ, there will be
bending deflection after the component has been
quenched. The side with a high cooling rate will
be concave when thermal stress acts on it, while
the side with a low cooling rate will be concave
when structure stress acts on it. Figure 20 shows
several examples of asymmetric components.
The bending deflection is dependent on the
steels, cooling method, and cross section size, as
shown in Table 7. The greater the size of the
component is, the greater the tendency of bend­
ing deflection. Figure 21 shows examples of the
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, <E>70 X 35 mm (<t>2.756
in.). 1: 5140, heated at 840 °C (1544 °F), quenched in oil; 2: 5140, heated at 840 °C (1544 °F), quenched i
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; 4:51
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 a
frame of a height ruler made of 9CrSi steel is °C (1544 °F), quenched in 5% NaCI water; 6: 1045, heated at 780 °C (1436 °F), quenched in 5% NaCI water; 7:1045
heated to 860 °C (1580 °F) and quenched in oil heated at 840 °C (1544 °F), quenched in 150 °C (302 °F) nitrate bath. Data Source: Ref 1
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
166 / Residual Stress Formation in the Shaping of Materials
heat treating has obvious influence on the
quenching distortion of a component that is easy
to deform. The elastic chuck made of 1080 steel
shown in Fig. 25 is easy to deform when quench­
ing because of its bad rigidity. The distortion
will be reduced if position A is not cut before
being quenched but is cut after quenching.
Influence of the Sequence of Heat Treating
and Machining. Example 1: Ball Screw. The
length of long and thin ball screw made of AISI
52100 steel (Fig. 26) extends after being
quenched. The thinner the component is or the
deeper the hardening layer is, the larger the elon­
gation will be. When screw rollaway nest is ma-
clrined before the component being quenched,
the distance of screw should be shrunk. Alien
the component is quenched, its length will be
increased to reach the length required.
For the ball screw with lead less than 10 mm
(S < 10 mm) (0.4 in., 8 < 0.4 in.), such method
as quenching the smooth pole and then the ma­
chining screw can be employed. It is useful to
get the exact final shape.
Example 2: High-Speed Gear Wheel. The
high-speed gear wheel shown in Fig. 27 is made
of alloy carburized steel. The rotating speed is
4000 rpm. Thin wall structure and size precision
are required to reduce the centrifugal force. If
the spoke is first machined and then carburized
and quenched, it is easy to have obvious heat
treating distortion. The following technique,
however, can guarantee the precision of the final
shape and size of the gear wheel and meet the
requirement of a high-speed gear wheel:
1. Forge
2. Anneal
3. Machine (the machining allowance at both
ends is 3 mm (0.12 in.); machining the ex­
ternal circle to the required size, the ma­
chining allowance of internal circle is 3 mm
(0.12 in.), hobbing
4. Carburize
Fig. 17
Distortion of a hollow cylinder with inner keyslot, after quenching, (a) The keyslot becomes wider with
increase of internal radius, (b) The keyslot becomes narrower with the decrease of the internal radius.
5. Temper at high temperature
6. Machine (cut the carburized layers at both
ends to the required sizes; cut the carburized
layer of the internal circle)
7. Quench and temper at low temperature
8. Machine the spoke to the required size; fine
machine inner hole
9. Stabilize (150 °C, or 300 °F)
10. Machine key slot; grind inner hole, gear
grind
Influence of Machining Allowance
and Stress-Relieving Procedure
The main axle of boring lathe is made of
38CrMoAl steel. The external radius is 105 mm
(4 in.) and the length is 2010 mm (79 in.). The
required hardness after being quenched and tem­
pered is 24 to 28 HRC; after nitriding, the sur­
face hardness is more than 900 HV, and the
depth of the nitriding layer is 0.4 to 0.5 mm
(0.0157-0.0197 in.). The machining procedure
follows:
1. Rough machine; the machining allowance
of external circle is 3 to 4 mm (0.12-0.16
in.)
2. Quench and temper at high temperatures
3. Align
4. Stress relieve (650 °C, or 1200 °F, 15 h)
5. Fine machine; the machining allowance of
external circle is 0.25 mm (0.01 in.)
6. Stress relieve (650 °C, or 1200 °F, 10 h)
7. Grind; the machining allowance of external
circle is 0.06 mm (0.002 in.)
8. Nitride
9. Half-fine grind; the machining allowance of
external circle is 0.02 to 0.03 mm (0.0008-
0.0012 in.)
10. Artificial age (450 °C, or 840 °F, 6 h)
11. Fine grind to the required size
The deflection should be checked after each
stress relieving to meet the requirement of the
next process. If the deflection cannot meet the
requirement, the component has to be aligned
first and then heated to 650 °C (1200 °F) to re­
lieve stress.
If these two stress relieving times are replaced
by one stress relieving, or the stress relieving
temperature is up to 620 °C (1150 °F), the de­
formation of the component after nitriding is
larger than 0.05 mm (0.002 in.).
Influence of Residual Stress Caused
by Cutting on Heat Treating
Distortion
The residual stress caused by the cutting pro­
cess causes distortion in the subsequent heating
process due to stress relaxation.
Residual stress will be high and Hie distortion
will increase if the front rake angle and inner
angle of the tool edge are not up to the standard
or the cutting load (depth of cut and feeding) is
too large. Long and thin components are espe­
cially sensitive to these factors. Improper clamp­
ing of the component also can cause more resid­
ual stress.
For example, there is a gear wheel made of
18Cr2Ni4W steel. Its external radius is 240 mm
(9 in.), internal radius is 224 mm (8.8 in.), mod­
ulus is 4 mm. The ovality is more than 4 mm
(0.16 in.) after the component is nitrided at 500
°C (930 °F) for 40 h. It has been found that the
four-jaw chuck used for clamping during heating
caused greater residual stress. The following
measures should be employed to keep the ovality
at less than 0.04 mm (0.002 in.):
• Use plastic clamping apparatus, bring pres­
sure to bear on circle evenly
• Increase cutting frequency and decrease cut­
ting depth
• Perform stress relieving annealing dui ing cut­
ting process
Larger expansion
Height, h = 25
F|o I g Distortion of inner hole of an eccentric hollow
®
thecylinder made of 1045 steel, after quenching
in water

Methods of Manufacturing Blanks
and the Influences of Their Original
Structures
Castings. Influences of the original structures
of castings are as follows.
Segregation in the Castings. The segregation
results in many zones with different composition
in the same casting, which causes the physical
properties of these zones, such as heat conduc­
tivity, specific heat, elastic modulus, yield limit,
melting point, and phase transformation tem­
perature to be inconsistent. The thermal stress
and transformation stress in the workpiece will
Table 7 Direction of bend distortion caused by asymmetry under different conditions
Condition
Carbon steel, quenched in water or salt water
Bad hardenability of steel or component with large
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.)
Factors Affecting Final Part Shaping / 167
increase. Segregation is particularly troublesome
for sand casting. If the blank is obtained by me­
tallic mold casting, this disadvantage can be im­
proved to some extent. The segregation in the
blank, however, becomes comparatively much
less in the case of pressure casting or centrifugal
casting.
Grain Size. Grain coarsening in sand casting
is also a problem, resulting in increased distor­
tion during subsequent heat treatment. However,
much finer grains can be obtained by the meth­
ods of metallic mold casting, pressure casting,
or centrifugal casting.
The Morphology of Eutectic Structures. The
morphology of eutectic structures is very sensi-
Bending direction
<D
The side that The side that
cooled quickly -c
cooled slowly
I
Fig. 21 Asymmetry of the parts in Fig. 20
The side that
cooled slowly
Fig. 22 Distortion of an asymmetric thin structural steel
gear heated by high-frequency induction, after
quenching
168 / Residual Stress Formation in the Shaping of Materials
tive to the cooling rate during solidification. The
heating and cooling rates within the casting are
uneven because of the existence of the coarse
dendritic grains. Thus, Hie larger the casting, the
greater the residual stress will be. On the other
hand, residual stress will increase if the work-
piece shape is favorable for the occurrence of
inhomogeneous shrinkage. For example, the
concave surface of the sliding guide often ap­
pears in cast-iron lathes.
Influences of Methods of Castings. Blanks
made by pressure casting or centrifugal casting
are expected to possess sound structure, reduced
segregation, and fine primary grains, all of which
are beneficial to reducing heat treatment distor­
tion.
Stress Relieving Treatment and Pre-Heat
Treatment. Stress relieving, which is performed
to stabilize the shape and size of the casting, can
eliminate residual stress within the casting. The
tendency of the distortion in casting can be re­
duced by the pre-heat treatment. For example,
intercrystalline segregation can be improved by
diffusion annealing; the primary coarse grains
can be refined by annealing or normalization.
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
ledeburite in the ingots of high-carbon and high-
Fig. 23 Distortion of keyslot of height ruler made of
9CrSi, after quenching in oil
alloy steel can be changed by hot rolling or hot
forging. However, carbide segregation cannot be
eliminated completely. The carbide morphology
varies with the amount of the deformation
caused by hot rolling or forging and the methods
of forging. Therefore, it can be divided into dif­
ferent carbide-segregated grades according to the
morphology of carbide.
Carbide segregation not only causes inhomo­
geneous carbide distribution, but also leads to
the increase of the alloy elements and carbon
contents in the austenite near the carbide-rich
zones. This leads to inhomogeneity of heat con­
duction, and martensitic transformation becomes
asynchronous, increasing Hie tendency of heat
treatment distortion.
Deformation Caused by Banded Segregation
of Carbide. The banded segregation of carbide
is often observed in the rolling and forging of
high-carbon and high-alloy steel. After quench­
ing, large volumetric expansion parallel to the
bands may occur in the workpiece; less expan­
sion, or even contractions, occur perpendicular
to the bands (as shown in Fig. 28). The effects
of direction of the banded carbide on quenching
Fig. 24 Examples showing distortion of cavity
Fig. 25 Elastic chuck made of 1030 steel
Fig. 26 Schematic of a ball screw made of AIS I E521 00 steel. 5, screw distance
distortion of dies in various shapes are shown in
Fig. 28.
Influence of Forging. The segregation of car­
bide in hot-rolled tool steel with ledeburite struc­
ture is found to be beltlike distribution, which
has a significant effect on the quenching distor­
tion. The amount of expansion along the bands
tends to increase, but the increment of the swell­
ing perpendicular to bands is relatively smaller.
Banded segregation can be eliminated by forging
because the grade of the banded carbide can be
reduced greatly by upsetting and drawing alter­
nately and repeatedly, which is favorable to re­
ducing the quenching distortion.
Beltlike structures of ferrite and pearlite in the
hypoeutectoid steels cause nonuniform distor­
tion because of the differences between the
quenching distortion along the bands and that in
the perpendicular direction.
Cold-Rolled Steel Sheet Stampings. The de­
formation along different directions caused by
quenching is inconsistent because of the fiber
structures existing in cold-rolled steel sheet. The
cold-rolled 1015 steel sheet, for example, elon­
gates 0.2% in the longitudinal direction, yet con-

tracts 0.05% in the transverse direction after
quenching at 860 °C (1580 °F). Having been
quenched at 80 °C (176 °F) in hot oil (hardening
layer is about 0.25 mm, or 0.01 in.) after carbon
nitriding at 860 °C (1580 °F), the deformation of
the forging-formed 1015 steel ferrule is shown
in Fig. 29. The figure shows that the ellipticity
F'g- 2 7 Schematic of a high-speed heavy-loaded wheel
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.
approaches 0.005 to 0.10 mm (0.0002-0.0039
in.) because of the deformations caused by
stretch forming. The fibrous orientation is
changed along the arc and thus results in differ­
ent deformations in the different diametrical di­
rections, wrhich leads to an evident ellipse. But
on the same conditions, the ellipticity is below
Shape before carburizing
Fig. 29 Distortion of atorging-formed 1015 steelferule
Factors Affecting Final Part Shaping / 169
0.04 mm (0.0016 in.) if the ferrule is made of
1015 steel sheet with fine equiaxed grains.
Influence of Heat Treatment on the
Final Shape of Component
The influences of pre-heat treating and origi­
nal structure on the heat treatment distortion are
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 stmcture 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
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
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 7 0 / Residual Stress Formation in the Shaping of Materials
change of uniform and fine globular pearlite after
quenching is the smallest among various an­
nealing microstructures of tool steel. The spher-
oidizing grades of high-carbon alloy tool steel
such as 9Mn2V, CrWMn, and 52100 exhibit
large influence on the thermal straightening
property. When the original structure is uniform
fine globular pearlite, the component is straight­
ened easily when the component has been
quenched to 200 to 260 °C (390-500 °F). Di­
mensional stability is quite good; that is, the
shape of the component is not changed easily
after the component has been aligned and cooled
to room temperature. If components such as the
long slideway and screw, for which alignment is
necessary, have not been spheroidized and an­
nealed properly, their thermal alignment prop­
erties will be very poor.
The cutability of the original structures influ­
ences the residual stress caused by machining
and thus affects the distortion of the component
indirectly after being heat treated. For the high-
carbon tool steels, the cutability of globular
pearlite is the best. For medium- and low-carbon
steels, however, cutability becomes poorer after
being spheroidize annealed. As for medium- and
low-carbon steels, as well as medium- and low-
carbon low-alloy steels, the cutability is the best
Fig. 30 Influence of pre-heat-treating and original microstructure on the final shape of component
Big
Fig. 31 Distortion comparison of various surface quenching methods
if the original structures are fine lamellar pearlite
and free ferrite that are distributed uniformly
along the crystal boundary of austenite. The cut-
ability will worsen if there is globular cementite
or free ferrite in block form or Widmanstatten
structure or granular bainite in the original struc­
tures.
Influence of Heat Treating Method to Ten­
dency of Distortion. For many components,
there are many different methods of heat treat­
ment that meet the requirements for application.
However, the distortions caused by these meth­
ods are quite different, as shown in Table 8.
Thus, the selection of a heat treating method is
an important factor affecting the final shape of
the heat treated component. The general rules
are:
• The lower the heating temperature, the
smaller the distortion will be. For example,
component distortion is minimal if the tem­
perature can be controlled to 200 to 300 °C
(390-570 °F) when an ion implantation
method is used. But the component distortion
is obvious if kept at a high temperature such
as 1000 °C (1830 °F) for several hours when
boronizing or metallic cementing to reduce
distortion.
• Distortion after the component is quenched
Small
locally or surface quenched is less than that
of being immersion quenched.
• Normally, among various surface-quenching
methods, the higher the heating rate and the
more shallow the depth of hardening is, the
smaller the distortion will be. The distortion
is the least if self cooling after rapid heating
is used. The comparison of several surface
quenching methods is shown in Fig. 31.
• For chemical heat treatment, when the types
of penetrating elements are similar, the lower
the temperature or the shorter the time, the
smaller the distortion will be. For example,
distortion of a nitrocarburized component is
less than that of a carburized component. The
distortion of a ferrite nitrocarburized (560 °C,
or 1040 °F, 2-4 h) component is smaller than
that of austenite nitrocarburized components
(600-700 °C, or 1110-1290 °F, 2-4 h). The
distortion of a ferritic nitrocarburized com­
ponent is less than that of ferritic nitriding.
Normally, the distortion of an isothermal ni-
trided component is less than that of two-
stage nitriding.
Influence of Heating on the Final
Shape of the Component
Influence of Heating Medium. The influ­
ence of heating medium on the distortion of a
heat treated component is reflected mainly by
two factors, heating rate and heating uniformity.
Generally, the distortion is less when the com­
ponent is heated at a low heating rate, while the
distortion increases when the component is
heated at a high heating rate. Distortion is also
less when the component is heated in the me­
dium with good heat transfer uniformity. The
sensitivities of these two factors relate to specific
production conditions. The distortion of a large
hob made of high-speed steel after being heated
Table 8 Deformation tendency of various
heat treat methods
Deformation
Heat treat method tendency
Metallic cementation Very' big
Bonding
Solid quenching Big
Carburizing quenching
Nitrocarburizing
Chemical vapor deposition
Local quenching Medium
Induction heating-surface quenching
Flame heating-surface quenching
Nitriding Small
Nitrocarburizing of austenite
Electron beam heating-quenching
Physical vapor deposition
Nitrocarburizing of ferrite Very small
(Tufftride, Tin Tec, Springfield, OH)
Nitrocarburizing
Short-time nitriding
Laser heat treatment
Ion implantation Slight
Ion implantation enhanced vapor
phase deposition
Carburizing at low temperature
 Factors Affecting Final Part Shaping / 171

in a vacuum furnace is less than when heated in

salt bath because the heating rate of the hob in
the vacuum furnace is lower. But for the high­
speed steel drills with a small diameter being
loaded in batches, the distortion after being
heated in a vacuum furnace is greater than that
in salt bath. The influences of heating medium
on quenching distortion are shown in Table 9.
Influence of Rules of Heating. For the com­
ponents that deform easily, distortion may be re­
duced if the heating rate, especially in the phase
transformation temperature range, is reduced.
For example, the distortion of high-speed steel
or high-alloy tool steel components may be re­
duced when put into the furnace with lower tem­
perature, kept at 800-850 °C (1470-1560 °F),
and then heated to the quenching temperature. It
is better for these steel components to be pre­
heated at 500 °C (930 °F) in an air furnace and
F'g* 32 Influences of heating rules on distortion 800-850 °C (1470-1560 °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 peariite is, the lower
the austenitizing temperature will be. For ex-

Table 10 Influences of increasing quench­

ing temperature on the distortion of mold
hole
Type of steel Distortion of mold hole
Medium-carbon Expand
High-carbon Contract
Low-carbon (carburizing) Expand
Unreasonable 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
172 / Residual Stress Formation in the Shaping of Materials
ample, the austenitizing temperature of 52100 is
850 °C (1560 °F) if the microstructure is the nor­
mal globular pearlite (the average diameter of
cementite is about 1 pm). The austenitizing tem­
perature may be decreased to 810 °C (1490 °F)
if the component has been pre-heat-treated to
form super-fine carbide (the average diameter of
cementite is smaller than 0.3 pm).
Changing the Chemical Composition of the
Surface Layer. The component that has been ni-
trided in advance can be quenched at 700 °C
(1290 °F) to harden the surface layer. The com­
ponent can be quenched at 600 to 650 °C (1110-
1200 °F) to obtain a high hardness when it is
being nitrocarburized to form austenite with 1.0
to 2.8% N in the nitrocarburized layer. The dis­
tortions of the component with a thin wall after
being treated by these methods are minimal.
The influence of heating on distortion is
shown in Fig. 32. For the mold with a cavity
inside, however, the relationship between distor­
tion and heating temperature is comparatively
complex, as shown in Table 10.
The distortion caused by weight of the part
will increase if the aging period is prolonged un­
necessarily. The heating period influences dis­
solution of carbon and alloy elements in austen­
ite and therefore affects the transformation
stresses.
Heating Equipment and Loading Pattern.
The influences of heating equipment and loading
pattern on the distortion of the component are
described here.
Heating Uniformity. Nonuniform heating will
increase the temperature difference, resulting in
large thermal stresses inside the component.
Generally, uniform heating is easy in a contin­
uous furnace, while uniform heating in a peri­
odic furnace is relatively poor, especially if the
batch is large.
The components being heat treated in a pass­
ing-type furnace are relatively small and there­
fore are easily heated evenly. The unifonnity of
heating is fairly poor because the charging bas­
ket in a periodic furnace is larger and can load
more components, especially when loaded con-
centratedly.
For fiimaces with working temperatures
above 600 °C (1110 °F), radiation is the main
heat transfer process. Therefore, the location of
the heating elements relative to the load exhibits
a large influence on the uniformity of heating.
Heat radiation conditions throughout the furnace
may vary greatly. For example, the heat radiation
is intensive near the furnace door and, thus, the
temperature is lower here. In this case, the power
distribution of the heating furnace also influ­
ences the uniformity of furnace temperature.
For a combustion-heated furnace, direct flame
impingement onto the component should be
avoided. Radiant tube may be used to improve
heating uniformity.
For furnaces with working temperatures lower
than 600 °C (1110 °F), such as those used for
solution treatment and agency of aluminum-al­
loys, convection is the main heat transfer pro­
cess. The uniformity of air flow is critical with
respect to the uniformity of heating. It is neces­
sary to have a circulating fan with enough power,
an air duct, and a conducting plate to guarantee
uniformity of air flow around the component
during heating.
Racking. The loading pattern (racking) will
promote the uniformity of heating, as shown in
Fig. 33 and 34. The loading pattern that best re­
duces distortion caused by the weight of the
component should be used. Random loading
leads to poor heating uniformity. For long and
thin components, vertical loading should be used
in a pit furnace. Meanwhile, movement of the
heated parts should be smooth and steady when
removing the component from the furnace to re­
duce distortion caused by swaying and colliding.
Charging basket and fixtures should have
enough rigidity and hot strength so that their dis­
tortion, caused by their repeated operation, does
not distort the component. The selection of the
supporting point also has a great influence on the
distortion of the component, as shown in Fig. 34.
Smooth running of the machine driving system
for uploading and downloading. The machine
driving system for transmitting the component
into or out of the furnace must start and brake
steadily to avoid moving up and down and col­
liding.
Influence of Cooling on Distortion
The cooling process has the greatest influence
on the final distortion of the component. There
are many complicated factors that affect the dis­
tortion, such as the type and the design of the
cooling equipment, the quenchant, temperature
and agitation of the quenchant, quenching
method, cooling or immersing time, and the
pressure in the cooling process.
Type and Design of the Cooling Equipment
The influences of cooling equipment on the
quenching distortion are as follows.
Cooling Equipment. Types of cooling equip­
ment and influencing factors include:
• Quenching tank for immersion: volume and
size of quenching tank, fluid flow and agita­
tion condition of quenchant, and fluid main­
tenance
• Gas quenching equipment: cooling gas and
pressure, flow rate of gas, design of dynamics
of flow field, and heat transfer
• Gas jet and fog jet cooling equipment: struc­
ture of nozzle, site and arrangement pattern
of the nozzles, water pressure and flux, air
pressure and flux, and adjusting and control­
ling system for pressure and flux
Quenching tanks, including water-based poly­
mer quenching tanks, oil-quenching tanks, step­
quenching tanks, and isothermal-quenching
tanks, are the most popularly used quenching
equipment.
The volume of the quenching tank directly af­
fects the heat dissipation. If the tank is too small,
the quenchant temperature will vary consider­
ably, leading to nonuniform temperature distri­
bution during the quenching process, which will
influence quench distortion.
In a normal quenching tank, quenchant flows
from the upper overflow vent, heat exchanger,
and is then returned to the tank by the pump. The
tank design influences the uniformity of the
cooling of the component and thus influences the
quenching distortion.
The volume of the quenching tank shown in
Fig. 35(a) is comparatively small. Cold quen­
chant is put into the tank from the right bottom
and flush through the component unevenly. This
brings about the nonuniform cooling of the com­
ponent and increased distortion. Cold quenchant
flows into the tank from the holes of the pipe
located at the bottom of the quenching tank
shown in Fig. 35(b). The quenching uniformity
has thus been improved. There is a quenching
ring in the tank, as shown in Fig. 35(c). The liq­
uid quenchant is sprayed on to the component
from the holes on the liquid sprayer using a high-
pressure pump. This kind of tank is suitable for
large cylinder components. The cooling of the
component is uniform and component distortion
can be reduced. Several stirrers are arranged at
the right side of the tank shown in Fig. 35(d).
The quenchant flows evenly from the bottom by
means of the baffle. The design of the tanks
shown in Fig. 35(b), (c), and (d) is useful in re­
ducing the distortion caused by the nonuniform
flow of the quenchant and the unidirectional flow
through the component.
Gas-Quenching Equipment. High-pressure
gas quenching has increased very quickly in re­
cent years due to its cleanliness (no pollution)
and minimal distortion. The cooling rate of high-
pressure gas quenching is less than that of oil,
and it is not necessary to move the component
when using high-pressure gas quenching in a
vacuum furnace. These factors are beneficial in
reducing quenching distortion. However, under
some circumstances, the distortion of vacuum
quenching is more than that of oil quenching or
salt-bath quenching. The distortion of vacuum
quenching is related to cooling uniformity, while
cooling uniformity is related to the hydrokinetie
feature of equipment and the loading of com­
ponents. For example, in some high-pressure
gas-quenching equipment, gas has been input
and output from the top and the bottom. Two
kinds of methods have been employed. Gas has
been input from the top and output from the bot­
tom; gas has been input from the bottom and
output from the top. Nozzles can move right and
left to improve the cooling uniformity. Never­
theless, cooling of the upper-side and the lower-
side of the component is not the same. For the
component with tabular shape, the distortion is
less if it is placed in the furnace as shown in Fig.
36(a), while there is bending deformation if the
component is placed as shown in Fig. 36(b).
When several plates are piled in the furnace (Fig.
36(c)), the flow velocity in every interval in­
creases due to the effect of a narrow slot, which
can cause the uneven cooling of the component
and the final distortion. In the designing of some
gas-quenching furnaces, nozzles are positioned
evenly in the chambers. This improves the
 Factors Affecting Final Part Shaping / 173

Incorrect Correct Incorrect Incorrect Correct

Incorrect Correct Unreasonable

Reasonable Reasonable

it p 1 P
Unreasonable
11 ÜÉ ¡1
Reasonable
Fig. 34 Influence of a supporting point on the distortion of a component

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

F'g- 35 Structure of quenching tank on the cooling uniformity. C, heat exchanger; P, pump, (f) Source: Ref 6
1 7 4 / Residual Stress Formation in the Shaping of Materials

quenching distortion of large blocks, while it can air flux change at different positions. This de­ cussed in other chapters of this book. The cool­
result in the uneven cooling of cutting tools that sign can meet the requirement for quenching ing intensity of the quenchant is not only related
are quenched in the loading basket (Fig. 36(d)). of a large batch of small parts. to the physical and chemical properties of the
Moreover, the gas distribution along longitudi­ quenchant, but also related to some outside fac­
Computer simulation may be used to optimize
nal direction is also uneven and, thus, long and tors, as shown in Table 11. The comparison of
the jet-hardening and fog-quenching process and
thin components tend to deform when they are several major quenchants is shown in Table 12.
equipment design.
batch loaded (Fig. 36(e)). Generally, the greater the cooling intensity,
Jet-Hardening and Fog-Quenching Equip­ the deeper the hardened layer, the greater the dis­
ment. Factors in jet-hardening and fog-quench­ Influence of Quenchant tortion will be. However, there is no exact rela­
ing equipment that have influence on the tionship between these variables. This is due to
quenching distortion of a component are as fol­ Cooling characteristics of various quenchants the influence of the fastest cooling rate, the rela­
lows. and their influence on quench distortion are dis­ tive degree of the cooling rates within pearlite
Design of Nozzles. The sizes of jet angle and
jet stream, the uniformity of jet intensity, the
quality of atomization, and so on all can influ­
ence the cooling uniformity of the component.
The positions of nozzles and their relative po­
sitions to the component are also important fac­
tors that can influence cooling uniformity.
Ring injectors can be used in the quenching
of axle parts. The cooling uniformity not only
depends on the distribution uniformity of jet
stream, but it also is influenced to a great extent
by the racking position of the central lines of the
axle and ring. If the central line of the axle de­
viates from the central lines of the ring, bending
will occur, as shown in Fig. 37(a) and (b). An
ideal jet-hardening system (Fig. 37(c)), should
meet the following three requirements:
• The axle is vertically hung.
• There is an accurate locating system to ensure
that the central line of the axle coincides with
that of the ring.
• Component can rotate smoothly in the cool­
ing process.
The pressure and flux of water have intensive
influence on the cooling rate of jet hardening,
while the cooling rate of fog quenching is sen­ (d) (e)
sitive to the proportion of air to water. Various Fig. 36 Effect of high-pressure gas quenching equipment on the cooling uniformity
cooling rates can bring about various distortions.
The Influence of the Control System. In jet
hardening, the Grossman Quench Severity factor
may be as liigh as 6.0 if water pressure is 6 atm, ^4> Í3Ó <±^ Í5Ó
rh
while the cooling rate under 1 atm is similar to h VO
that of brine solution. The cooling rate of fog
quenching varies, depending on the proportions
cj^
of air and water, between the cooling rate water
and air quenching. In this case, the cooling abil­ M>
ities of jet hardening and fog quenching may be ckr
adjusted on a wide range. If quenching equip­ Qsi QsV
ment is provided with a control system with reg­
ckr ckt
ulators of water pressure, water flux, air pressure,
and air flux, it is possible to obtain various cool­ 53<j> ck?
ing intensities at different temperature ranges to <kr
reduce distortion optimally.
There are two design schemes for adjustable
jet-hardening and fog-quenching equipment:
ckr
dfer
• The relative positions of components and
(j>Sr >
nozzles are fixed, while such parameters as
water pressure, water flux, air pressure, and —f
air flux change with time. This design can be
employed to the quenching of large compo­ ck?
nents with regular shapes. I| i
¡
• Components are placed on the conveyor us­
ing a continuous cooling process, and thus (a) (c)
water pressure, water flux, air pressure, and F'g- 37 Effect of site of spray nozzle on the distortion of axle component after quenching
 Factors Affecting Final Part Shaping / 175

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, surfaee-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, Na2C03, 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
The temperature of quenchant The cooling intensity of water solution drops intensively with the increasing of the y$ 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% Na2C03 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
Increase Decrease hardened layer and quenching distortion. Ac­
25% NaN03 + 20% KN03 + 20% NaN02 + 35% H20 Medium
cording to the dimension of the workpiece and
Accelerated quenching oil Small
Alkaline salt bath Very small
Nitrate bath Very small
Ordinary mechanical oil Small Hhe

Air Very small

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 (ia)
Water 20 (68) 0.5 (1.6) 56-60 0.39 (0.015)
10% NaCl 20 (68) 0.5 (1.6) 57-60 0.18 (0.007)
1 % NaOH 20 (68) 0.5 (1.6) 57-59 0.22 (0.009)
50% NaOH 20 (68) 0.5 (1.6) 58-60 0.12 (0.005)
75% NaOH 15 (59) 0.5 (1.6) 55-57 0.05 (0.002)
051-----
Source: Ref 1
Fig. 38 C-style samples
176 / Residual Stress Formation in the Shaping of Materials

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) film and reduce the cooling rate in the range of
Air Expand
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 co oling 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 W ater Saltwater Nitrate
affect the stability of vapor film but can decrease
No agitation 0.008 0.25-0.30 0.9-1.1 2.0 0.5 the viscosity of oil. In this case, thennal stress,
Mild agitation 0.3-0.35 1.0-1.1 2.2
Moderate agitation 0.35-0.40 1.2-1.3
transformation stress, and retained austenite can
Good agitation 0.40-0.50 1.4-1.5 be controlled by adjusting the temperature of the
Strong agitation 0.50-0.80 1.6-2.0 4-5 quenching oil. Thus, regulating the temperature
Violent agitation 0.2 0.80-1.00 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 Functionfs) 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 quantify 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 tiie 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 carburizingand 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:
 Factors Affecting Final Part Shaping / 177

• Time: Quenching distortion often can be re­
duced if the component is kept in the air or
protective gas for a certain period when mov­
ing from the heating furnace into the quen-
chant. The longer the keeping time is, the less
the distortion will be. However, the keeping
time can be too long so as not to affect the
hardness and the depth of the hardened layer
of the component.
• Temperature and time of isothermal precool-
ing: It is useful to decrease the temperature
difference between the inside and outside of
the component and thus reduce distortion. To
be sure the component is isothermal, it should
be kept in a fluid bed or salt bath or an iso­
thermal furnace for a certain period of time
Fig. 39 Marquenching and isothermal quenching
before being placed into the quenchant. Both
isothermal temperature and keeping time in­
fluence the distortion of the component.
• Temperature and holding time of quenching
for decreasing temperature after carburizing:
It can effectively reduce the distortion of a
carburized component if the component is
kept in a carburizing furnace for a certain pe­
riod of time when the temperature of the fur­
nace is dropped to approximately 840 to 870
°C (1540-1600 °F) (depending on type of
steel).
Marquenching is an effective way to reduce
quenching distortion. In this process, the com­
ponent first is quenched into an isothermal bath.
After its temperature becomes uniform, the com­
ponent is cooled to room temperature. There are
two types of marquenching. In the first type, the
component is quenched into a bath in which the
temperature is above the martensite point, and in
the other, the quenching bath temperature is be­
low the martensite point. Curve 1 in Fig. 39 in­
dicates marquenching below the martensite
point, while curve 2 indicates broken hardening
above the martensite point. The factors that af­
fect the distortion of a component are shown in
Table 16.
Isothermal Quenching. The cooling curve of
isothermal quenching is shown as curve 3 in Fig.
39. The microstructures after isothermal quench­
ing are bainite with a certain quantity of retained
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
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
field and phase transformation in the spray hard­
ening process, nozzles can be positioned and
pressure and flow of water can be regulated so
that a better hardening effect can be obtained.
This method is generating increased interest. The
factors that affect the distortion of spray hard­
ening are shown in Table 17.

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
---------- r 1---------- tration of the a-phase decreases, causing con­
/ traction. Meanwhile, the transferring of the
s 7
V 7 retained austenite causes expansion. Normally,
V 7
V 7J the former takes greater effect than the latter, so
V 7
\ 7 the final volume changing tends to be decreased
\ 7
V 7 (compare with quenched state). However, the
V
7 temper process should not be expected to make
7
V 7 up the distortions caused by annealing. Initially,
7
/■ the tempering temperature is insufficient, which
v V
V 7 can totally reverse the volume change caused by
V 7 the quenching process. More importantly, the
\ 7
V 7 plastic distortion caused by inner stresses during
V 7
V 7 the quenching process cannot be changed by
V 7
\ / tempering. The distortion incurred during tem­
V 7
V 7 per is far less than that in quenching. Therefore,
V 7
V 7 the final distortion after the quench-temper pro­
\ 7
V 7 cess is decided primarily by the distortion in the
_________ ^ ¿__________
quenching process.
Factors that influence the distortion in the
temper process are:
• Temperature: At higher temperatures, where
more obvious contractions occur for carbon
1 7 8 / Residual Stress Formation in the Shaping of Materials
Fig. 41 Distortion of tube-type parts after carburizing and quenching
Fig. 42 Effects of loading tools on heat treatment distortion
steel and low-alloy steel, the volume can
shrink back to what it was before the quench­
ing process when tempering at a temperature
above 500 to 600 °C (930-1110 °F). For the
high-alloy tool steel, however, after the tem­
per process at the temperature where the sec­
ond hardening occurred, the amount of the
volume contraction will be reduced due to the
transferring of the retained austenite.
• Time: The volume contraction is mostly be­
ing processed in the initial period of the tem­
per process and will begin stabilizing after 1
to 2 h.
• Pressure: When the workpiece is being
pressed during the temper process, its shape
can be fixed due to the function of its elastic
stress being relaxed. The typical example is
the tempering of a piston ring. The method
involves keeping the notch opening by iron
mass during the temper process. Under the
same principle, the workpieces can be flat­
tened after the temper process, during which
they are pressed (Fig. 40).
Influence of the Deep Freezing Process.
When quenched steel is cryogenically treated,
the retained austenite will transform to marten­
site. Thus, the size of the workpiece will have
only a little expansion, and the size stability of
the workpiece will be raised.
Influence of Stabilization. Temper makes
the microstructure of steel stable and reduces the
residual stress (or make the stress state stable),
which can improve dimensional stability. In
most situations, the dimensional stability can
be obtained only through a temper process.
Some precision tools tempered at a low tem­
perature, however, need to be heated several
times, for an extended period, and kept at a
temperature slightly below the temper tem­
perature. Low-temperature aging can reduce
the residual stress while stabilizing the re­
tained austenite to increase dimensional sta­
bility of precision tools.
Factors Affecting Chemical Heat
Treatment Distortion
Factors Affecting the Distortion of a Car­
burized Workpiece. Besides shape, quenching
methods, quenchant selection, and hardenability,
other factors relevant to the carburizing process
also can influence the final size and shape of the
workpiece significantly:
• Surface carbon content and carbon concen­
tration distribution of carburized layer: Sur­
face layer with high-carbon content has a
lower martensite-transition point, greater
amount of retained austenite, and larger vol­
umetric increase during martensite transfor­
mation. Transformation stress of carburized
parts varies with case carbon content and car­
bon concentration distribution in the carbu­
rized layer.
• Case depth of carburization: The deeper the
case depth of carburization, the greater the
 Factors Affecting Final Part Shaping / 179

transformational stress after quenching, and
the greater deformation of the parts
• Control accuracy of carbon potential: The
more accurate the control of carbon potential
is, the more consistent the deformation of car­
burized parts will be.
• Carburizing temperature and time: Defor­
mation caused by creep increases as carburiz­
ing temperature and time increase, and the in­
fluence of temperature is more significant.
Therefore, for carburizing parts with thin wall
or shallow case depth, the carburizing tem­
perature should be lowered.
(a)
Fifi 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
• Quenching methods after carburizing: Dis­
tortion of carburized parts through direct
quenching is usually less than that through
reheating and requenching because of less
times of heating and cooling in the former
process.
• Core hardness of carburized parts: Core
hardness reflects the degree of hardening.
With the increase of core hardness, the de­
formation changes from being caused by ther­
mal stress to that being caused by transfor­
mational stress.
<b) (c)
• Heterogeneous case depth or local carburiz­
ing: Heterogeneous case depth or local car­
burizing will result in nonsymmetrical distri­
bution of structural stress and, therefore, lead
to distortion.
These factors, along with the size and shape of
the parts, result in the distortion of carburized
and quenched parts. For example, distortion pat­
terns of tube-type parts after carburizing and
quenching are described as follows.
Distortion of low-carbon steel or low-carbon
alloy-steel-tube-type parts with a wall of 5 to 15
mm (0.20-0.60 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-
(d) trided Workpiece. Nitriding is a method of heat
treatment that causes the least distortion. In in­
dustry, nitriding is used on many important pre­
cise machine components, which have rigid re­
quirements of deformation. Factors influencing
the distortion of nitrided parts are described sub­
sequently.

Effects of Auxiliary Equipment and

Loading Methods on the Final
Shape of Components

Effects of loading tools and arrangement pat­

terns on the final heat treatment distortion are

(a) (b)

mx
i_ _ _ _ _ _ _ _ _ _ _ I

Ii ¡1 1 1 )
1
3x120°

Í
Í

M—1

(d)
Fig. 44 Supporting pattern of shaft gear in furnace Fig. 45 Loading methods of a gear
180 / Residual Stress Formation in the Shaping of Materials

shown in Fig. 42. Charging batcher, supporting

frame, and hanging tools determine the direction
and magnitude of thermal stress and affect the
transportation stability during uploading and un­
loading. Moreover, many factors, such as heat­
ing uniformity, flow resistance of furnace gas
during chemical heat treatment, and flow state of
quenchant during cooling, are related to the load­
ing patterns. Therefore, the design of loading
tools has evident influence on the heat treatment
distortion, which is discussed in the following
paragraphs.
Effect of Loading Tools on Distortion
Caused by Gravity. Creep caused by gravity
during heating is one of the significant causes of
heat treatment distortion, and loading tools have
decisive effect on it. The effects of furnace tray,
supporting frame, and hanger on heat treatment
distortion are shown schematically in Fig. 42.
The distortion caused by gravity can be elim­
inated if the hanger is used to keep the slender
workpieces in a vertical state. In Fig. 43, defor­
mation of (a), (b), and (c) decrease successively.
In Fig. 43(d), a universal joint hanger is designed
to ensure the workpiece is suspended vertically. Fig. 48 Auxiliary sleeve used for reducing quenching distortion. (1) workpiece, (2) auxiliary sleeve
The shaft gear illustrated in Fig. 44 is carbu­
rized and then quenched in trays. Different types
of supporting patterns can affect distortion sig­
nificantly. Placing the shaft gear in the horizontal
position on the base plate, as shown in Fig. 44(b)
and (c), will cause large deformation due to grav­
ity. In Fig. 44(d), the stem of 4> 16 mm is plugged
in the grid of fixture, surrounded with three
height-adjustable supporting bolts to ensure it is
in the vertical position; the distortion will be re­
duced greatly.
For normal disk-shaped parts with through
hole in the center (Fig. 45), suspension from the
center hole can reduce deformation. However, if
there is only a small difference between the outer
diameter (D0) and the inner diameter (D,), sus­ Fig. 46 Loading method of ring-shaped parts with a large hole in the center (a) circumferentially hanging, (b) centrally
pension from the center hole will cause large de­ hanging, and (c) horizontally placed
formation (it may become elliptic). In this case,
other options should be used, such as hanging
from around the outer circle of the part, or just
placing it in the horizontal position on a flat, stiff
base plate (Fig. 46).
A disk gear for mass production should be
placed in the horizontal position, so as to make
full use of furnace chamber space and improve
productivity.
Influence on Heating and Cooling Unifor­
mity. If the workpieces are placed disorderly in
baskets, the heating and cooling uniformity will
be greatly affected. For example, during carbu­
rizing and quenching automobile gears in a seal­
ing chamber furnace or continuous furnace, spe­
cial baskets are designed for distributing the
parts evenly and allowing appropriate space be­
tween them (Fig. 47).
The four sides of the basket can prevent the
heater from irradiating the parts directly, and act
as diversion of circulated frirnace gas and quen­
chant during cooling, which are in favor of im­
proving heating and cooling uniformity.
The bottom of the basket should have good
stiffness to make it more stable, which can also Fig. 47 Schematic layout of basket and parts. (1) pedestal, (2) basket, (3) cramp bar, (4) locating pedestal, (5) parts
 Factors Affecting Final Part Shaping / 181

be designed as a dismountable locating pedestal

if necessary. The surface of the locating pedestal
and parts should be machined to be smooth.
For some easily deformed parts with walls of
heterogeneous thickness, properly designed aux­
iliary fixtures can improve heating and cooling
uniformity, and therefore, reduce heat treatment
distortion. As mentioned previously, while
quenching of 1045 steel stop ring, a sleeve un­
derneath during quenching can significantly re­
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
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
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
sphere and heating uniformity, and therefore, the
distortion is controlled within the tolerance limit.
Function of Forced Distortion Devices in
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
workpiece. For example, in Fig. 13, a workpiece
with a groove in the end face was quenched with
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
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.
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
182 / Residual Stress Formation in the Shaping of Materials

All of the properties and quality of the quench

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.

REFERENCES

1. Z. Peiyu, The Control of Heat Treamtment

Distortions of Common Machine Parts, Me­
chanical Industry Publisher, Beijing, China,
1990
2. X. Dawei, F. Zhijun, and X. Huizhi, The Heat
Treatments of Fine Long Parts, Mechanical
Industry Publisher, Beijing, China, 1991
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 Nonsmootlmess of outer end surface
Excessive pressure of inner hold-down ring Nonsmootlmess 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. Lübben, 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
with a heat treatment process to set the required
properties. Unwanted effects that may appear af­
ter the heat treatment process are dimensional
alterations and distortion as a result of a process-
induced inner stress state of the parts. The origin
of the stresses may be in each part of the manu­
facturing process of the parts (i.e., construction,
production process of the material, manufactur­
ing processes, and heat treatment processes) be­
tween and at the end of the production process.
Further on stresses generated in different stages
of the production process can additively or com-
pensatively superpose during the manufacturing
process. At the last heat treatment will be the
production process that will release the residual
stresses as distortion. Distortion can increase to
such an extent that the parts can no longer be
used, or that at least reoperation processes will
be necessary. These additional necessary pro­
cesses will be costly because they have to be
done in the high-hardness state after finishing the
heat treatment processes. Accordingly, more or
less material has to be charged so that the dis­
tortion, which is to be expected, can be adjusted
by, for example, partial grinding operations.
The exact knowledge of the overmeasures is
of high importance because too small additional
measures will lead to defective goods. On the
other side, too high overmeasures will increase
the costs. The results are higher grinding costs
and an increase of the heat treatment costs. For
instance, carburizing time has to be increased to
set a higher carburizing depth. Another problem
is that distortion will differ from part to part and
that the scattering of the values is based on mul­
tifarious reasons.
Distortion as a result of the manufacturing
process is not a new problem. It is documented
in literature broadly and has been the subject of
research work in various technical fields. How­
ever, the state of the art is very inhomogeneous
and conclusions cannot be made, or only with
unacceptable uncertainties.
A new starting point to minimize distortion is
the awareness that distortion is not only the prob­
lem of the material or a single step in the manu­
facturing process but a property of the whole
manufacturing system. Thus, it has to be seen as
a system property of the whole manufacturing
process, including:
• Construction: Construction prearranges the
distortion potential. This means the liability
to changes in shape and fonu (e.g., by
changes in cross sections materials selection).
• Steel producing: Melting and solidification
and the following deformation processes ap­
point the local inhomogeneity of the chemical
composition, which result in a local different
transformation behavior. This leads to differ­
ent microstructures and so to a inhomoge­
neous distortion behavior, in extreme cases,
to crack formation.
• Forming: The state of microstructures and re­
sidual stresses in a part is influenced by the
state of the material (chemical composition,
inhomogeneity of the microstructure, segre­
gations, etc.) before forming and by the de­
formation parameters. They influence the fol­
lowing machining operations and the
subsequently appearing distortion and dimen­
sional alterations:
• Machining: Machining (turning, milling,
drilling) adds specific distortion potentials to
the distortion system by generating mostly in­
homogeneous residual stress states.
• Heat treatment: Heat treatment implies a spe­
cific distortion potential. As a finishing manu­
facturing process, it releases the total distor­
tion potential, accumulated as residual
stresses, inhomogeneities of material, and mi­
crostructure up to this moment, as dimen­
sional alterations and distortion. The origins
of distortion are quite complex and connected
with the total manufacturing process and
should not be attributed solely to the heat
treatment process.
Therefore, to minimize distortion, the whole pro­
duction process has to be observed. In the fol­
lowing chapters, the heat treatment process, and
especially the influence of process equipment,
are discussed
Identification of Distortion
Generating Process Equipment
Distortion can be increased by different steps
of heat treatment processes. In the majority of
cases, quenching steps are brought into connec­
tion with the generating of distortion because
quenching is the last step of the process. How­
ever, a high amount of distortion will be gener­
ated before quenching or cooling is started. To
avoid or to minimize distortion, it is important
that the parts being heat treated are heated and
cooled uniformly so that a homogeneous tem­
perature distribution results over all the cross
sections. On the other hand, if cooling and heat­
ing are as homogeneous as possible, but the
component is very inhomogeneous (chemical
composition, microstructure, residual stress state
before heat treatment) or the shapes of the parts
show very different transverse sections, bores,
holes, and so on, distortion will not be avoided
without using special methods such as press
quenching. Therefore, if there are problems deal­
ing with distortion and there is the presumption,
that distortion could have been released by
equipment, it should be checked simultaneously
if material or shape could also be responsible for
the failure.
With respect to the process and the equipment,
a general remark is that heating and cooling must
be done as uniformly as possible.
General Possibilities to Influence
Distortion Generation by Process
Equipment
Distortion is generated by elastic and plastic
deformations during the production process of
the part. Origins may be an inhomogeneous mi­
crostructure of the material due to its metallur­
gical history or nonuniform or unbalanced con­
ditions during heating or cooling processes
during the manufacturing process.
The former case cannot be influenced by nor­
mal process equipment. Beyond this, these in­
184 / Residual Stress Formation in the Shaping of Materials
homogeneities are unidentified if the quality
control has not been done sufficiently.
Influences of the Heating System
The insulation of the furnace has to be uni­
form. Cold spots may lead to an undershooting
of the dew point, which will result in the for­
mation of moisture. Also, the insulation material
has to be fitted to the atmosphere to avoid side
reactions between atmosphere and insulation
material. Otherwise, the local homogeneity of
the treatment may be influenced negatively,
which may lead to an inhomogeneous impact of
the atmosphere to the parts (e.g., followed by
inhomogeneous carbon content in the case of
carburizing or oxidizing in protective atmo­
spheres). In turn, this will influence the transfor­
mation behavior and may increase distortion
during the quenching or cooling step of the pro­
cess.
Heat Irradiating Areas in Ratio to the Size
of the Batch. If parts are located too closely to
heating devices, local differences in temperature
may occur. Different temperatures will influence
locally the carburizing or nitriding behavior in
the case of thermo-chemical processes or in the
transformation behavior if temperature differ­
ences result in a different amount of solved al­
loying elements. These inhomogeneities pro­
mote distortion. Therefore, the ideal distance of
heating devices from the batch should be as far
away from the parts that approximately a 15°
radiation angle still can be realized. However, it
should not be closer to the parts than 150 mm (6
in.).
If this rule of design is fulfilled, the usable
space will be significantly bigger than the work­
space, and bigger parts than allowed for ideal
charging can be used. In respect of ideal heating
conditions for a uniform heat treating a furnace
should not be overloaded. The ideal size of a
charge will be smaller than the potentially usable
space. Thus, an unfavorable charging is prepro­
grammed, also in respect of the operating effi­
ciency of the process.
A furnace, if not constructed as a tube, has six
sides. Normally, only two sides are stoked. The
temperature homogeneity can be enhanced by
heating more than two sides. However, this will
not be possible for all areas; for example, spe­
cific problems will occur at walls with feeding
units. Also, temperature inhomogeneities can be
caused by metallic parts forming a temperature
dip. In addition, each flange worsens the tem­
perature homogeneity. Inner doors are thinner,
in consequence of their function. It has to be con­
sidered that the heat loss in areas with doors is
higher than in the better-insulated surrounding
areas.
Number and surface area of the heating de­
vices influence the temperature homogeneity by
the necessary surface temperature to reach the
desired batch temperature. The surface tempera­
ture of the heating devices should not exceed that
of the batch temperature by more than 30 K. The
distance to the batch is especially important at
point-shaped heat sources.
Gas Atmosphere. Heat transfer into the parts
is induced by enforced convection. Gas velocity
at the surface of the parts, homogeneity of the
gas velocity at the surface and in the inner re­
gions of the batch, and differences of the velocity
in the inside and outside of the batch will influ­
ence the heat transfer and, therewith, the tem­
perature homogeneity. Theoretically, more uni­
form conditions should be reachable by baffles.
Because of the high temperatures, however, only
simple-shaped constructions can be used. Opti­
mal rules of design cannot be applied.
Thermocouples. The location of thermocou­
ples must allow for correct temperature mea­
surement; the tip of the thermocouple has to be
placed near the workpieces in the furnace. It has
to be exposed to the same heating environment
as these pieces. The uniformity of the tempera­
ture in the furnace must be checked before in­
stalling control thermocouples.
Special Problems at Thermochemical
T reatments. The revolution of the process gases
serves only for equalization of the atmosphere.
It is not strong enough to manage a good tem­
perature equalization. The limitation of the de­
gree of revolution is given by the strength of the
fan material. Metals have a low strength at pro­
cess temperature, and carbon fibre composite
(CFC) materials are not usable in conjunction
with oxygen-containing atmospheres. Inside a
furnace it has to be distinguished between low-
and high-temperature areas. The limit will be at
approximately 700 to 800 °C (1290-1470 °F).
Above this temperature, radiation will be the
main heat transfer mechanism, and this is the main
reason that revolution will not enhance the tem­
perature uniformity.
Hot and cool spots must be avoided. Hot spots
will result in a higher dissociation of the process
gas; at cold spots, soot can be formed. Local dif­
ferent gas compositions may lead to differences
in element profiles, and soot on the parts will
hinder the carbon transition. Both effects influ­
ence the transformation behavior of the material
during quenching and, therewith, distortion be­
havior. A further influencing parameter on at­
mosphere homogeneity is the disposition of the
gas-inlet points. Atmosphere uniformity must be
reached before the atmosphere comes into con­
tact with the parts to be heat treated.
As mentioned previously, for the uniformity
of the carburized layer, temperature and atmo­
sphere homogeneity are responsible. However,
the choice of treatment temperature also may be
of high influence (e.g., if parts with differences
in cross section should be carburized or carbo-
nitrided to small carburizing depths). High tem­
peratures in connection with those geometries
can result in high temperature differences. As a
result, overcarburized spots and spots with too-
low carburizing depths will occur. In these cases,
low carburizing temperatures offer higher uni­
formity of carburizing depth, but longer treat­
ment times are necessary. Additionally, large
sections of the parts stay ferritic during carbu­
rizing and will not be hardened—only the sur­
face near cross sections that will pick up carbon
transform to austenite.
Special Problems of Pit-Type Furnaces. At­
mosphere homogeneity in a furnace is a prereq­
uisite to avoid unequal case conditions during
thermochemical treatments and so prerequisite
to avoid distortion. To reach a good homoge­
neity the flow field must be optimized. In the
case of pit-type furnaces, this can be done by
guide cylinders. If the length to diameter ratio of
the furnace is small (1:1 or 2:1), there is no need
for such a measure. But, at higher ratios, guide
cylinders are necessary to receive a uniform at­
mosphere distribution. Further improvement at
higher temperatures (e.g., carburizing) is achiev­
able by usage of gas lances. At low temperatures
(e.g., nitriding), stronger fans can be used.
Special Problems of Vacuum Furnaces.
Temperature homogeneity is predominantly de­
termined by the disposition and layout of the
heating elements. The number of the heating de­
vices is substantial for the equability but also for
the costs. Thus, depending on the size and con­
struction of the furnace, a minimum number is
necessary. Charging with large distances be­
tween the parts in too-large furnaces will be
good for homogeneous heating but worse with
regard to the costs.
Influences of the Quenching System
Quenching is the most dangerous process step
of heat treatment to generate distortion. Thus,
nonuniform agitation/'quenching or nonuniform
circulation of quenchant around a part results in
inhomogeneous cooling rates that create shape
distortion. The extent of distortion also increases
with the intensity of cooling. As discussed pre­
viously, however, uneven hardening, with the
formation of soft spots, increases distortion.
Similarly, uneven case depths in case-hardening
steels have the same impact.
As a general rule, cooling should be done as
slowly and as homogeneously as possible. When
quenching in fluids, there should be a good rev­
olution of the quenching media also within the
batch. Influences by charging should be consid­
ered as well, for example, the hardenability of
the parts, their form and size, and their distances
from each other (batch density). The composi­
tion of the charge will influence distortion
greatly, too.
Forces by the self weight of the parts can de­
form the parts if they are not held up sufficiently.
In dependence of the shape of tire parts, weight
forces are dependent on the maimer of charging.
Long, slim parts, therefore, should be hung. If
parts have to be laid down, they must be sup­
ported sufficiently.
Grids. Metallic grids will not stay even,
which also can influence distortion by weight
forces (gravity). In consequence of uneven grids,
the charge will not stay in a plane. When distor­
tion of a grid increases, it can be turned. Dense
charging will cause the same behavior as the be­
havior of a large compact part. Therefore, the
inner areas of the batch will be cooled down
more slowly than the outer regions.

The best possibility to adapt quenching to the
requirements of the parts or the batch is given
by gas quenching. By gas type, pressure, flow
rates, and other influencing parameters, the
quenching rate can be adapted to the parts. How­
ever, there are a lot of additional parameters that
influence quenching behavior and therewith dis­
tortion, that are not fully recognized at each pro­
cess. Some of these influences are:
• Heat radiation emitting and absorbing areas
• Inflow of heat-emitting areas
• Cooling of the quenching gas
• Pressure as function of quenching time
• Power of the fan (flow velocity of the gas)
• Flow field in the charging area
• Local turbulences
The design of the gas flow is essential for the
homogeneity; impinging jets with high velocity
pig "| Roundness chart of a bearing ring (134 X 200
X 25 mm diam, or 7.2 X 7.9 X 1 in. diam, SAE
52100) after free quenching in a high-speed quenching oil.
The difference between maximum and minimum radius
(roundness), r , is 0.436 mm (0.017 in.).
Fifi 2 R°ur|dness chart of a bearing ring (184 X 200
® X 25 mm diam, or 7.2 X 7.9 X 1 in. diam, SAE
521 00) after quenching in a quenching press. The differ­
ence between maximum and minimum radius (roundness)
is 0.057 mm (0.002 in.).
Effects of Process Equipment Design / 185
results in a high heat flow, tangential inflow in
a low heat transfer. The homogeneity of the heat
flow increases with increasing flow rate.
Gas quenching is the only quenching method
that allows adaption of the quenching intensity
to the special needs of single parts or a batch.
Also, different quenching rates at one part can
be realized (e.g., by quenching in a nozzle field).
In this way, distortion, or at least the scatterband
of distortion, can be minimized.
Distortion Minimizing by
Quenching in a Hardening Press
In actual industrial practice, the heat treatment
process frequently is carried out with large
charges. In such operations, many workpieces
are simultaneously heated, then simultaneously
cooled. Such multiple-workpiece treatment pro­
cedures have the obvious advantage of substan­
tially increasing output rate; however, the cool­
ing curves of each individual workpiece are
different. Thus, in order to ensure that the re­
quired minimum effective cooling rate is
achieved, it is necessary, in such cases, to orient
the procedure on the basis of the slowest-cooling
section of the processed charge.
A corresponding selection of quenching con­
ditions (involving, for example, the use of a
high-efficiency quenching oil) leads, in such
cases, to the cooling of all other portions of the
charge at an excessively high rate. Therefore, in
such a situation, it currently is impracticable to
establish an optimal charge-processing proce­
dure. In cases in which the workpieces under­
going treatment are distortion sensitive (such as,
thin-walled roller-bearing rings), extreme defor­
mation may occur (Fig. 1).
In the current state of industrial teclinology,
workpieces of such sensitive types can be treated
successfully only through the use of expensive
and time-consuming grinding operations, which
produce workpieces with the required end di­
mensions. However, some workpieces may be in
such bad shape that they cannot even be sub­
jected to post-production treatment, and in such
cases, the benefits of any previously applied
treatment procedures are lost. One potential so­
lution to this problem is the use of hardening
fixtures.
An essential feature of such an installation is
that each workpiece is subjected to an individual
cooling regimen, while the deformation is main­
tained at a very low level by applying external
forces. A comparison between Fig. 1 and Fig. 2
shows the accuracy (roundness) generated
through the use of this procedure and clearly in­
dicates the high level of effectiveness of the
hardening fixture installation in procedures of
the type in question.
The primary goal of the fixture-hardening pro­
cedure is the enhancement of end-product qual­
ity, through achieving a uniform hardness distri­
bution for the processed workpieces, minimal
level of deformation, as well as a substantial re­
duction in the need for the use of supplemental
finishing procedures, such as grinding.
Fixture hardening is characterized by the fact
that it is carried out through the use of an inte­
grated hardening press unit, into which the
heated manufactured workpiece, either singly or
in batches, is inserted and then subjected to a
precisely regulated, optimized cooling regimen,
while simultaneously being subjected to a spe­
cific applied force. For example, in the case of
the quenching of round workpieces, a radial
force is applied to prevent the workpiece from
undergoing any significant changes in shape dur­
ing the structural-transformation process.
Changes in workpiece dimension, which are
common products of structural-transformation
procedures, in the context of fixture hardening
(which involves the use of applied external
forces) may, within this context, be converted to
variations in the geometric relations (for in­
stance, in the case of ring-shaped workpieces, to
variations in wall thickness). The dimensions of
freely hardened workpieces differ markedly
from those of fixture hardened; in the latter case,
it is possible to adjust workpiece dimensions in
such a manner that the fixture-hardened work-
pieces uniformly exhibit the required dimen­
sions. However, whatever quenching method is
selected, it is vital to bear in mind the close re­
lationship obtained between the hardening
operation itself and previous production steps.
In the case of rotationally symmetrical, ring-
shaped workpieces, as a general rule, a mandrel
is employed, which aids in the centering of the
workpiece, as well as the maintaining of the
roundness of the inner ring surface during the
quenching procedure.
Therefore, at the beginning of and/or at some
point during the quenching procedure, an exter­
nal force is applied to the workpiece. Tins ap­
plied external force leads to the plastic defor­
mation of the workpiece, and by this means,
effectively prevents the workpiece from under­
going the loss of roundness that can be generated
by nonuniform cooling rates of its various cross-
sectional regions and released stress.
The selection of the specific mandrel system
to be employed in a given operation is deter­
mined by such factors as the material of which
the workpiece is composed, its geometrical char­
acteristics, and the hardening process used.
Thus, in cases where the workpiece undergoing
treatment exhibits shrinkage at the conclusion of
the procedure, a solid mandrel can be used (Fig.
3). During the hardening process, Hie workpieces
shrink on the mandrel and then must be pressed
off. Solid mandrels are simple and inexpensive
to manufacture and yield extremely good shape
results when employed in operations of the type
described.
In order to obtain the higher precision values
required in geared workpieces or cogs, the use
of smooth-surface mandrels can be effectively
supplemented with cog-cut mandrels. In such
cases, the workpiece undergoing treatment can
be positioned in the cog mandrel in either the
tooth flank or the root of the gear tooth (Fig. 3).
Special cogged mandrels also ensure conformity
to dimensional specifications in free-cut cogs or
gears, which, with the use of conventional
186 / Residual Stress Formation in the Shaping of Materials
smooth-surface or expanding mandrels, can be
partially lost since the free-cut cog or gear re­
gions do not mesh precisely with the mandrel
employed.
Another problem typically encountered in the
hardening of fully hardenable workpieces is a
substantial volume increase as a result of the for­
mation of a martensitic structure throughout the
entire workpiece, which in turn, leads to an un­
desirable expansion. As a result, during the first
part of the quenching process, the workpiece
shrinks on the mandrel, and when the Ms point
(the temperature at winch martensite starts to
form from austenite on cooling) is attained, the
Smooth mandrel
Toothed mandrel
Basic fixing
Fig. 3 Digest of actual mandrel system at press quenching
\ I
i=Pm=i
Synchronizing cone
Fixed mandrel receptacle with
retention and mandrel
ejection device
Synchronizing ring
Receptacle on conical fixed
mandrel with retention, conical
outer retracing, and
mandrel ejection device
Fig. 4 Examples of fixtures for hardening of ring-shaped
workpiece dissociates from the mandrel again.
As a result, deformation can appear again during
the generation of martensite. Plastic deformation
of the workpiece during the martensite genera­
tion cannot be prevented through the use of a
solid mandrel.
In order to eliminate the difficulty just de­
scribed, an expanding mandrel system is com­
monly employed, which allows a slight variation
of the diameter (Fig. 3). Through the expansion
of the segments of the mandrel over a cone, the
workpiece, while undergoing martensitic struc­
ture generation, has its inner diameter “pressed
out round” as a result of plastic deformation.
Expanded mandrel receptacle
with separated retention
\\\
Sliding sleeve
Fixed mandrel takeup,
with retention, mandrel
ejection device, and optional
external pressing
bodies
However, the expanding mandrel is substantially
more expensive to produce than a standard type
fixed mandrel; if the expanding mandrel is not
produced to conform with precise dimensional
tolerance limits, there will be a substantial ad­
verse effect upon the dimensional precision of
the end product. In addition, the diameter vari­
ability of expanding mandrels is very limited,
because if mandrel-segment radii and workpiece
radii were different, they would touch tangen­
tially only. Through the applied force, the work-
piece maintains a polygon-shaped inner diame­
ter, determined by the number of segments (as a
general rule, from 5 to 10 segments).
In accordance with the specific geometry of
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
rials and/or geometries, undergo a significant in­
crease of their internal diameter in the course of
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.
As noted, both the material of which the work-
piece is composed and its specific geometric
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
the convenient storage of workpiece- and mate-
rial-specific treatment parameters in a database.
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
at fixture-equipped processing stations also
makes it possible to establish workpiece- and
material-specific data records, which would not
be possible in a system in which the simultane­
ous treatment of an entire batch was carried out.
Residual Stresses in Nitriding
Z. Kolozsváry, S.C. Plasmaterm S.A., Tg-Mures, Romania
A NUMBER OF technological processes are
based on the diffusion of nitrogen in steel or of
nitrogen combined with other elements, includ­
ing carbon, oxygen, and sulfur. The basic differ­
ence between nitriding and carburizing is that,
in carburizing, the specific properties of the case
against the core are obtained by a controlled car­
bon-rich martensite in the diffusion layer. No
difference occurs in the structural nature of the
case against the core, and all the property mod­
ifications may well be predicted considering the
changes in carbon content. (Carbide-forming
elements modify only the harden ability’ of the
case and its stability.)
Nitriding has a completely different mecha­
nism. Due to the very low solubility of nitrogen
in iron, the nitrogen diffused in the surface layer
will form nitride precipitates with iron (mainly
y'-Fe4N) and with the alloying elements of the
steel, according to their chemical affinity to ni­
trogen. The mechanism of hardening is different
i---------------- 1
20 nm
•j Coaree, needle-shape nitride precipitates in the
diffusion layer of I ow-carbon steel
from that of carburizing, and is practically based
on a precipitation process. The greater the oc­
currence of uniform, finely dispersed precipitates
of stable nitrides (of aluminum, titanium, chro­
mium, niobium, etc.), the higher the hardness in
the diffusion layer.
Because of the high nitriding potential in the
nitriding atmosphere, however, a compound
layer will almost inevitably form on the steel
substrate. This compound layer consists of y'-
(Fe4N) and £-(Fe2_3N)-type nitrides on the sur­
face, rarely as a monophase layer. Modem tech­
nologies offer close process control, resulting in
a more or less monophase layer, or even bright
nitriding (without a compound layer), but in in­
dustrial practice duplex compound layers gen­
erally are characteristic. This is especially hue
for gaseous treatments, less so for plasma pro­
cessing. Simultaneous action of carbon and ox­
ygen results in mostly compact, hexagonal s-
type, crystals with varying amounts of nitrogen
and carbon, or nitrogen, carbon, and oxygen.
A few characteristics are common to all ni-
triding/nitrocarburizing procedures. First, the
process temperature is between 450 and 570 °C
(840 and 1060 °F), which means no austenitic
transformation occurs and the structure remains
basically ferritic or, more exactly, in the ferritic
domain. Due to the lack of phase transformati on,
no specific residual stresses appear.
Second, this lack of phase transformation
means that the structure of the steel before ni-
triding strongly affects both the mechanical pa­
rameters of the treated parts and the stress-strain
state after nitriding. Normalizing, annealing, and
quenching and tempering will influence the sub­
strate properties, as well as the post-treatment
residual stress level and resulting deformation.
Best results are generally obtained for quenched-
and-tempered structures prior to nitriding, pre­
suming the tempering temperature is higher than
that of nitriding or nitrocarburizing. In this case,
practically any influence of carbide precipitation,
spheroidization, or carbide coagulation can be
neglected.
Third, the low treating temperature also mod­
ifies the thermodynamics and kinetics of layer
formation. The activity of the steel surface plays
a determining role in the whole process; thus,
machining and finishing operations may influ­
ence the stress-strain state of the surface layer.
The compound layer is mainly responsible for
the tribological properties of the nitrided/nitro-
carburized engineering components, whereas the
substrate with its diffusion layer provides load-
bearing capacity and improved fatigue proper­
ties. Structure, composition, and morphology of
the compound layer cover a rather large spec-
hum as a function of process parameters, and
some discrepancies may be found in the litera­
ture concerning the properties of compound lay­
ers depending on their composition. The effect
of oxygen in the layer and on layer formation is
still being debated (Ref 1-5).
To outline the problem of residual stresses in
nitrided/nitrocarburized layers, a short summary
of their structure and properties follows.
Structure of Nit rid ed Layers
Gaseous Nitriding in NH3-N2-H2 Mixtures,
Basically, nitrogen diffusion in steel results in a
low-nitrogen ferrite according to the Lehrer
phase diagram (Ref 6, 7) and precipitated ni­
trides of the alloying elements, especially chro­
mium, aluminum, molybdenum, and titanium.
The most desirable structure consists of fine, uni­
formly dispersed nitride precipitates in the fer­
ritic matrix. However, due to the low solubility
of nitrogen in iron, even with close control of
process parameters, some Fe4N occurs, mostly
in the form of coarse nitride needles. Usually, a
brittle y'-(Fe4N) compound layer also appears on
the surface, which is later removed by various
chemical or mechanical processes. These struc­
tures are obtained at low temperatures of 510 to
530 °C (950 to 990 °F) with a subsequent slow
cooling. Thus, residual stresses primarily origi­
nate due to the modification of chemical com­
position and crystal structure by precipitation in
the diffusion layer (Fig. 1).
Nitrocarburizing (Ferritic). The combined
effect of nitrogen, carbon, and oxygen results in
a mainly s-type or £ + y' compound layer of 5
to 25 pm on the steel substrate, supported by a
diffusion layer. Contrary to gaseous nitriding,
the main purpose of nitrocarburizing is to im­
prove the tribological properties, and it can also
be applied to unalloyed or low-alloyed steels. A
certain amount of porosity in the compound
layer is generally present due to the mechanism
2 1 0 / Residual Stress During Hardening Processes
of layer growth. The hardness of the diffusion
layer is given by the nitride precipitation phe­
nomena in the matrix, just as for gaseous nitrid­
ing. However, because of the generally higher
treating temperature (540 to 570 °C, or 1005 to
20 jim
2 Microstructure of compound and diffusion layer
in plain carbon steel. Gaseous nitrocarburizing
570 °C (4.060 °F), 2 h
3 Microstructure of diffusion layer in low-alloy
structural steel. Gaseous nitrocarburizing, 570 °c
(1060 °F), 2 h
1060 °F), the increase in hardness is less promi­
nent even for special alloy steels, as the precip­
itates are coarser and less uniformly distributed
(Fig. 2, 3).
The interdependence of tribological/mechan­
ical parameters and chemical composition of the
compound layer is not completely elucidated
The nitrogen/carbon ratio in die s-type layer has
been extensively investigated (Ref 6, 8, 9), but
it remains difficult to provide accurate parame­
ters for industrial processes. The presence of ox­
ygen is also of utmost importance, increasing the
layer growth rate due to increased surface activ­
ity (Ref 5,10,11).
The problem of residual stresses is more so­
phisticated in this case, because consideration
must be given not only to stresses in the com­
pound layer or in the substrate, but also to some
particular phenomena that appear' in the interface
between the compound layer and the substrate.
Another important factor is the dissolution of
carbide particles in the s compound layer from
the pearlite grains of the substrate (Fig. 4).
Salt bath nitrocarburizing results basically in
the same structure discussed above, but due to
the dissolution phenomenon in the bath an equi­
librium in the layer growth process will occur—
one that is dependent not only on the bath active
composition but also on its contamination, es­
pecially with iron (Ref 12). Usually extremely
fine salt inclusions also can be found in the com­
pound layer’s outmost film, as it may be ob­
served in studying the fracture toughness of
compound layers (Ref 13). This dissolution pro­
cess modifies not only the stress state in the
v*
F¡g 4 Dissolution of carbide particles in the compound layer from the pearl ite grains of the substrate. Transmission
electron micrograph (TEM)
layer, but first of all that of the interface between
the compound layer and substrate (Fig. 5).
Plasma Nitriding and Plasma Nitrocarbur­
izing. PI asm a-assisted processes involve cath­
ode sputtering, which significantly affects both
the interface (at the beginning of the process) and
layer formation. Very accurate and close control
of the process parameters in pi asma nitri ding and
nitrocarburizing is possible, so different struc­
tures and properties can be obtained When a low
treating temperature (up to 510 °C, or 950 °F) is
maintained a thin but very hard layer' will appear
with extremely fine, dispersed nitride precipi­
tates in the steel substrate. In this case, the com­
pound 1 ayer is either very thin y'-type or may be
avoided altogether. As in gaseous nitriding, such
a process may only be applied for alloy steels
(Fig. 6).
For improved tribological properties, the com­
pound layer plays the key role. Different data are
available in the literature on the tribological
properties of compound layers of different struc­
tures and composition (Ref 10,11,14,15). There
appears to be good agreement among the spe­
cialists that plasma-nitrided alloy steels will
show the best properties with a relatively thin,
but uniform monophase y' compound layer on a
hard substrate.
On the other hand, some researchers cl aim that
the ductility and fatigue wear resistance of s-
nitrocarbide compound layers are better than
those of y'. Usually the controversy finds its
roots in the fact that it is very difficult to control
the porosity of the s layers, and this porosity has
a negative effect on service properties. The most
5
1 nm

favorable nitrogen/carbon ratio in the compound
layer is not completely known, and the repro­
ducibility of the case compositi on is rather prob­
lematic, even with up-to-date process control. A
certain amount of carbon may also be found in
plasma-nitrided duplex compound layers (y' +
e) due to the reverse diffusion of carbon from
the substrate into the compound layer. This retro-
diffusion may be veiy important on the interface,
where the £ nitrides absorb important quantities
of carbon, causing even the dissolution of car­
bide lamellas from the pearlite grains in a ferri-
tic/pearlitic substrate (see Fig. 4). Certainly, as
plasma nitrocarburizing becomes a common
practice, it is possible to obtain a monophase,
compact £ compound layer with an optimized
nitrogen/carbon ratio (Fig. 7 a-c) (Ref 8,16).
The residual stresses in the compound layer
and in the substrate are strongly connected to the
nature of compound layers. Whenever a thick,
more or less monophase £-type compound layer
is desired, the higher treating temperatures result
in less significant substrate hardness and in a
lower residual stress level. The influence of a
compound layer on fatigue properties may not
be neglected, however, as it reduces the stress
concentrators in the surface.
Slightly different phases appear when stain­
less steels are plasma nitrided (Ref 7, 13, 17-
21). The problem in this case is to obtain a si­
multaneous increase in tribological properties,
without significant loss in corrosion behavior.
Passivated or oxide surface films offer only a
partial solution.
Residual Stresses in Nitrided Layers
Residual stresses and their computer modeling
have been extensively studied for case harden­
ing. However, a rather limited number of papers
deal with the problem of residual stresses in ni­
triding and related technologies. No doubt one
of the reasons for this is the lesser effect on dis­
tortions and generally lower level of these
Fig. 5 Modified interface between the compound layer and substrate as result of carbide dissolution. TEM
stresses as compared to those in carburized lay­
ers. Due to the complex mechanism of “hard­
ening” in nitriding (the presence of a compound
layer), investigations are more difficult and the
mathematical modeling must consider numerous
factors.
Most of the data in the literature are connected
to the residual stresses in the diffusion layer, and
generally relate to gaseous nitriding. Surpris­
ingly few data can be found on residual stresses
in nitrocarburizing, especially for compound
layers. From the experimental data on tribolog­
ical and fatigue properties it is obvious that not
only the compound and the diffusion layer play
50 (im
■ z Microstructure of plasma-nitrided low-alloy steel
’■ (18MnCr10). 560 °C (1040 °F), S h
1 jtm
Residual Stresses in Nitriding / 211
an important role in properties of treated parts,
but that specific phenomena on the interface be­
tween the compound layer and substrate are also
critical.
Compound Layer
Several theories related to the origin of resid­
ual stresses in nitrided layers associate these
stresses mostly with the diffusion layers (Ref
22-25). The main causes of the residual stresses
are considered to be:
• Changes in chemical composition in the dif­
fusion zone
• Phase transformation in the diffusion zone,
and precipitation phenomena
• Volume changes caused by the phase trans­
formation and the growth of precipitates
• Thermal effects due to different coeffici ent of
expansion during layer formation
The residual stresses connected to the com­
pound layer formation are rarely considered;
however, their effect on the fatigue limit of
treated parts may be significant, especially if the
film thickness of the layer is comparable to the
total wall thickness (engineering components for
precision mechanical applications). These resid­
ual stresses originate from:
• Volume changes during the formation of dif­
ferent phases in the compound layer
• Internal stresses caused by molecular nitro­
gen formation in the porosity
Dependent on process parameters, the porosity
is generally associated with the high nitrogen po­
tential for the s-type compound layer. This po­
rosity usually is concentrated at the outer zone of
the compound layer, sometimes causing tensile
residual stresses to appear there (Ref 14,26,27).
Investigations have shown that compressive re­
sidual stresses exist in the compound layer dur­
ing layer growth, and these stresses increase dur­
ing cooling as a result of the volume misfit
generated by different thermal expansion coef­
ficients of the compound layer and the diffusion
zone (Ref 28). These observations apply particu­
larly to y' structures but are also tme for compact
£ structures.
The internal stresses in the compound 1 ayer
are of the second and tliircl type (Ref 3,29). Con­
sidering the definition of residual stresses given
by Macherauch et at. (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 (£
or y').
Very few measurements of residual stresses in
compound layers are known, partly because of
technical difficulties—even by x-ray' diffraction
(XRD) methods—and 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 y'-Fe4N-type compound layer built
on a steel surface during gas nitriding (Ref 28).
212 / Residual Stress During Hardening Processes
Most of the data related to residual stresses in sions, are also found in the literature. Frequently,
compound layers result from experiments in gas­ the role of residual stresses in compound layers
eous nitriding or plasma nitriding (Ref 27, 30- is considered of lesser importance, while other
32). The combined effect of nitrogen and carbon, studies emphasize that the compressive stresses
and of nitrogen, carbon, and oxygen, has been in the surface will practically disappear with re­
extensively investigated (Ref 9,10,33-35), but moval of the compound layer (Ref 31,39).
these studies have focused primarily on their ef­ As discussed in the article “Material Factors”
fect on wear and fatigue behavior and less on the in this Handbook, significant differences appear
residual stress state. When considering the resid­ in the structure and morphology of nitrided (ni­
ual stresses in compound layers, the layer struc­ tro carburized) layers, a function of the techno­
ture cannot be neglected Structures of y' or e- logical process. These differences are reflected
type (or, more exactly, pure y' or mixtures of in the stress-strain state of the layers. However,
y'- s with different compositions) were investi­ it is very difficult to obtain comprehensive and
reliable data on residual stresses in compound
gated with the aim of finding the most favorable
layers, and it seems even more problematic to
effect on fatigue behavior. Combined wear and
measure the residual stress state at the interface
fatigue resistance is of critical importance for the
between the compound layer and the substrate.
mechanical industry (Ref 7, 15, 17, 36-38). In
Most experiments have been performed using
terms of fatigue behavior, a particular aspect the XRD method for measuring the residual
may be connected to the penetration of the com­ stresses, but this presumes chemical or mechan­
pound layer into the substrate: Electron-micro­ ical removal of subsequent films of the com­
scopic examination of nitrocarburized surfaces pound layer, certainly modifying its stress state
has shown that a significant “removal” of surface as well. In situ measurements of residual stresses
defects resulted from the finishing process, thus in compound layers have been p erforme don gas-
decreasing the stress concentrators that can ini­ nitride d samples (Ref 28).
tiate the first microcracks in long-cycle fatigue Data in the literature show a wide range of
phenomena (Ref 34). values for residual stresses, but it is generally
Some discrepancies among the experimental agreed that tensile stresses appear in s compound
results, including their interpretation and conclu­ layers. According to one study, tensile stresses
Table 1 Residual stress distribution in the s and y' compound layers
_____________________________Residual stress(aX MPa (ksi)
Distance from surface^ nun (in.) s-Fe^jN
0(0) -54 (-8) 4-48(4-7) -327 (-47)
0.005 (0.0002) -492 (-71) -264 (-38) -624 (-90)
0.01 (0.0004) -594 (-86) -721 (-104)
0.015 (0.0006) -432 (-63)
0.02 (0.0008) -590 (-86) -587 (-85) -705 (-102)
0.03 (0.001) ... ... ...
(a) The residual stress values given for the same layer structure were measured for layer thicknesses of 22 and 25 nm on 31CrMoV9 steel treated at
570 V (1060 ®F) for 16 and 32 h, respectively. Source: Ref 27
Fig. 7 Plasma nitrocarburized EN-9 (070M55) steel, (a) Micro structure, (b) CDOS carbon and nitrogen profile, (c) X-ray diffraction pattern at the surface (showing almost pure s-
phase). 570 °C (1060 °F), 3 h( 4 mbar. Source: Ref 16
up to 200 MPa (30 ksi) were found on Armco
iron, whereas another found approximately 150
MPa (20 ksi) tensile or compressive stresses on
C45 steel. Rozendaal et al. (Ref 40) measured
tensile stresses up to 800 MPa (115 ksi) in the
outer zone of e layer, which decreased toward
the interface and changed to compressive stress.
In y' compound layers, the same authors mea­
sured compressive stresses between -60 and
-600 MPa (-10 and -90 ksi). Oettel andEh-
rentraut (Ref 26) studied the residual stresses in
compound layers of different nitrided alloy
steels. According to their data, compressive
stresses between -350 and -1500 MPa (-50
and -220 ksi) are typical for y' compound lay­
ers, whereas tensile stresses of 100 to 370 MPa
(15 to 55 ksi) characterize the basically s struc­
tures. However, compact s (pore-free) layers
may show compressive stress values up to —580
to —800 MPa (—85 to —115 ksi) at the inter­
face with the diffusion layer. In general, thinner
layers presented higher stress values, whi ch may
be explained primarily by their more compact
nature and also by a lesser effect of the sophis­
ticated influence of the relaxation process during
the long treating cycle.
Investigations performed by Spies (Ref 27)
with Cr-Mo, Cr-Mn, and Cr-Mo-V steels have
shown stress values of -500 to -600 MPa
(-70 to -90 ksi) in s-Fe(2_3)N compoundlay-
ers of 20 to 25 pm and 620 to 720 MPa (90 to
105 ksi) for y'. Increasing the treating time from
16 to 32 h, a compound layer thickness of 20 to
30 pm caused no significant decrease in residual
-393 (-57) stress level. The most significant data are shown
-528 (-77) in Table 1.
-764 (-111) All the available data indicate higher com­
-724 (-105) pressive stresses in compound layers of pure y'
-640 (-93) than in s or y' + s layers. According to Spies
(Ref 27), maximum residual stresses may attain
-700 to -750 MPa (-100 to -110 ksi) in y'-

Fe4N compound layers, whereas values of 550
to 600 MPa (80 to 90 ksi) were measured in s-
Fe2 _3N layers. In situ measurements in gaseous
nitriding performed by Hoffmann et al. (Ref 28)
resulted in a slightly lower compression stress
level of about - 450 MPa (-65 ksi). The carbon
content of the substrate, especially the carbon
level in the compound layer, has a considerable
effect on residual stresses; increased carbon con­
tent results in an increased residual stress level
(Ref 8, 28) (Fig. 8). However, the importance of
carbon in the compound layer is more empha­
sized in £-Fe2_3(C,N) structures, due to the in­
creased solubility of carbon in the compact
hexagonal c-Fe^^N crystals (Ref 8). The ap­
parently lower residual stress values in s-type
compound layers probably al so can be explained
by the ductility of this structure.
These observations pertain to gas nitriding,
where the compound layer consists almost ex­
clusively of Fe4N nitrides. Very few data have
been published on residual stresses in nitrocar-
burizing, where the compound layer consists
mainly of £-carbonitrides with some oxygen
(Ref 6, 8,10).
Investigations have shown that compressive
stresses appearin the compound layer due to vol­
ume changes during s-crystal formation as a re­
sult of dissolved carbon from the matrix. This
phenomenon is clearly shown in Fig. 9 (Ref 9).
Due to the solubility of carbon in £-nitrides (car-
bonitrides), the carbide particles of the pearlite
grains in the interface are dissolved in £-crystals;
thus, the compound layer is “rooting” in the sub­
strate at the boundaries of pearlite grains. This
phenomenon causes compressive residual
stresses not only in the compound layer, but also
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). Thismay
well be explained by the almost similar intersti­
tial influence on lattice parameters of these ele­
ments.
Mathematical modeling of residual stresses in
Fie g Residual stresses in y'-nitride during cooling
from the nitriding temperature to room tempera­
ture. Source: Ref 28
compound layers has been little studied Com­
puter modeling of compound layer formation,
which is of crucial importance for the mathe­
matical formulation of stress patterns, was ini­
tiated in a few investigations (Ref 32, 41), but
the results fail to answer a number of basic ques­
tions. Both the kinetics of surface reactions in
nitriding and the thermodynamics of Fe-N-C
have not yet been satisfactorily elucidated The
very good model proposed by Sun and Bell (Ref
42) for the diffusion of nitrogen and the forma­
tion of nitride precipitates in the matrix also
gives only a few indications for the compound
layers.
Diffusion Layer
As was discussed earlier, a number of studies
present different aspects of the residual stresses
in nitridedlayers (Ref 14,22-24,26,28,31,32,
37, 43—49). The mechanism of nitriding causes
practically no differences in the phenomena in
the diffusion 1 ayer function of the applied tech­
nology. Due to its low solubility in the ferrite
matrix, nitrogen will form Fe4N-type nitride nee­
dles or precipitates in the diffusion layer sub­
strate. The presence of alloying elements will
modify the composition of the nitrides, resulting
in nitrides and carbonihides of the alloying ele­
ments (Ref 44, 45). Tile treating temperature
strongly influences both the structure and com­
position of the nitrides, but basically the kinetics
of diffusion layer formation will remain the same
for different industrial processes. Thus, the main
causes of the residual stresses are connected to
volume changes in the layer due to:
Fig. 9 Dissolution of carbides from pearl ite grains of the subsurface region in the s-type compound layer. TEM
Residual Stresses in Nitriding/213
• Formation of iron nitrides in the compound
layer
• Dissolved nitrogen in the ferrite matrix of the
layer
• Precipitation of different nitrides in the dif­
fusion layer
• D ecarburization in the diffiisi on layer
• Differences in theimal contraction between
the layer and the substrate during cooling
• Thermal volume misfits between the matrix
and precipitates, generating thennal residual
stresses during cooling from the process tem­
perature. (These volume misfits originate
from differences in the linear thermal expan­
sion coefficients of the precipitates and ma­
trix.)
Thus, it seems logical that the residual stress
level increases with increased nitrogen content,
respectively with increased number and volume
of the nitride precipitates. This was clearly
shown in the experimental work of several in­
vestigators (Ref 26, 28, 32, 40, 44, 45,50). It is
also important to emphasize that the residual
stresses may attain a maximum value limited by
the thermal-induced creep phenomena. Higher
values should cause plastic deformations and
thus a reduction of the stresses (Ref 45). Maxi­
mum stress levels are shown in Table 2. The
maximum compressive stresses are determined
primarily by the nitrogen concentration and less
by the structural phase itself. Due to the maxi­
mum of 0.1% nitrogen solubility in ferrite, the
stress level cannot be higher than —250 MPa
( - 35 ksi). In contrast to the development of re-
5 jim
214 / Residual Stress During Hardening Processes

sidual stresses in carburizing, there is no signifi­ tanium—form 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
elements—such 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
AIN -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
Surface distance —- 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
Surface distance
stresses, it may well be assumed that enhanced
nitrogen diffusion increases the residual stress
level.

Influence of Residual Stresses on

Fatigue Behavior of Nitrided Steel
Components

Residual Stresses and Bending Fatigue

Fig. 1 0 Increase of residual stresses as a function of the
concentration of nitride-forming elements in
steel. Source: Ref 45
Surface distance------- -
Decrease of residual stress level with increas­
Fig. 11 ing nitriding temperature. Source: Ref 45
Fig. 13 Effect of oxygen addition on the reaction rate
(k) in gaseous mtrocarburizing, as a result of
surface activation
Resistance
Nitrided surface layers (especially those that
have been nitrocarburized) have a clearly posi­
tive influence on both the bending fatigue and
surface fatigue behavior of steel components.
However, this positive effect is the result of a
rather complex mechanism. The surface of the
components usually presents a complex structure
after machining, with the characteristic Beilby
layer. The inner zone of this layer, consisting
mostly of deformed and partially damaged
grains and crystals, is the source of microcrack
initiation. These microcracks are extremely del­
eterious when friction combined with local
hertzian loading appears (gears, bearings, etc.).
The recrystallization associated with the disso­
lution phenomena in the surface film eliminate
these stress concentration points, thus reducing
the crack initiation hazard (Ref 38).
On the other hand, the considerable compres­
sive stresses in the near-surface region of the
compound layer further reduce the crack initia­
tion in this zone. Certainly, this effect is impor-
 Residual Stresses in Nitriding / 215

tant first of all in long-cycle fatigue behavior.
The compressive residual stresses in the diffu­
sion layer are of primary importance in reducing
the subsurface crack initiation, as well as the
crack propagation rate. However, remember that
the compound layer' also has a combined effect
with the diffusion layer. This can be illustrated
by comparing the fracture toughness of different
nitrided and nitrocarburized layers, using the re­
verse impending method (Ref 51). Figure 14
shows clear evidence of these differences, but
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, 52-54). 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 s-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
triding—with all its industrial versions—-is a
well-established and widely applied technology,
the mathematical description ofl ayer 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
I------------ specific form when mechanical loading com­
100 jim 50 rim
bines with a corrosive environment, as in many
(c) <d)
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
izing. (c) Plasma nitriding, (d) Plasma nitrocarburizing ples.
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
Conip ound layer greater the sliding loading effect, the closer to
Steel T}?e Thickness, pm Case hardness, HV03 cr^aXMPadoi) <W>>X MPa <ksi) Wóliler line exp o nent(c X k. the surface are these microcracks. Contact fa­
45MnV3BY Y' 8-10 535-550 -135 (-20) 499 (72) 15.8 tigue behavior of nitrided/nitrocarburized com­
s(y') 20-22 -185 (-27) 528 (77) 19.9 ponents depends on both the compound and the
20MnCr5N y' 8-10 660-680 -300 (-45) 574 (83) 19.3
diffusion layers. The compound layer has a posi­
s(Y') 22-24 -350 (-50) 593 (86) 29
20MnCr5QT y' 10 640-650 -255 (-35) 608 (88) 11.2 tive influence on sliding wear pr operties of the
rfy') 22-25 640-650 -315 (-45) 670 (95) 15.8 components, whereas the diffusion layer is the
s(y') 25 600 -260 (-40) 615(90) 15.3 support for hertzian, normal cyclic loads. This
composed structure leads to a significant differ­
(a) Oe, residual stress; depth below surface, 50 urn. (b) cr^ fatigue, when a nominal mean stress or residual stress is applied (long life alter ratingence 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
216 / Residual Stress During Hardening Processes

steels, because not only is the layer thickness trided nitrocarburized layers, but only a few at­ data on stress relaxation and on the redistribution
smaller, but the hardness gradient in the layer tempts have been made to develop a mathemat­ of carbon in the diffusion layer, some assump­
presents different shapes for the two different ical description of the layer-growth mechanism tions have to be made using measured residual
surface layers. Due to these differences, nitro- and the formation and distribution of residual stress profiles and carbon profiles from analysis
carburized surfaces show better resistance to stresses. Probable explanations for this situation by glow discharge spectroscopy. The plasma-ni­
sliding wear, but lower normal loading capacity may be connected to the complexity of the pa­ triding simulation program (PLASMA) devel­
may be expected. Compressive residual stresses rameters to affect the process itself, and to the oped by Sun and Bell (Ref 42) calculates the
in the diffusion layer also improve contact fa­ less critical effect on deformations and service profiles of nitrogen concentration, volume frac­
tigue resistance (Ref 37, 38. 41). According to behavior. No practical attempts have been made tion of the nitrides, and hardness as a function
to mathematically model the compound layer
Li et al. (Ref 37), the short-time plasma nitriding of distance from the surface. The modified pro­
formation and residual stress distribution. In
has a significant effect on the fretting fatigue re­ gram activates the stress simulation unit after
sistance ofEnl9 steel, increasing it by more thancontrast, a few remarkable studies may be found every 10 min of the simulated nitriding time. The
250%. Other sources state that there are no prac­on modeling the formation and stress-state of the time-constant for the relaxation must be pro­
tical differences between plasma-nitrided and diffusion layer. A model elaborated by Buch- vided experimentally.
gaseous-nitrided samples exposed to contact fa­ hagen and Bell (Ref 32) for the simulation of Extensive work on computer simulation of the
tigue, presuming the same type of layer structureresidual stress development in the diffusion layer formation of diffusion layers in nitriding chro­
was obtained (Ref 31, 39). of low-alloy plasma-nitrided steels considers the mium-alloyed steels was carried out by Schrei-
thermally controlled creep process, with the re­ ber et al. (Ref 23, 43, 50). The model developed
sidual macrostress being the driving force for assumes that the nitrogen in the diffusion layer
Modeling and Prediction of stress relaxation. is dissolved partly in the ferritic matrix and
Residual Stresses According to this model, the thermally in­ partly in nitride precipitates. The nitrogen dif­
duced stress was the temperature-dependent vol­ fusion generally takes place with a constant sur­
Modeling of the nitriding and nitroearburizing ume part of the constituents and their volumes face nitrogen concentration; at the beginning of
process is much less developed than modeling per metal atom. These volumes were considered the process the compound layer is formed and
of carburizing. Much experimental data exist separately for heating to the process temperature the diffusion of the dissolved nitrogen will be
concerning the structure and properties of ni­ and for cooling. Due to the missing quantitative determined by the equilibrium concentration on
the phase boundary between the ferrite and the
iron nitrides (the compound layer and the sub­
strate) (Ref 23). The total solubility thus is much
higher than in pure iron, because the strain
caused by the nitride precipitates leads to elastic
distortions of the matrix around the precipitated
particles. This excess nitrogen is determined by
the stress state caused by the misfitting nitrides
and the maximum solubility of the strain-free lat­
tice. C“0jN, and can be described by:

C'x = QN-exp(^;j (Eq 1)

4-0
o = ------------------ - -z-M
4
(Eq 2)
1 + --G -K
3

('o, N = A'exp¡577,¡ (Eq 3)

where A is a constant. O is activation energy. R

is a gas constant, T is temperature, Í "is the molar
volume of nitrogen in iron, G is shear modulus,
K is the compressibility of nitride precipitates, s
Surface distance, pm
is volume misfit, and M is the molar fraction of
Fig. 15 Calculated nitrogen concentrations for iron and FeCr alloys. 550 °C (1020 °F) 10 h. Source: Ref 50 the precipitates.

Table 4 Structure of nitrided layer and fatigue limit (aK = 1)

Hardness, Stress-intensity
HV03 Ncd (b) <rE(c) "id (<■) factor
Steel (a) Case Core nun in. MPa ksi MPa ksi Wohler line exponent (e), k Ratio of increase (f) MPa ksi
20MnCr5N 630 190 0.42 0.017 -365 -53 490 70 14.1 1.55 15.7 2.3
20MnCr5QT 600 260 0.24 0.009 -360 -52 640 90 13.0 1.22 16.7 2.4
600 250 0.44 0.017 -430 -60 670 100 9.3 1.28 18.9 2.7
590 250 0.56 0.022 -235 -35 745 108 9.2 1.49 21.9 3.2
C45QT 470 250 0.60 0.023 -140 -20 760 110 18.5 1.60 23.7 3.4

(a) Neds nitrided case depth, (b) Pretreatment: N, normalized; QT, quenched and tempered, (c) ge, residual stress; depth below surface, 50 pm. (d) gad, fatigue, when a nominal mean stress or residual stress is applied (long
life alternating strength); rotating bending test: P = 50%; diameter, 7 mm. (e) For high-cycle fatigue: P = 50%; (f) g^ nitrided/g^ unnitrided for P = 50%. Source: Ref 52
 Residual Stresses in Nitriding/ 217

The fraction of the precipitated nitrides, W (t), where DMe is the diffusion coefficient of the al­ where Z.)N is the diffusion coefficient of nitrogen
can be described by the following Avrami equa­ loying element; re is the equilibrium radius of and k { 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 (Eq4i itate, and at the phase boundary of the precipitate ary condition is given by the sum of nitrogen
respectively. concentration () in strained and (CqjN) 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 - A, _ r\) 5C 82C 8 W'
tion of the distance from the surface, the strain
(Eq 5) -iM gp-) + 2 M — (Eq6) distribution due to volume change is given.
cm A ^ ' 0\[ e gf 8f
The total strain increment consists of three
components:

déx = d&f + def + á#1# (Eq7)

The elastic strain component is given by

Hooke’s law:

(Eq 8)

The strain due to volume change is given by the

volume misfit between nitride and matrix (AF7
V ) and the volume fraction of precipitated alloy­
ing element CME:

= 2 «’meVj i^!_ (Eq 9)

For plastic strains, thermally induced creep is

taken into account and described with a Norton
equation:

(Eq 10)

where A and n are constants.

Using the mechanical equilibrium condition
for an endless plate with thickness d.

j of(:)d: = 0 (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 pm 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 art FeAlC alloy with 0.0 wt% Al and 0.15 \vt% C, 590 °C (109$ F). Source: The calculated decrease of stress near the surface
Fig. 17
Ret 50 is lower than the measured one. This effect is
218 / Residual Stress During Hardening Processes
connected to the stress relaxation due to surface
decarburization.
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Induction Hardening
J. Grum, University of Ljubljana, Ljubljana, Slovenia
INDUCTION SURFACE HARDENING of­
fers a number of advantages over other heat
treatment methods. The most important advan­
tages are short heat treatment times, good re­
peatability concerning the hardened-layer qual­
ity, small or negligible subsequent distortion,
and a minimum subsequent product surface ox­
idation. Induction hardening offers good possi­
bilities for automation and can be incorporated
into a manufacturing cell (Ref 1,2).
Induction surface hardening is applicable to
axisymmetric or near-axisymmetric steel or cast
iron machine parts that are produced in substan­
tial volumes. There are two basic techniques for
induction hardening of machine parts: “single
shot” and “scanning.” The former employs se­
lective heating and quenching to harden a spe­
cific area or areas of the machine part in one
operation. The latter is usually applied to pro­
gressively harden long, continuous sections such
as shafts and spindles. In this instance, the scan­
ning inductor traverses the length of the section,
heating only a relatively small area at any given
time, and is followed closely by the quench ar­
rangement, which is often an integral part of the
inductor (Ref 1, 3).
A basic characteristic of induction hardening
is that heat is generated in the workpiece due to
the skin effect. If a ferromagnetic material is sur­
rounded by a load coil or inductor through which
high-frequency alternating current passes, flow
of eddy currents is induced in the surface layer
of the workpiece due to the alternating magnetic
field. The flow of these currents heats the work-
piece. The mode of heating may be influenced
by the workpiece arrangement in the inductor as
well as by electric parameters. Heating is very
fast and very reliable. Consequently, induction
heating, that is, induction hardening, has become
successfully established in automated produc­
tion systems. Induction heating is suited to
small, medium-size, and large, as well as ex­
tremely large, machine parts since, by varying
energy input, heating to the required temperature
and the specified case depth may be ensured.
Flame hardening is suited mostly for individ­
ual hardening of parts with large dimensions and
of comparatively uncomplicated shapes. A char­
acteristic of flame hardening is that a gas mixture
is burning at the blowpipe outlet and thus indi­
rectly heating the part surface. The machines, de­
vices, and accessories used in flame hardening
are comparatively simple and inexpensive, but
the process requires an operator with much ex­
perience in blowpipe positioning if a uniform
case depth without softer areas within the hard­
ened layer is to be obtained (Ref 4, 5).
Recent hardening processes related to surface
hardening are laser hardening (Ref 6, 7) and
electron beam hardening (Ref 8). In both cases,
heat is generated in the surface layer of the work-
piece due to the interaction of the beam and the
material. From the heat treatment point of view,
laser can be considered a versatile and flexible
high-intensity heat source that can operate in air.
It is capable of undertaking a range of processes,
essentially simultaneously, since the laser beam
can be directed through air by metal mirrors and
switched and shared among a number of work­
stations. Manipulative techniques using mirrors
allow the beam to be directed to the areas not
accessible by other techniques, for example, the
bores of tubes (Ref 6, 7).
Deficiencies of laser hardening are a very low-
energy efficiency in transformation of electric
energy into heat energy and a comparatively
high cost of investment. Laser hardening has
lately become successfully established for the
following specific applications only:
• Hardening of small products of intricate
shapes, which are hard to adapt to induction
heating
• Hardening of small internal surfaces such as
small boreholes for which inductors small
enough cannot be produced
• Hardening of parts with exacting shapes, with
which admissible distortion is exceeded in in­
duction hardening
From the technology viewpoint, these surface
hardening processes are very much alike since
they all have to ensure adequate energy input and
the case depth required. In the same manner, re­
gardless of the hardening process applied, in the
same steel the same microstructural changes,
very similar microhardness variations, and simi­
lar variations of residual stresses within the hard­
ened surface layer may be achieved.
In induction hardening, the surface of suitable
materials—usually plain-carbon or low-alloy
steels or cast irons-—is austenitized and then
quenched to produce a hard martensitic surface
layer, which is usually tempered in a subsequent
operation. Case depths normally range between
0.5 and 5 mm. Case hardnesses amount typically
to around 700 HV after hardening and range be­
tween 600 and 650 HV after tempering at 180 to
220 °C (Ref 1).
Normally the hardening process also intro­
duces compressive stresses into the surface lay­
ers, leading to an improvement in fatigue prop­
erties. Hardened parts—always ground because
of their high hardness—require a minimum level
of final grinding. This can only be achieved by
a minimum oversize of a machine part after hard­
ening, thus shortening the final grinding time and
reducing costs of the final grinding to a mini­
mum. With an automated manufacturing cell,
one should be very careful when selecting indi­
vidual machining processes as well as machining
conditions related to them. Ensuring the required
internal stresses in a workpiece during individual
machining processes should be a basic criterion
of such a selection. In those cases when the in­
ternal stresses in the workpiece during the ma­
chining process exceed the yield stress, the
operation results in workpiece distortion and re­
sidual internal stresses. The workpiece distor­
tion, in turn, results in more aggressive removal
of the material by grinding as well as a longer
grinding time, higher machining costs, and a
less-controlled residual stress condition. The
workpiece distortion may be reduced by subse­
quent straightening, that is, by material plasti­
cizing, which, however, requires an additional
technological operation, including appropriate
machines. This solution is thus suited only to
exceptional cases when a particular machining
process produces the workpiece distortion re­
gardless of the machining conditions. In such
cases, the sole solution seems to be a change of
shape and product dimensions so that material
plasticizing during the machining process can be
prevented.
It is characteristic of induction hardening that
machine parts show comparatively high com­
pressive stresses due to a lower density of the
martensitic surface layer. The compressive
stresses in the surface layer act as a prestress on
the most strongly loaded surface layer, which in­
creases the load capacity of the machine part and
prevents crack formation or propagation at the
surface. The machine parts treated in this way

are suited for the most exacting thermomechan­
ical loads since their susceptibility to material
fatigue is considerably lower. Consequently,
much longer operation life of the parts can be
expected.
Residual internal stresses, that is, the so-called
residual stresses, are the stresses present in a ma­
terial or a workpiece/machine part when there is
no external force and/or external moment acting
upon it. The residual stresses in metallic machine
parts have attracted the attention of technicians
and engineers only after manufacturing pro­
cesses improved to the level at which the accu­
racy of manufacture exceeded the size of defor­
mation, that is, distortion, of a workpiece/
machine part.
Thus it was in the 1850s that the effect of in­
ternal stresses on plastic strain, for example, of
machine parts was already known. It was then
that experts introduced measurement of individ­
ual dimensions of machine parts. For a given
type of machining process, they connected the
influence of the selected machining conditions
with the size of deviations of dimensions. This
was also the beginning of an expert approach to
the selection of the most suitable machining con­
ditions based on the criterion of minimum de­
viations of dimensions, that is, minimum ma­
chine part distortion. Still, at the time of
publication, measurement of individual machine
part dimensions is a very practical, uncompli­
cated, and reliable method of machine part qual­
ity assessment.
The surface and surface-layer conditions of
the most exacting machine parts, however, are
monitored increasingly by means of the so-
called “surface integrity.”This is a scientific dis­
cipline providing an integral assessment of Hie
surface and surface layers and defined at the be­
ginning of the 1960s. For high-quality machine
parts and products subjected to heavy thermo­
mechanical loads, different levels of description
of the surface integrity were defined. A basic
level of the surface-integrity description includes
measurement of roughness and the analysis of
microstructure and microhardness in the thin
Strip heatin
g.
con tour harde
ling.
singl3-shot hare
ening
* Preh sating *» it/*’
t — n, \%
f# %1
v*
# power at the frequency required by the induction
* *i
Tem uering ling
% ...... s can harder
1 ------- -------- -------- -------- -------- 3
10-2 10-1 1 io 102 10
Frequency (f ), kHz
Typical power/frequency regions of induction
Fig. 1 heat treatment applications. Source: Ref 13
surface layer resulting from the machining pro­
cess under given machining conditions. The sec­
ond level of the surface-integrity description in­
cludes studies of residual stresses in the surface
layer and of mechanical properties of the given
material. The third level of the surface-integrity
description includes tests making clear the be­
havior of the given part during machining. More
detailed information on the levels of surface in­
tegrity description may be obtained in Ref 9 and
10.
The previous paragraphs indicate that the
knowledge of residual stresses in induction hard­
ening alone does not peimit a reliable assessment
of the influence of the sum of the residual
stresses present on the behavior of a machine
part in an assembly under given thermomechan­
ical loads.
Characteristics of Induction
Hardening
Induction heat treatment is a segment of the
much larger technical field of induction heating,
which combines many other industrial processes
using the phenomenon of heating by induction
(Ref 11-14).
Induction heating is often one of the most ef­
fective heat treatment processes available for a
variety' of applications including surface hard­
ening, through-hardening tempering and stress
relief, annealing and normalizing, grain refine­
ment, precipitation hardening or aging, and sin­
tering of powdered metals.
In most of these applications, induction heat­
ing is used to selectively heat only the portion
of the workpiece that requires treatment (Ref 1,
15, 16). This usually means that the process can
be accomplished in a relatively short time and
with high efficiency because energy is applied to
the workpiece only where it is needed.
One of the main features of induction heating
compared with conventional heating procedures
is that heat is generated in the workpiece itself.
In conventional heating procedures the heat in­
put achieved is only 5 to 200 kJ/m2 • s energy,
whereas in induction heating this energy input is
300 MJ/m2 • s. In induction heating, heat pen­
etrates the workpiece with the aid of high-
frequency alternating current; the choice of fre­
quency depends on heating requirements.
Induction heating power supplies are frequency
changers that convert the available utility-line
frequency power to the desired single-phase
heating process. They are often referred to as
converters, inverters, or oscillators, but they are
generally a combination of these. The converter
portion of the power supply converts the line-
frequency alternating-current input to direct cur­
rent, and the inverter or oscillator portion
changes the direct current to single-phase alter­
nating current of the required heating frequency.
Many different power supply types and mod­
els are available to meet the heating require­
ments of a nearly endless variety of induction
Induction Hardening/221
heating applications (Ref 13). The specific ap­
plication will dictate the frequency, power level
(Fig. 1), and other inductor parameters such as
coil voltage, current, and power factor (cos cp) or
Q factor.
In induction surface hardening, it is necessary
to carefully plan individual characteristic phases
of manufacture of machine parts, which are:
• Design of a machine part from a blank to its
final shape with additions for final grinding
• A technique and conditions of surface induc­
tion heating
• A technique and a quenching process
• Tempering the surface layer after hardening
• Final machining of the machine part by grind­
ing
The selection of a blank is related to various
steel semi-finished products or various primary
forming processes such as casting, working, and
so forth. Various shapes of blanks do not influ­
ence the selection of the conditions of induction
heating, but they result in different variations of
residual stresses, which have to be considered
together with quenching residual stresses.
Because of the character of the forming pro­
cess itself, particularly the prescribed thermo­
mechanical conditions of forming the blank, the
expected stress state is obtained. Further forming
of blanks by cutting also produces changes in the
stress state depending on the machining process
applied and the machining conditions. Very of­
ten with very complex workpieces, the thermo­
mechanical conditions can cause a certain dis­
tortion of workpiece dimensions in addition to
residual stresses. No studies treating a relation­
ship between the stress state in the workpiece
after priman' forming and that after secondary
forming could be traced. The primary reason is
that the primary forming, that is, blank shaping,
is usually carried out in one company and the
secondary forming, that is, manufacture of a final
product, in another. It has also been proved that
with suitable heating conditions in different heat
treatment processes, certain heat effects charac­
teristic of a certain annealing process that affect
the range of residual stresses can be obtained.
The difference between induction heating and
furnace heating is related to considerable
changes of heating times and rates up to the har d­
ening temperature and, consequently, to heating
costs. Induction hardening is most often used for
surface hardening of machine components and
has the following advantages over other proce­
dures (Ref 1, 5, 11):
• Heating times are relatively short.
• Heating procedure is not strictly governed by
hardening temperature. All that matters is that
the heating process does not end at a tem­
perature low enough for transformation into
austenite to occur'. The maximum temperature
of heating is limited by the solidus-line tem­
perature, since the process is to be carried out
while the material is in a solid condition.
With a short heating time, there is no danger
that at higher austenitization temperatures the
222 / Residual Stress During Hardening Processes
austenite grains would grow, which also
means that there is no danger of formation of
coarse and brittle martensite .
• The quenching procedure is easy to perform,
contributing to short surface hardening times.
In progressive induction hardening, a spray
coil is located right beneath the inductor, di­
rectly quenching the heated surface. In single-
102 103 104
Power density (O), W/cm2
F¡o 2 Reference depth of skin effect as a function of
*7* power density and selected generator frequency
for ferromagnetic steel. Source: Ref 1
Hardened depth (z), mm
F¡g 3 Influence of high-frequency generator on selec-
® tion of power density and heating time with
given thickness of surface induction hardened layer.
Source: Ref I
shot hardening, the inductor is designed so
that it heats as well as quenches. The coil
around the workpiece functions as an induc­
tor in the heating phase, and after the austen­
itization temperature has been reached Hie
current is interrupted and the coil starts func­
tioning as a quenching spray.
• Induction hardening is a short procedure that
does not require any additional protection
against oxidation. Thus, compared with other
similar procedures such as cementation, it
does not require much subsequent machining.
• Because of the nature of the procedure, the
workpieces are less susceptible to undesirable
deformation after induction hardening, espe­
cially if they are symmetrical. The volume
changes in the workpieces after hardening the
surface layer can be very accurately predicted
or estimated. The volume changes after in­
duction hardening of thin layers are so small
that quite often the function of the machine
component is not affected.
• Especially in induction hardening of thin lay­
ers and workpieces with low mass, it is pos­
sible to achieve the desired critical cooling
rate by self-cooling in air alone, that is, by
heat conduction from the heated surface layer
into the remaining cold part of the workpiece.
With thicker layers and workpieces of greater
mass, it is necessary to use such quenching
agents that move the actual cooling rates
close to the critical cooling rate. These re­
quirements can be met with the nght selection
of quenching oils or polymer water solutions.
Practical experience has shown that polymer
water solutions are very suitable for quench­
ing induction-heated surfaces, since with the
right choice of concentration of the polymer
water solution optimal quenching can be en­
sured.
• The induction hardening procedure enables
the engineer, by simply adapting the shape of
the induction coil, to ensure a desired shape
of the hardened profile of the surface layer.
Likewise, the engineer can surface harden
only that part of the surface (local hardening)
on which a certain increased level of hardness
and wear resistance are wanted. One of the
main advantages of induction hardening is
that it makes it possible to harden a surface
layer only on certain places, at defined pen­
etration depth and shape.
• Induction hardening can be fully automated
and is especially suitable for large series of
workpieces.
• Induction hardening always leaves compres­
sive residual stresses in the surface layer,
which make machine components more resis­
tant to dynamic loads. Compressive residual
stresses in the surface layer after induction
hardening prevent the occurrence of cracks in
dynamically loaded components and prevent
the growth of existing cracks on the work-
piece surface if these are present due to hard­
ening or hardening and grinding.
• Induction hardening is appropriate for small­
sized workpieces, since by well-chosen tech­
nology of heating and cooling or quenching
one can ensure a hardened surface layer and
a refined core. Thus one can create the re­
quired wear resistance of the machine com­
ponent on a certain location as well as the
required load-bearing capacity of the com­
ponent with only a slight loss in toughness of
the core.
In induction heating there are a number of pa­
rameters influencing the heating process with the
given heat treatment. This article discusses the
influence of individual parameters on surface in­
duction hardening. In surface induction harden­
ing the heating conditions should be treated as a
system consisting of a high-frequency generator,
an induction loop, and the workpiece, which has
to be defined by the characteristic system param­
eters.
The course of surface induction hardening de­
pends on:
• The type of steel or cast iron
• Electrical and magnetic properties of the ma­
terial
• The effect of the primary material microstruc­
ture on the properties of the hardened micro­
structure
• The time/temperature relationship in induc­
tion hardening and possible tempering
• The selection of power density and current
frequency
• The workpiece shape and the shape of the
hardened surface layer
• A correct execution of the coupling between
the induction loop and the workpiece
• Selection of appropriate heating and harden­
ing processes
• Selection of the induction loop with or with­
out magnetic-flux concentrator
Time/Temperature Dependence in
induction Heating
The time variation of temperature in induction
heating of the thin surface layer depends on the
type and shape of the induction coil used,
alternating-current frequency/(Hz), and power
density Q (W/cm2). Power density is defined by
the selected power of the high-frequency (HF)
generator and the surface layer of the workpiece.
Surface heating depends on the coupling be­
tween the induction coil and the workpiece. Fig­
ure 2 shows the influence of the selected power
density and frequency on the reference depth of
the skin effect in a ferromagnetic material. A
higher power density results in a greater refer­
ence depth of the skin effect and a greater depth
of the heated layer with the same maximum tem­
perature obtained at the workpiece surface. (Ref
1). Figure 3 shows the interdependence between
the heating parameters—that is, power density
and generator frequency—as a function of the
specified depth of hardened layer and the heating
time required for single-shot teclmiques of sur­
face induction hardening (Ref 1). Although the
data supplied by the diagram provide basic in-

formation, they make the selection of an optimal
surface induction condition easier. With the
scanning technique of surface induction hard­
ening, however, instead of time, the speed of
workpiece movement ensuring the depth of
hardened layer required should be defined. Gen­
erally, it may be stated that longer heating times
are required with smaller power densities and
vice versa. Also, for the same depth of hardened
layer, longer heating times are required with
lower current frequencies. With regard to the
depth of hardened layer selected between 0.5 and
10.0 mm, generator frequencies of 450, 10, and
3 kHz can be selected in the single-shot surface
hardening technique, in which case appropriate
power densities between 2 and 50 MW/m2 are
obtained. With lower high frequencies such as
10 kHz, the same depth of surface hardened
layer, that is, 2.0 mm, can be ensured only in the
cases when the power density is changed to 50
MW/m2. The lowest generator frequency, that
is, 3 MW/m2, shown in Fig. 3, cannot ensure the
depth of hardened layer smaller than 2.5 mm.
Immediately after tempering an intensive inverse
heat flow is also expected.
With the surface heat treatment processes, the
influence of the selected heating and quenching
conditions on the depth of hardened layer and
the size of transition zone between the hardened
microstructure and the unhardened layer is often
studied. One simple and practical procedure to
control surface heat treatment is measurement of
the time variation of temperature from the be­
ginning to the end of the heating process and
then also from the beginning to the end of the
quenching process. The heat process can be
changed by changing the power density and the
generator frequency, whereas the quenching pro­
cess can be changed by selecting different
quenching agents and quenching processes. Fig­
ure 4 shows the time variation of temperature at
the surface during heating and quenching as well
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).
Fig. 4 Variation of temperature cycles of surface and
core in surface induction hardening. Source:
Ref 17
The total time variation of temperature during
both heating and quenching is called the descrip­
tion of the surface heat treatment process by ther­
mal cycles, which maybe divided into those de­
pendent on heating and those dependent on
quenching. The same figure also shows thermal
inversion in workpiece quenching when the core
temperature during quenching is higher than the
workpiece surface temperature.
Denis and coauthors (Ref 18) presented dif­
ferent physical models to describe different pro­
cesses occurring in the material during surface
induction hardening. The authors analytically
treated studies of a cylindrical specimen 16 mm
in diameter and 48 mm in length and made of
hypoeutectoid carbon steel with 0.43% C. The
theoretical study was then verified by appropri­
ate experimental methods. The experimental ver­
ification was to confirm the size of the expected
error of individual characteristic quantities, for
example, variation of temper afine/time cycles,
variation of through-thickness microhardness of
the cylindrical specimen, and the through­
thickness variation of residual stresses.
Figure 5 shows the measured and calculated
temperature cycles for the surface, the core, and
in a radius r of 7 mm at a depth of 1 mm in the
cylindrical specimen (Ref 18). A comparison of
the temperature cycles shows that in surface in­
duction hardening a thermal flow of 3 MW mm
in heating and that of 5.8 MW/mm2 in quench­
ing were selected. Under such heating condi­
tions, a maximum temperature of nearly 1000 °C
was attained while heating above 800 °C was
somewhat slowed down. The data in the diagram
show that the time required for heating the spec­
imen from the ambient temperature to that of 800
°C is equal to the time required for heating from
the latter to the maximum temperature obtained
at the surface, that is, 1.6 s. A temperature cycle
at the surface takes 3.2 to 3.3 s. The temperature
differences between the surface and the core in
induction Hardening / 223
a given moment are the greatest during the heat­
ing process, A7max = 600 °C. During the
quenching process, however, they can reach up
to 360 °C. Temperature gradients change much
more in heating than in quenching. In material
heating, there is also a great difference in yield
stress of the material, which can produce plastic
deformation of the material. Another very im­
portant finding of the authors (Ref 18) is that the
theoretical model is appropriate since the results
obtained were confirmed by the standard exper­
imental methods such as temperature measure­
ment with thennocouples, diamond pyramid
hardness test, and measurement of residual
stresses with x-ray diffraction. The difference
between the measured and the calculated tem­
perature cycles is very small. It occurs mostly in
heating and reaches up to 60 °C at maximum not
taking into account the losses due to eddy cur­
rents.
Figure 6 shows two temperature cycles. One
of them takes account of the influence of the en­
thalpy of phase transformations in the physical
model of surface induction heating and quench­
ing for the surface and the core, and the other
does not. A comparatively small influence of the
enthalpy of phase transformations on the thermal
cycles, however, confirms the small influence on
the changes of the stress state of the cylindrical
specimens during the process of surface induc­
tion hardening (Ref 18).
Brfickner and coauthors (Ref 19) determined
the through-thickness temperature variation for
a thin cylindrical plate with a diameter of 120
mm and made of steel Ck45 for hardening and
tempering and for surface hardening with the fi­
nite element method. Figure 7, which shows the
temperature changes from the surface toward the
core, also shows that after 14 s a maximum tem­
perature of 870 °C is reached at the surface. It is
liigher than the temperature of magnetic trans­
formation, which is around 750 °C. The through-
224 / Residual Stress During Hardening Processes
thickness temperature variation confirms a slow
change of temperature in the surface layer and
ensures, after quenching, a slow transition from
compressive to tensile residual stresses in the
thin surface layer. This slow change of tempera­
ture m the transition zone should be obtained by
an optimal heating condition to attain the desired
variation of the stress state in the surface layer
and to enhance fatigue strength.
Figures 8 and 9 show the variation of tem­
perature from the surface to the core in a round
plate with 30 mm in diameter. Figure 8 shows
Hie through-thickness temperature variations
from the surface toward the core in a cylindrical
Time (f), s
pig 5 Variations of temperature cycles of surface and core considering enthalpy of phase transformations and without
it. Source: Ref 18
Fig. 7 Calculated time variation of through-thickness ® specimen cross section in induction heating with
temperature in surface induction heating by the volume power density Q of 2.4 X 1 03 MW/m3 and differ-
finite-element method. Source: Ref 1 9
specimen after different heating times (Ref 19).
In the diagram the austenitizing temperature,
Ta3 — 800 °C, and the highest temperatur e ob­
tained at the surface, TA = 900 °C, are indicated.
With a final heating time t of 9 s and a volume
power density Q of 2.4 X 103 MW/m3, the high­
est temperature difference ATsc max between the
core (C) and the surface (S), that is, around 450
°C, was obtained. The high temperature obtained
increases slightly in the core due to the cooling
process in the surface, which can have a bene­
ficial influence on residual stress relief. Residual
stress relief can be ensured by heat transfer from
the central part of the specimen to the surface
pjo 8 Calculated time variation of temper ature through
ent heating times. Source: Ref 19
immediately after quenching. In any case, it is
desired that after quenching the temperature Tt
due to the inverse thermal flow does not increase
above 180 to 220 °C after core cooling by heat
transfer toward the cold surface. This is the only
way to ensure tempering of tetragonal martensite
and a possible change of the residual austenite
immediately after hardening.
Figure 9 shows the variation of temperature
from the surface toward the core with various
volume power densities 0 = 0.4 X 103, 1.2 X
103, and 2.4 X 103 MW/m3 (Ref 19). With
smaller volume power densities also the maxi­
mum temperature differences between the sur­
face and file core become smaller and the aus­
tenitizing times longer. Because of higher
temperatures attained in the core, one should be
aware of the fact that the inverse heat flow may
be so high as to produce even a change in mi­
crostructure and thus, consequently, reduction of
hardness in the surface layer.
Figure 10 shows the influence of specimen
mass on the heating time with the same volume
power density and the same maximum final heat­
ing temperature of the surface 7max, 900 °C (Ref
19). The maximum temperature in the core
should also be mentioned. With the longest di­
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
that of 30 mm to 450 °C. The data on the vari­
ation of temperature from file surface toward the
core permit a conclusion that for the specimen
with the greatest mass and the diameter of 120
mm additional induction heating of the surface
should be ensured to allow tempering of the sur­
face layer.
Melander (Ref 20) and file author quoted in
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
Radius (r), mm
F¡o g Calculated variation of temperature through
specimen cross section in induction heating up
to hardening temperature with different volume power
densities. Source: Ref 1 9

surface hardening. For an analysis, a represen­
tative size of machine parts, for example, a cy­
lindrical specimen 40 mm in diameter, was cho­
sen. Induction-heating conditions were selected
so that the temperature of the diameter TAi was
exceeded to a depth of 5.0 mm. This means that
a change of microstructure and hardness was ex­
pected even to the depth of 5.0 mm, where only
partial austenitization was obtained. Such
induction-heating conditions were chosen that
the surface layer was subjected to heating for up
to 35 s. Time variations of temperature at the
surface of the cylindrical specimen and in its
subsurface in the depths of 2.0, 4.0, and 10.0 mm
are shown in Fig. 11. Time/temperature dia­
grams differ from the previous figures since a
distinctive deviation occurs in heating the spec­
imen material when the temperature of magnetic
Radius (r), mm
pig "I 0 Calculated variation of temperature through
® specimen cross section in induction heating of
specimens of different masses up to given hardening tem­
perature. Source: Ref 19
Time (f), s
Fig. 11 Time/tempera ture cycle during single-shot sur­
face induction heating and quenching. Source:
Ref 20
domain TAl is reached and exceeded. The course
of surface heating indicates that the transforma­
tion temperature Tty, was obtained in 10 s. In
spite of the same power density, further heating
of the surface up to 850 °C was very slow due
to nonmagnetic character of the surface layer of
steel and took another 28 s. Which models of
induction heating are more suitable than others
is difficult to assess. It turned out, however, that
the heating process suggested more reliably en­
sured a homogeneous, fine austenitic microstruc­
ture giving, after quenching, the finest martensite
with the highest possible hardness of the given
steel. Because of the presence of alloying ele­
ments and high rates of cooling of the surface
layer, in addition to fine martensite up to 3%
residual austenite also appears. Based on the
time/temperature variation of heating, it can be
evaluated that the depth of hardened layer ranges
between 2.0 and 4.0 mm. From the time/tem-
perature variation in the depth of 10 mm it can
be assumed that the specimen was heated
through the entire volume, that is, to the very
core of the specimen. Because of a different time
variation of temperature of the fourth tempera­
ture cycle, it may be concluded that the maxi­
mum temperature obtained at the depth of 10
mm is lower than the magnetic transformation
temperature of the given steel. Because of strong
overheating of the cylindrical specimen toward
its center, lower temperature gradients occur, re­
sulting in a reduction of thermal stresses during
the heating process. Because of a comparatively
high temperature in the core, temperature gra­
dients between the surface and the core are gen­
erally lower, producing a decrease of axial in­
ternal stresses generated during quenching and
also a decrease of axial residual stresses.
Langeot and Delalean (Ref 23) treated nu­
merical simulation of the induction heating pro­
cess for materials and machine parts from in­
dustrial practice. A general method of modeling
is based on knowledge of the magnetic field sur­
rounding the induction loop with the inserted
specimen, that is, workpiece. Knowledge of the
temperature field in the workpiece, namely, per­
mits an analysis of momentary conditions in the
material during working, for example, strain,
stress state during induction heating and quench­
ing, and residual stresses. During the heating
Fig. 12 Langeot's method of mathematical modeling of surface induction heating and quenching. Source: Ref 23
Induction Hardening / 225
process as well as the quenching process, various
thennokinetic changes of microstructure affect­
ing volume changes, development of internal
stresses, and distortion of machine parts occur;
therefore, knowledge of changes of material
properties such as yield stress of individual
phases which in the given moment compose the
microstructure, permeability, and electric con­
ductivity, as a function of temperature is indis­
pensable.
The entire process of evaluation, that is, mod­
eling, of surface induction hardening is shown
in Fig. 12. Modeling of the induction heating and
quenching processes includes following essen­
tial numerical calculations (Ref 23):
1. Determination of a relationship between the
density of induced currents and the tem­
perature field created in the specimen ma­
terial (Joule heating effect)
2. Influence of a temperature on electrical and
magnetic properties of the material
3. Determination of the influence of the in­
duced currents or the magnetic field in the
material on transformation of microstmc-
tural phases in the material
4. Determination of the influence of individual
microstructural phases in the workpiece ma­
terial on electromagnetic properties of the
material
5. Description of mechanical characteristics of
the material as a function of temperature
6. Description of the relationship between heat
energy and mechanical strains
7. Description of volume changes due to phase
transformations
8. Description of transformation plasticity in
phase changes during heating and quench­
ing
9. Influence of latent heat of phase transfor­
mations on individual characteristics of
surface-induction hardening
10. Description of phase transformations as a
function of thermokinetic processes during
surface-induction heating as well as quench­
ing
11. Influence of strain and distortion of machine
parts on magnetic and electrical properties
of the material
226 / Residual Stress During Hardening Processes
12. Influence of the magnetic field in the mate­
rial on the development and magnitude of
strain and distortion
The authors of Ref 23 focused primarily on
Hie treatment of electric energy transforming into
heat energy, making possible heating of the
workpiece material. Heat energy in the work-
piece material is represented by temperature
fields in the workpiece near the induction loop.
Unfortunately, the authors deal with the issues
primarily from the viewpoints of electromagne­
tism and quality assessment of the numerical cal­
culation procedure proposed for individual ther­
momechanical characteristics of the workpiece
material during heat treatment. The thermome-
chanical characteristics are plotted graphically as
temperature fields obtained during induction
heating, and as graphical charts of microstruc-
tural changes and sizes, namely, shapes, of the
hardened surface layer. A comparison of the nu­
merical results obtained in the thermomechani­
cal state during and after surface induction heat­
ing with those obtained by other authors is very
difficult since standard presentations of the re­
sults of thermomechanical characteristics such
as time variation of temperature and time vari­
ation of the stress state as well as the size and
variation of residual stresses after hardening are
missing.
Inoue and coauthors (Ref 24) treated numeri­
cal simulation of single-frequency and dual­
frequency surface induction hardening of gear
wheels. Machine parts such as a gear wheel
should show appropriate surface hardness and
through-depth hardness profile of teeth as well
as toughness so that tooth surfaces are highly
wear resistant and the root of tooth is tough
enough to withstand dynamic loads as well as
unexpected mechanical loads. Gear wheels are,
therefore, most often case hardened, but they can
also be nitrided and surface induction hardened.
Dual-frequency induction hardening is related to
Relationship between magnetic field and thermomechanical state of workpiece material in numerical mod­
Fig. 13
eling of surface induction hardening. Source: Ref 24
the selection of an appropriate preheating pro­
cedure with a current having a mean frequency
of 3 to 10 kHz and very fast further heating with
a high frequency of 100 to 250 kHz, which
should be followed by suitable spray quenching.
Practical results confirmed that such a surface
induction hardening process permits, in surface
hardening, the best properties of machine parts
in terms of hardness magnitude and variation in
the hardened layer, high compressive residual
stresses in the surface layer with a minimum dis­
tortion of machine parts, and a sufficiently tough
core to be obtained.
The authors had already reported on simula­
tion of dual-frequency induction hardening
based on a metallothermomechanical model (Ref
24). With this model, the influence of the mag­
netic field on heat generation in the workpiece
due to eddy currents in relation to analyses of
mechanical fields and microstructural changes
was analyzed. Such an approach was needed
since Joule heat is generated in the workpiece
material during induction heating due to eddy
currents, which depend on the current supplied
to the coil, and the temperature dependence of
permeability of the workpiece material should be
taken into account as well. The numerical cal­
culations were related to the formation of the
magnetic field in the workpiece material; thus, it
was necessary to elaborate a comprehensive
electrothermomechanical model to relate electri­
cal quantities to material heating and then, at the
second stage, to relate temperature to the me­
chanical calculations required. The authors,
therefore, suggest the establishment of a com­
plete relationship between the magnetic and ther­
momechanical fields in the workpiece material.
The thermomechanical analysis takes as a basis
the temperature field formed due to the action of
the magnetic field and relates to the temperature
dependence of magnetic properties. The heat
generated in the workpiece material by a tem­
perature field permits establislunent of a numer­
ical relation between the formation and devel­
opment of the microstructure, internal residual
stresses, and distortion. In Fig. 13, the authors
show the principle of relationship between the
magnetic field generated in the workpiece ma­
terial and the changes of thermomechanical
properties of the material (microstructure, yield
stress) for the determination of the stress-strain
state of the workpiece material (Ref 24).
A technique of numerical calculation consists
of two separated analyses shown in Fig. 14—the
metallothermomechanical analysis and the elec­
tromagnetic analysis to establish heat generation
during heating and calculate thermomechanical
fields for the characteristics selected (Ref 24). A
heat increase in the workpiece was simulated by
the electromagnetic analysis of the field for each
step, taking into account momentary tempera­
tures obtained in file material, its permeability,
and conductivity. These data were then trans­
ferred to another group of analyses based on a
description of the state of microstmcture for the
determination of stress-strain state of the ma­
chine part. The whole procedure was iterated
starting with calculations of the ambient tem­
perature and ending with a maximum tempera-
ture of induction heating, which was followed
by quenching. Magnetic permeability generally
depends on magnetic field intensity as well as on
a momentary temperature of the material of the
machine part at the spot considered. In the cal­
culation, a constant permeability of the work-
piece material is assumed in the first approxi­
mation. In heating, for each iteration change
permeability and electric conductivity are taken
as a function of temperature.
Figures 15(a) and (b) show two different ways
of induction heating of the gear wheels, dual fre­
quency and single frequency (Ref 24). In both
cases file heating process ends up in almost the
same time, around 2.8 s. In dual-frequency heat­
ing, heating takes place in two phases, first with
a power of 293 kW and the lower frequency, 3
kHz and then with a power of 339 kW and the
higher frequency, 150 kHz. In the first phase,
which takes 1.8 s, the edge of the gear wheel
warms up to a temperature of 740 °C, and after
a pause of 0.9 s follows heating in the second
phase, which takes 1.18 s, up to a final tempera-
hire of 858 °C, which is followed by quenching.
The entire heating cycle including the pause in
between takes 2.88 s.
In single-frequency heating, heating with a
power of 165 kW and frequency of 25 kHz takes
place without the pause and takes 2.8 s. It is fol­
lowed by quenching. The maximum temperature
obtained at the surface of the gear wheel at the
end of heating was much higher than in dual­
frequency hardening and amounted to 970 °C.
Figure 16 shows the measured and calculated
temperature cycles in dual-frequency induction
heating of gear wheels (Ref 24). The measured
and calculated temperatures refer to the tip of
tooth, the plane of division of the gear wheel,
and the root of tooth. The temperature cycle of
dual-frequency heating including the pause in-

dicates that low-frequency heating is performed
up to the temper ature of magnetic transformation
and high-frequency heating up to the hardening
temperature. It is essential for this dual-
frequency induction-hardening procedure that
after hardening tempered martensite is obtained
in the hardened layer and gear-wheel distortion
is smaller than in single-frequency induction
heating.
Figure 17 shows the measured and calculated
temperature cycles in single-frequency induction
heating of gear wheels (Ref 24). Because of pro­
gressive and uniform induction heating of the
surface layer of the gear wheel after a longer
single-frequency induction heating not including
the pause, a temperature Ts somewhat higher
than rn dual-frequency heating was obtained at
the surface of the gear wheel, namely, 1120 °C.
The surface temperature was much higher, al­
though Curie temperature was exceeded and the
root of tooth of the gear wheel was heated to a
temperature higher than 800 °C. Another very
important finding, resulting from tire time vari­
ation of temperature, is very similar temperature
variations at different measuring spots at the
tooth of the gear wheel regardless of whether it
is the tip or root of tooth. It is also very important
that the differences between the calculated tem­
peratures and the ones measured at the same
measuring point are small in heating and a little
bit greater in quenching. This indicates that the
model elaborated is suitable, particularly for
heating and the measuring equipment for tem­
perature measurement at individual measuring
points. The greatest temperature differences be­
tween the measured and the calculated tempera­
tures in quenching are foimd at the tip of tooth
Fig. 14 Flow chart of the numerical calculation. Source: Ref 24
Induction Hardening / 227
of the gear wheel and the smallest differences at ened layer and a uniform microstructural state
the root of tooth. with minimum distortion of the teeth as well as
A comparison of the temperature cycles ob­ of the gear wheels could be expected.
tained in single-frequency induction heating Figure 18 shows the temperature distribution
shows important temperature differences among in the half-cut of a gear-wheel tooth in dual­
individual measuring points occurring with the frequency induction heating. Figure 19, how­
calculated temperature cycles as well as with the ever, shows the temperature distribution in the
measured ones. The temperature differences be­ same cut of the gear-wheel tooth after single­
came smaller as soon as the temperature of mag­ frequency induction heating (Ref 24). With dual­
netic transformation of the material was ex­ frequency induction heating it can be foimd that:
ceeded. Slowed heating of gear wheels above the
• A maximum temperature of 937 °C is ob­
temperature of magnetic transformation ensures
tained at the tip of the gear-wheel tooth.
longer heating times up to the hardening tem­
• At the end of heating, a temperature higher
perature, that is, the temperature of homoge­
than the hardening temperature required was
neous austenitization. Such a heating procedure
obtained from the tip to the root of tooth.
results in lower micro- andmacrostresses during
• The temperature is considerably lower than
the heating process, which is highly important,
the hardening temperature only a few milli­
since materials show a considerably lower yield
meters below the root radium, for example, at
stress at elevated temperatures. In dual­
a depth of 6 mm around 150 °C.
frequency induction heating of gear wheels, sim­
In single-frequency heating it can be foimd
ilarly as in single-frequency induction heating, it
that:
was found that there were low-temperature gra­
• A maximum temperature of 1042 °C is ob­
dients through the entire depth of tooth; yet there
tained at the tip of tooth.
were obvious differences in the obtained maxi­
• A temperature higher than tire quenching
mum temperature from wlrich the gear wheels
temperature is obtained along the entire gear­
were quenched. With regard to distortion of the
wheel tooth, except at the root of tooth.
teeth of the gear wheel, thermal conditions dur­
• A temperature below the hardening tempera­
ing the quenching process are important. If the
ture is obtained from the root of tooth down­
calculated temperatures and the temperatures
ward, and 6 mm below the root of tooth it
measured at the same measuring point in a given
still amounts to 300 °C.
moment are compared, it will be found that the
temperature differences in dual-frequency induc­ A comparison of both heating modes shows that
tion hardening are very small. The temperature heating of the tooth is much more uniform in
differences among different measuring points dual-frequency heating, and the variation of the
are at their minimum as well. Hence it follows stress distribution during quenching is much
that the quenching conditions were very favor­
able, and a very uniform thickness of the hard­
(a)
Temperature cycle
Heat distribution
Temperature distribution
Volume fraction of martensite
Residual stress distribution
Distortion after hardening
Fifi 15 Dual-frequency (a) and single-frequency (b) in-
duction heating of gear wheel. Source: Ref 24
228 / Residual Stress During Hardening Processes

more favorable due to a lower temperature, well as quenching. The simulation can be en­ °Cx 103
which ensures lower residual stresses after hard­ hanced by a denser grid—a greater number of
Max 0.9372
ening. calculated values, for example, of temperature,
0.9600
Figure 20 shows a volume-fraction distribu­
tion of martensite calculated with the finite-
element method and using a relatively coarse
distribution of microstructural phases, and so
forth, at the same area of the gear-wheel tooth.
The paper treats a simulation with a very coarse
H0.8800
0.8000
0.7200
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. 1 8 Temperature distributions in the tooth gear at f
wheel, and Fig. 23 shows the same in single­ = 2.88 s induction heating (dual frequency).
gear-wheel tooth (Ref 24). The results obtained
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 °Cx 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
can point out possible weaknesses in heating as cm3 with the dual frequency and 81,320 MW/- 0.0900
0.0800
0.0700
0.0600
0.0500
0.0400
20 mm 0.0300
0.0200
0.0100
0.0000
Min 0.0030

Fig 19 Temperature distributions in the tooth gear at f

= 2.8 s induction heating (single frequency).
Source: Ref 24

Max 0.9970
1.0000
0.9000
0.8000
0.7000
0.6000
0.5000
0.4000
0.3000
Fig. 16 Measured and calculated time variations of temperature in dual-frequency induction heating of teethfollowed 0.2000
by quenching. PCD, pitch circle diameter. Source: Ref 24
0.1000
0.0000
Min 0.0000

Fig 20 Simulated volume fractions of martensite in the

® tooth gear after induction surface hardening
(dual frequency). Source: Ref 24

Max 0.9970
1.0000
0.9000
0.8000
0.7000
0.6000
0.5000
0.4000
0.3000
0.2000
0.1000
0.0000
Min 0.0000
Fig 21 Simulated volume fractions of martensite in the
Fig 1 7 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
entire analysis of thennal conditions increases if
they are monitored in frequent time intervals and
with as fine a grid as possible for their calcula­
tion.
The theoretically calculated values of the heat
distribution in the gear-wheel tooth can be ver­
ified only by relevant measurements carried out
at thermally treated gear wheels. Thus, a micro-
[W/m3]
x 1011
Max 0.0965
20 mm f= 2.88 s
Min 0.0000
pjo 22 Generated heat distributions in the tooth gear
® at t = 2.88 s induction heating (dual fre­
quency). Source: Ref 24
pjo 23 Generated heat distributions in the tooth gear
® at t = 2.8 s induction heating (single fre­
quency). Source: Ref 24
Distance from surface (z), mm
pjo 24 Measured hardness profiles across the tooth
° gear after induction surface hardening (dual
frequency). PCD, pitch circle diameter. Source: Ref 24
structure can be analyzed and hardness mea­
sured. The authors decided to measure hardness
along the tip, the middle, and the root of tooth.
Because of different tooth widths at different lo­
cations, namely, radii, a greater number of mea­
surements with the same distances between the
measuring points were made. Figure 24 shows
the hardness variation at the tip, the pitch circle
diameter (PCD), and the root of gear-wheel tooth
after dual-frequency induction hardening (Ref
24). Along the entire tooth surface from the tip
to the root of tooth the same hardness, 750 HV,
Distance from surface (z ) , mm
pjo 25 Measured hardness profiles across the tooth
gear after induction surface hardening (single
frequency). PCD, pitch circle diameter. Source: Ref 24
ing (dual frequency). PCD, pitch circle diameter. Source:
Ref 24
Distance from surface (z), mm
2 7 Simulated volume fraction of martensite across
F'g-
the tooth gear after induction surface harden­
ing (single frequency). PCD, pitch circle diameter. Source:
Ref 24 '
Induction Hardening / 229
was attained. It decreased slowly towards the
tooth core. The hardness of the tooth core after
hardening was 220 HV. The data on the hardness
measured confirm that in dual-frequency heating
the gear-wheel tooth is hardened only to a small
depth, that is, approximately 0.4 to 0.6 mm at
the tip, up to 1.5 mm in the middle, and approx­
imately 1.0 mm at the root.
In single-frequency induction heating, hard­
ening layers are much thicker. Thus, the depth
of hardened layer at the tip of tooth was 1.1 mm
and the greatest depth in the root of tooth. Figure
25 shows the variation of hardness at the same
measuring points at the gear-wheel tooth after
single-frequency induction hardening (Ref 24).
Along the entire length of the tooth surface from
the tip to the root of tooth the same hardness,
800 HV, was attained. At the tip and the root of
tooth it changed gradually with the depth. The
results obtained show that in single-frequency
induction hardening the thickness of the hard­
ened layer increases with the increase in distance
from the tip of tooth.
Conditions are somewhat different in dual-
frequency hardening in which the greatest depth
of hardened layer was obtained in the middle of
the tooth, and hardness decreased toward the tip
and the root of tooth. It follows from the hard­
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
to 800 HV, was obtained through the entire tooth
width.
Figure 26 shows calculated line changing of
the volume fraction of martensite transverse to
the tooth after dual-frequency induction hard­
ening at the characteristic measuring points. Fig­
ure 27 also shows calculated line changing of the
volume fraction of martensite transverse to the
tooth, but this time after single-frequency induc­
tion hardening (Ref 24). The efficiency of the
numerical calculation of the volume distribution
of martensite can be assessed by the microhard­
ness measured at the characteristic points. In the
case given, major deviations occurred between
the calculation of volume distribution of marten­
site and the hardness measured at the given mea­
suring points only in dual-frequency induction
hardening, whereas in single-frequency induc­
tion hardening the deviation was much smaller.
Fujio and coauthors (Ref 25) monitored dis­
tortion of gear-wheel teeth and the variation of
residual stresses after induction hardening of
gear wheels. The authors treated the conditions
in induction hardening and quenching of gear
wheels made of carbon hardening and tempering
steel S35 experimentally and theoretically. The
experiments of induction hardening were carried
out at gear wheels with an outer diameter of 196
mm and width of 150 mm and the tooth of 22.9
mm in height. The inductive loop surrounding
the gear wheel had nine windings with an inner
diameter of 226 mm and a width equal to the
gear-wheel width, 150 mm. The output power of
the high-frequency generator was 400 kVA and
the frequency 10 kHz. The gear wheels were in­
duction heated to a maximum temperature of 860
230 / Residual Stress During Hardening Processes
°C, which was reached in 187 s. During heating,
temperature was measured at four measuring
points, that is, at the tip of tooth 1, at the pitch
circle at the tooth surface 2, in the tooth core 3,
and at a depth of 25 mm from the tip of tooth 4.
Figure 28 shows the gear-wheel tooth with the
marked measuring points for temperature mea­
surement with thermocouples (Ref 25). The time
variation of the temperature measured in heating
the gear wheel at the same measuring points is
shown in Fig. 29(a) and (b) (Ref 25). It follows
from both figures that the magnetic transforma­
tion occurred above 700 °C. In the calculation,
Fie. 28 Tooth gear and position at given measuring
® points for thermocouple fitting. Source: Ref 25
Fig 29 Temperature profiles of tooth gear during in-
® duction surface heating process, (a) Measured,
(b) Calculated. Source: Ref 25
heat fluxes of the temperature range below the
Curie temperature, qm = 75 W/cm2 and that
above the Curie temperature, qQ2 = 10 WY
cm2—were taken into account. A comparison of
the calculated and of the measured time varia­
tions of temperature in heating shows that there
are certain differences. The maximum tempera­
ture differences exceed even 100 °C, which is,
according to the authors, still acceptable. These
data on the time variation can, therefore, be used
efficiently in quality assessment of induction
hardening of gear wheels in terms of microstruc­
ture, microhardness as well as residual stresses,
and/or distortion of the gear-wheel tooth. The
investigation conducted thus gave useful infor­
mation on the tooth condition after induction
hardening. The following figures show iso­
therms transverse to the gear-wheel tooth cal­
culated for the induction heating process.
Figure 30 shows the heating process after 20,
60, and 187 s when it ends (Ref 25). It is very
important that:
• The gear-wheel tooth is heated only by 80 °C
(from 780 °C after 60 s to 860 °C after 187 s
of induction heating) in a comparatively long
heating time, that is, 127 s, when the Curie
temperature of magnetic transformation of
steel was reached.
• Isothenns are minting almost in the direction
of gear-wheel tooth radius.
• The entire gear wheel obtains martensite-
pearlite microstructure due to the temperature
fields in it.
Figure 31 (a) shows the time variation of the
temperature measured at the individual measur­
ing points of the gear-wheel tooth during
quenching with a pressurized water jet (Ref 25).
Data on the temperature variation show that the
cooling temperatures were very similar at mea­
suring points 1 and 2, somewhat lower at mea­
suring point 3, and the lowest at measuring point
4, where after 40 s of quenching it still amounted
to around 350 °C.
Figure 31(b) shows the calculated time vari­
ation of temperature at the same measuring
points of the gear-wheel tooth during quenching
taking into account selected heat transfer coef­
ficients a0 of 5000 and 10,000 kcal/m2oCh (Ref
25). The calculated time variations of tempera­
ture differ from the measured ones only at those
measuring points with higher cooling rates. The
time variation of temperature refers only to the
selected measuring points; therefore, assessment
of the stress state during the quenching process
and of distortion of gear-wheel teeth or of a tooth
is very difficult.
The authors focused on an analysis of the con­
ditions during the quenching process using a cal­
culated distribution of temperature shown as iso­
therms (a0 = 5000 kcal/m2oCh) at the half-cut
of the gear-wheel tooth. Figure 32 shows the
variation of isothenns during the quenching pro­
cess after 0.1, 1.0, and finally 10 s of cooling
(Ref 25). In quenching it is very important that
the temperature gradients are liigh enough to pre­
vent plastification, that is, distortion, of the gear
wheel during quenching. Such quenching con­
ditions including high-temperature gradients re­
sult in decrease of favorable compressive resid­
ual stresses after hardening. It follows that a
sufficiently liigh cooling rate has to be ensured
at Hie tooth surface as well as to the required
depth of hardening. That means that temperature
gradients in the gear-wheel tooth have to be at­
tained so that gear-wheel teeth are hardened with
the minimum cooling rate required, thus ensur­
ing the required martensite transformation in it.
A sequence of images shoving isotherms in very
short time intervals from the beginning of
 Induction Hardening / 231

quenching allows assessment of the size of dis­
tortion of the tooth and residual stresses to be
expected after quenching.
Figure 33(a) shows the measured volume-
fraction distribution of martensite and Fig. 33(b)
the calculated volume-fraction distribution of
martensite when different values of heat transfer
coefticient a—5000, 7500, and 10,000 kcal/
m2oCh—are taken into account (Ref 25). The
main difficulty encountered in the calculation is
how to determine the heat transfer coefticient in
order to obtain a description of real quenching
conditions. It should be considered that quench­
ing is very intensive since it is carried out under
a pressurized water jet; the gear wheel has been
induction heated whereas the core is cold.
negligible influence on the results of heat treat­
ment. The quenching system for induction hard­
ening is defined by eight parameters (Ref 26):
heat time/scan rate, power level, power fre­
quency, part position/rotation, quench flow,
quench temperature, quench time, quench con­
centration.
Important simultaneous changes of one or
more of these parameters can produce unwanted
effects on the workpiece, which in extreme cases
result in an unsuitable microstructure, deviations
in the depth of hardened profile, unsuitable hard­
ness variation (too low hardness, soft spots), and
exceeding distortion of the machine element.
In practice, there are machine parts of differ­
ent shapes and size, requiring different depth of
hardened layer. In these cases, the type of ma­
terial chosen and its through-hardenability
should be considered.
Thus, with alloyed steels having good
through-hardenability and/or machine parts with
a comparatively thin hardened surface layer, the
martensite microstructure can be obtained with­
out the application of a quenchant. In such cases,
heat sinks from the surface into the cold work-
piece core so that the critical self-cooling rate
obtained at the surface is higher than the critical
cooling rate.

Quenching Systems for Induction

Hardening

Control of the quenching process of the gear

wheel from high hardening temperatures ensures
the martensite microstructure. The cooling rate
should be high enough to prevent formation of
unwanted softer microstructures such as pearlitic
or bainitic; therefore, it is very important that in
a development of new systems of induction hard­
ening, quenching systems are designed properly
(Ref 22, 26).
Process parameters should be accurately con­
trolled to ensure permanent and reproducible re­
sults after hardening of machine parts. It is also
indispensable to define individual parameters
and determine their permissible deviation in
operation, presuming that the deviations have a

F'g- 32 Temperature distributions during cooling process. Source: Ref 25

Martensite
volumetric

«o = 5000
(a) (b)
pig 3) Temperature profiles of tooth gear at given
measuring points during cooling process, (a) Fio T't Martensite distribution of hardened gear, (a) Measured, (b) Calculated at the maximum cooling rate. Source:
Calculated, (b) Measured. Source: Ref 25 O’ Ref 25
232 / Residual Stress During Hardening Processes
Two common quenching methods using a
quenchant are spray quenching and immersion
quenching. Particularly popular spray quenching
techniques offering different possibilities are:
• Spray with progressive scan heating (scan
hardening)
• Spray after heating in position (single-shot
hardening)
• Spray quenching out of location after heating
Spray quenching is earned out immediately
after heating with a short pause. It is used with
macliine parts made of steels with good harden-
o----------------------------------------------------------
0 10 20 30 40 50 60 ability and with a comparatively thin hardened
Pressure ( p ), psi layer. Immersion quenching is carried out after
the inductor has been disconnected from the
F¡g 34 Effect of in let: out let ratio on quench flow ver- high-frequency generator. Gradual hardening is
® sus pressure. Source: Ref 26 very efficient and prevents the influence of in­
verse heat from the core toward the surface so
that no reverse heat flow and no heating of the
already cooled surface occur. This problem is
characteristic of large parts of which the work-
piece surfaces should be hardened selectively.
In the past, straight oils and 'water-soluble oils
were used for quenching after surface induction
heating. Straight oils and water-soluble oils pro­
duce mild quenching effects, which reduce dif­
ficulties due to distortion and/or crack initiation.
Straight oils require immersion quenching to
minimize the risk of oil ignition whereas water-
soluble oils are more suitable for spray quench­
ing. Other quenchants used are water, polymeric
water solutions of different concentration, water
soluble oils, salt water, and so forth.
Polymeric water solutions are inflammable
quenchants. They are prepared in various con­
centrations to be suitably adapted to various
cooling rates. For spray quenching various flow
rates of quenchants can be selected. They depend
on the size of inlet openings and the number of
outlet nozzle boreholes in one, two, or more
rows at the quenching ring. The fluid-flow rate
can also be regulated by pressure. Technical lit­
erature provides data on shaping of quenching
nozzles as well as on the selection of the quen­
chant flow rate required. Figure 34 shows the
dependence of the flow rate on the quenchant
pressure and the size and number of outlet bore­
holes (Ref 26). It is very important that a suffi­
cient flow rate of the quenchant is chosen to en­
sure sufficient heat removal from the workpiece
surface layer during quenching.
The flow rate is controlled also by the number
of boreholes for the flow and spraying of the
quenchant, respectively. Figure 35 shows a de­
pendence of the quenchant flow rate on the bore­
hole diameter of the quenching nozzle, and the
pressure required (Ref 26). An appropriate ar­
rangement of the boreholes in the ring permits a
uniform heat removal after spray and proper and
uniform cooling. The borehole cross sections
should amount to only 15% of the total ring sur­
face available and of the inductor in the single­
shot type application, respectively. Rotation ve­
locities of the workpieces in surface induction
Polymer additive ratio affects cooling rate. heating are relatively high and can be selected
Fig. 36 Source: Ref 26 between 800 and 1000 rotations/min, whereas
the rotation velocity of the workpieces during
quenching is considerably lower, namely, 40 to
60 rotations/min. Very high rotation velocities
of the workpieces are required when a uniform
and reproducible depth of hardened layer are to
be ensured and particularly with relatively short
heating times.
Figure 36 shows dependence of changes of
cooling rates on the momentary temperature at
the workpiece surface for four different concen­
trations of polymeric water solutions (Ref 26).
The selection of an appropriate concentration of
the polymeric water solution for the selected
steel and the depth of hardened layer required
should ensure minimum distortion of the work-
piece, which is the final purpose of any heat
treatment. Thus, the required heat removal from
the heated surface layer of the workpiece, con­
sidering the thickness of the heated layer, should
be ensured by an appropriate quenching system.
Time Variation of Stresses and
Residual Stresses in a Material
With certain heat treatments, the required mi-
crostructural changes and an appropriate mag­
nitude and variation of hardness are obtained. It
is also required that distortion of a machine part
is as small as possible so that the final size of a
machine part can be obtained with minimum pre­
cision machining. Consequently, it is very im­
portant that distortion be kept under control.
That means that an appropriate technology of
machining and appropriate heat treatment pro­
cesses should be selected, and internal stresses
lower than the yield stress ensured at any mo­
ment and at any location of a macliine part dur­
ing heating and/or cooling. Analytical methods
give an insight into heat treatment conditions if
the time variation of internal stresses is moni­
tored and the dependence between the cooling
time and the specimen temperature at each point
is known. With regard to the specimen tempera­
ture determined in this way, at each point on the
specimen yield stress can be determined as well.
Consequently, with different heat treatment con­
ditions, different values of physical quantities
can be selected. They are reflected in the
changed conditions in the material, which makes
it possible to study distortion of the machine part
during cooling and determination of the magni­
tude of residual stresses.
Figure 37 shows the time variation of axial
stresses at the surface and in individual depths,
that is, from 2.0 to 4.0 mm under the surface and
in the middle of the cylindrical specimen (Ref
21). It follows from the time variation of tem­
perature in the diagram in Fig. 26 that the aus­
tenitizing time was shorter than 15 s, which
means that after this time quenching of the sur­
face followed (Ref 21). In surface heating, ten­
sile stresses occurred at the surface due to ther­
mal extension of the sur face layer, but when the
temperature of transformation of the microstruc­
ture from pearlitic to austenitic was exceeded,

additional compressive stresses occurred at the
surface.
The compressive axial stresses transform into
tensile stresses in the zone of undercooled aus­
tenite. In the transformation of undercooled aus­
tenite into martensite, the compressive stresses
increase with the increased martensite fraction.
In the core, the opposite sign of the stress was
obtained, namely, the tensile stress. At the end
of quenching, the compressive residual stresses
were obtained in the surface hardened layer
amounting to around -1600 N/mnr and the
tensile stresses in the core amounting to around
+ 870 N/mm2.
1000
Center
-2000 ----------1-------- 1-------- ---------
0 20 40 60
Time (f), s
pjo 37 Axial stress distribution at various depths be­
low the surface during single-shot induction
surface hardening. Source: Ref 21
-2000 ------------------- --------- ---------
0 20 40 60
Depth below the surface (z ), mm
pig 3g Residual stress distribution after single-shot in­
duction surface hardening. or, axial compo­
nent; aT, tangential component; v,, radial component.
Source: Ref 21
Figure 38 shows a distribution of the individ­
ual components of the residual stresses, that is,
the axial component <yz, the tangential cT, and
the radial or (Ref 21). The axial and the tangen­
tial components of the residual stresses were
compressive at the surface and amounted to
— 1600 N/mm2. Then they gradually reduced so
that at a depth of 5.0 mm, the residual stresses
changed their sign to become tensile stresses. A
maximum value of the residual stresses was up
to 1000 N/mm2. The radial stress at the surface
was 0, but it gradually increased to a depth of
5.0 mm to attain +500 N/mm2.
Denis et al. (Ref 18) calculated and measured
the distribution of residual stresses through the
entire radius of a cylindrical specimen of 16 mm
in diameter and 48 mm in length. The specimen
was made of carbon steel with 0.45% C and of
pearlitic-ferritic composition.
80
Depth below the surface (z), mm
pjg 3Q Calculated distribution of microstructures
acrossthecyli nder rad i us at the end of coo I ing.
Source: Ref 18
80
pjg 4Q Calculated and measured residual stressprofile
of particular components after induction sur­
face hardening. a z , axial component; oT, tangential com­
ponent; or, radial component. Source: Ref 18
Induction Hardening / 233
The cylindrical specimen was surface induc­
tion heated to a temperature of 980 °C and then
quenched in salt water. Figure 39 shows the cal­
culated distribution of individual microstructural
phases from the surface to the center of the cy­
lindrical specimen at the end of cooling (Ref 18).
The initial microstructure was preserved to a ra­
dius r of 5.5 mm. In the radii between 5.5 and
6.6 mm, the pearlitic-ferritic microstructure and
low-carbon martensite appeared. With the radii
exceeding 6.6 mm, afine martensitic microstruc­
ture with around 6.0% residual austenite was ob­
tained due to intensive cooling. With the selected
conditions of induction heating and fast cooling
of the specimen, no homogeneous martensite
was formed in the surface hardened layer. Figure
40 shows the calculated and measured variations
of individual components of residual stresses
(Ref 18). The calculated variations of residual
stresses represent high compressive stresses at
the surface, that is, the axial component of resid­
ual stresses <jz amounting to —803 N/mm2 and
the tangential one aT amounting to —588 N/
mm2. On the contrary, the tensile residual
stresses were calculated after hardening in the
core, that is, with the preserved pearlitic-ferritic
microstructure. Thus the axial component of re­
sidual stresses oz calculated for the core
amounted to +370 N/mnr and the tangential
component aT to +62 N/mnr. The diagram in
Fig. 40 indicates that the maximum tensile
stresses were attained in the transition zone be­
tween the hardened and the unhardened layer
(Ref 18). At a greater depth, very low stress gra­
dients occurred and in the opposite direction,
that is, in the thin surface layer to a depth of 2.5
mm, very high gradients of residual stresses oc­
curred. The variations of residual stresses were
determined experimentally by x-ray diffraction.
The great changes of the gradient of the mea­
sured residual stresses in the thin surface layer
can also be confirmed by the measurements
made. The results of the measured and calculated
variation of residual stresses in the surface hard­
ened layer agree sufficiently with small local de­
viations. In order to determine the local devia­
tions of the variation and of residual stresses,
numerous calculations were made with varying
physical parameters of the material and taking
account of different process parameters, too.
A particular problem with steels having
ferritic-pearlitic and pearlitic-ferritic microstruc­
ture is that heating of short duration does not
ensure complete homogenization of austenite.
Figure 41 shows the influence of inhomoge­
neity of austenite on the level of residual
stresses, which is particularly noticeable in the
martensite zone (Ref 18). The initial inhomo­
geneous austenitic microstructure resulted in the
appearance of the martensitic transformation
with a small fraction of residual austenite. With
regard to the volume fraction of martensite and
residual austenite, plastification of the material
occurred, which produced internal stresses and
the variation of residual stresses, particularly in
the thin surface hardened layer.
234 / Residual Stress During Hardening Processes

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 Vm, 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 ot and a2 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 subsur face, 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 pennits 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
tained at the surface, that is, an axial com­
ponent of —275 N/mm2 and a tangential
component of - 390 N/mm2.
• A comparison of the axial and the tangential
components of residual stresses indicates that
because of the considerably reduced cooling
rate the latter is lower in the thin surface layer
even by a factor of 3.
• The gradients of residual stresses with the
higher or lower cooling rate are favorable
since a slow decrease of compressive to ten­
sile residual stresses results in a minor sus­
ceptibility of a machine part to fatigue under
dynamic loads.
Bruckner et al. (Ref 19) discussed their inves­
3 4 5 6 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
Fie. 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. a I , axial component; oT, tangential component; <jr, time variation of individual components of in­
radial component. Source: Ref 13
ternal stresses crz, ar, and cjt. Figure 44 shows the
time variation of all these components after heat­
ing times of 1, 4, 6, and 9 s in the cylindrical
specimen with 30 mm in diameter, which was
heated with a heat flow Q3 of 2.4 X 106kW/m3
(Ref 19).
Radial stresses ar vary with time. They are
always 0 N/mm2 at the surface. Then they grad­
ually increase toward the center of the cylindri­
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
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
duce lamination of the surface from the core.
Axial stresses az vary with time as well. They
are the highest after the heating time t of 4 s, 500
N/mm2 in the core and around 130 N/mm2 at
the surface. The time variation of temperature
through the radius of the cylindrical specimen
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
pig 42 Simulated residual stress profile of particular components at maximum surface temperature (Tmay = 1050°C) core. It can be concluded that because of high
with various heating rates vH1 = 200 °C/s and vH2 = 800 °C/s) and at given cooling rate vc of 1 500°C/s. a z , axial internal stresses in the core and consider­
axial component; < j t , tangential component; <J r , radial component. Source: Ref 1 8 ably lower ones at the surface, they rarely pro­
duce distortion of a machine part or even its fail-
 Induction Hardening / 235

ure. It is interesting that after a heating time of
1 s the tensile stress in the core ca is around 250
N/mra2 and at the same time a little higher, that
is, 280 N/mm2, at the surface. The transition
from a compressive stress to a tensile stress
shifts toward greater depths with time.
01 2 3
Depth below the surface (z), mm
pig 43 Simulated residual stress profile of particular components at maximum surface temperature (Tm3!< = 1 050 °C)
with heating rate of 200 °C/s, and at various cooling rates (va — 200 °C/s and v a = 800 °C/s). or, axial
component; oT, tangential component; <jr/ radial component. Source: Ref 1 8
Tangential internal stresses vary with time,
similar to axial and radial ones, but the absolute
values are somewhat lower than that of axial
stresses. This means that tangential stresses in
the core are tensile and the highest after the heat­
ing time of 4 s (gTc = 200 N/mm2). At the sur­
4 5 6 7 8 slightly increase, during cooling, up to — 390 N/
face the highest compressive stresses occur after
a heating time of 1 s (aTs = 270 N/mm2). The
investigation showed that values of tangential
and radial stresses at individual heating times are
very similar in the core, but the differences be­
tween axial and tangential stresses there are
greater, that is, by a factor 2 in the axial direc­
tion.
Taking into account the magnitude of time
variation of tangential internal stresses during
the heating process, internal stresses should
probably also be monitored during the quench­
ing process. The diagram in Fig. 45 shows the
time variation of tangential internal stresses us­
ing the finite-element method in the selected mo­
ments, that is, t = 9 s (at the beginning of cool­
ing), t = 9.1 s, / = 10.5 s, t = 12.5 s, t = 18
s, and t = 53 s (Ref 19). At the beginning of the
quenching process, there are very low compres­
sive tangential internal stresses gt, —50 N/
mm2, at the surface. Then they gradually change
to become of a tensile character and amount to
260 N/mm2 after the cooling time of 10.5 s. As
cooling continues, after a total time of 18 s and
a quenching time of 9 s, compressive stresses gt
at the surface amount to — 320 N/mm2, and then
mm2. The variation of tangential residual
stresses after quenching is very favorable since
compressive stresses change slowly from the
surface to a depth of 6.0 mm, where the sign for
the stresses changes and the maximum tensile
residual stresses is reached in a length of 8.5 mm.
Melander (Ref 20) proceeded from a magnetic
field and a temperature field to a phase compo­
sition at tiie given temperature and, conse­
quently, internal stresses and residual stresses
formed due to heat treatment, respectively. The
entire procedure of calculating the characteristics
mentioned is based on suppositions that:

0 5 10 15 0 5 10 15
Radius (r), mm Radius (r), mm

Internal stress time distributions in particular components during surface induction heating process. axial Tangential internal stress component distribu­
Fig. 44 Fig. 45 tion during quenching process. Source: Ref 19
component; oT, tangential component; or, radial component. Source: Ref 19
236 / Residual Stress During Hardening Processes
• The workpiece is of infinite length and has a
cylindrical, axially symmetric shape.
• Heat conductivity does not depend on the
workpiece length.
• The magnetic field varies.
For the calculation, equations for:
• Magnetic field
• Heat conduction
• Phase transformations
• Stresses
Input data to the physical model and computer
program consist of:
• Basic mesh of nodes and their start tempera­
ture
Time (f), s
Fig. 46 Measured temperature cycles (dashed lines)
and calculated temperature cycles (solid lines)
at different radii of cylindrical specimens. Source: Ref 20
Radius (r), mm
Fig. 47 Calculated residual stress in particular com­
ponents after surface induction surface hard­
ening. o,, axial component; oT, tangential component; or,
radial component. Source: Ref 20
• Electromagnetic properties: magnetization
curve (B-H)
• Curie temperature surface magnetic field
strength T/0(T), and frequency /
• Surface heat flux q(T)
• Material properties: thermal conductivity
\(T), specific heat c(T), density p, heating
diagram (ITh diagram), and cooling diagram
(ITc diagram), latent heatL
The computer program for solving the tem­
perature field and phase content consists of heat­
ing and cooling phases:
1. During heating, the eddy current loss is re­
sponsible for the temperature field rise. The
heat flux through the surface is due to the
surrounding air. The phase transformation
into austenite is calculated using a heating di­
agram (ITh diagram). When the steel part has
been heated for a given time or to a desired
temperature, heating is switched off.
2. Water quenching can be preceded by air cool­
ing for some seconds or vice versa or other
quenchants can be used. The material that
transformed into austenite during heating is
now transformed into ferrite, pearlite, bainite,
or martensite depending on the cooling dia­
gram (ITc diagram). The material untrans-
fonned during heating is assumed to remain
untransformed during quenching. Through­
out the calculations, material parameters are
chosen from the input curves at the tempera­
ture at hand.
3. Temperatures and phase content as a function
of time in every point in the body are the
results obtained. These values together with
mechanical data are used as input data to the
stress program. Stresses are calculated by the
finite element method.
Figure 46 shows the measured and calculated
temperature cycles in the middle of the cylindri­
cal specimen with 40 mm diameter and 120 mm
length (Ref 20). In the middle of its length, that
is, at a distance of 60 mm, two thermocouples
are mounted in the radial direction. They mea­
sure the temperature during heating and cooling.
The first thermocouple is located at a radius r of
11.5 mm and Hie second at a radius of 18.5 mm.
In the figure the temperatures measured are in­
dicated by a dotted line and the calculated ones
at the same measuring points by a solid line. The
differences obtained at the given time t are sur­
prisingly small, namely:
Table 1 Measured residual stress values by
Radius (r), mrri Point 1
20.03 -858
20.00 -1019
19.96 -1443
19.59 -1109
19.91 -1315
Source: Ref 20
• Regardless of the measuring point, the tem­
perature difference between the measured
temperature and the calculated temperature is
exceptionally small.
• At the individual measuring points, the dif­
ferences between the calculated temperature
and the measured temperature are greater in
the heating cycles.
• The greatest difference between the measured
temperature and the calculated temperature in
the heating cycle is found at the measuring
point at the surface, that is, with the radius r
of 18.5 mm.
Figure 47 shows the variations of individual
components of residual stresses along the radius
r of 20 mm (Ref 20). The author’s calculations
show that:
• Axial residual stresses are compressive at the
surface (az = —850 N/mm2), the transition
to the tensile zone is found 6.0 mm below the
surface, and the maximum axial tensile stress
g2, 400 N/mm2, occurs at a depth of 10.0 mm.
• Tangential residual stresses vary in a very
similar way and have similar values (gt =
— 880 N/mm2) in the surface layer, whereas
tensile residual stresses in the central part gt
amount to 200 N/mm:.
• There are no radial residual stresses or at the
surface, but in the central part they slowly
increase up to 200 N/mm2.
The authors also experimentally verified the
magnitude of axial residual stresses at three mea­
suring points in the thin surface layer and cal­
culated the mean value. The measurement of ax­
ial residual stresses was performed with x-ray
diffraction. Table 1 shows measured residual
stress values at various measuring points (Ref
20). The average of three measurements at three
measuring points gave — 852 N/mm2 at the sur­
face and — 1377 N/mm2 in the subsurface at a
radius of 19.91 mm. The deviations between the
measured and the calculated values are compar­
atively great. The authors attribute them to mea­
surement errors as well as to the errors in cal­
culation due to inappropriately selected values
of physical parameters.
Fujio et al. (Ref 25) in their third report on
induction hardening focused on studies of dis­
tortion of gear wheel teeth and of residual
stresses in gear wheels. The authors measured
the outer diameter and the root diameter of the
gear wheel across two opposite teeth and the root
x-ray diffraction at various measuring points
Residual stress (crj, N/mm2
Point 2 Point 3 Mean value
-779 -920 -852
-1278 -1156 -1151
-1250 -1292 -1328
-1204 -1206 -1173
-1423 -1394 -1377
 Induction Hardening / 237

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
E 0.1 calculated theoretically, taking into account the right tooth surface with the letter “b.” Measure­
E
0 volume changes due to phase transfonnations, ments of the height profile are shown for two
and serve as a basis of detennination of devia­ teeth, that is, those marked 1 and 14, of gear
<J 0.3 tions. wheels 2 and 3. Considering that the tooth height
d> 0.2 Figure 48 shows a change of the outer diam­ is 10 mm and the deviations are plotted in mil­
E
<o 0.1 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 pm at each tooth
Q.
which means that the deviation was measured surface concerned.
O 0.3
d> 0.2
between the first and the twenty-sixth tooth, 3 Residual stresses due to surface induction
O)
c
ns and 16, and so forth, so that 13 total measure­ hardening of the gear wheels were calculated
0.1
O ments were made. The results of the measure­ along the tooth surface during the heating pro­
0
ments are shown as points in the diagram. The cess as w'ell 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
—o— 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:
Change of tip gear wheel diameter after (Ref 25). The dotted lines in the individual dia­
Fig. 48 • 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
• They are considerably lower in the zone
4. It even exceeds 0.2 mm.
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
25). The measured values of the same diameter,
attaining — 100 N/mm2.
however, remained unchanged for gear wheels 2
• 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
tooth; therefore, they are not plotted. Defor­
the tooth root diameter, taking account also of
mations are for this very reason the greatest
the tooth height, shows that distortion of indi­
at the tip of gear-wiieel tooth.
vidual gear wheels is considerably more com­
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
—o— 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. 3

E
E

£
<1.

(a) (b) Left Tooth No. 1 Right (b) (a)

14,15 17,18 20,21 23,24 26,1

Tooth number
—c— Experimental
---- Theoretical
(a) (b) Left Tooth No. 14 Right (b) (a) (a) (b) Left Tooth No. 14 Right (b) (a)
Change of root gear wheel diameter after
Fig. 50 Fig. 51 Tooth profile error curves after induction surface heating (a) and after quenching (b). Source: Ref 25
quenching. Source: Ref 25
238 / Residual Stress During Hardening Processes
quenching process and are more important in the
root of tooth. The figures show the magnitude
and variation of internal stresses after the cooling
times of 0.1, 1, 10, and 300 s, when the gear
wheel is finally cool. The series of graphical rep­
resentations of the internal stresses at the tooth
surface indicates that:
• In the initial quenching phase, that is, in 0.1
and 1 s, the internal stresses are of the tensile
character along the entire tooth height; they
are the highest in the root of tooth and grad­
ually decrease toward the tooth tip.
• Between the quenching times of 1 and 10 s,
the sign of the internal stresses changes, the
latter gradually becomes compressive and
ranges between 100 and 150 N/mm2 in the
upper part of the tooth and up to 600 N/mm2
in the root of tooth.
• At the end of quenching, that is, after the
cooling time of 300 s, the internal stresses
change considerably only in the root of tooth
and attain up to — 1500 N/mm2
The magnitude of residual stresses was mea­
sured with x-ray diffraction and strain gages.
Figure 53 shows the results of measurement of
stresses in the pitch circle, that is, at the middle
of the tooth surface for both teeth and in the root
of tooth where critical residual stresses occur
(Ref 25). Using x-ray diffraction, the authors
found that:
• The highest residual stresses occur in the root;
at the surface they amount to around — 540
N/mm2, then increase to —750 N/mm2 at a
depth of 30 jam to reach —870 N/mm2 at a
depth of 60 ¡am.
(a)
Stress 0
1.1. mi daN/mm2
0 50
<b)
F¡o 52 Principal stress during induction surface heat-
® ing and quenching process, (a) Heating pro­
cess. (b) Quenching process. Source: Ref 25
• The residual stresses are a bit lower in the Figure 55 shows shape distortion after single­
middle of the tooth surface, that is, at the frequency and dual-frequency induction surface
pitch circle; at the surface they amount to hardening in the half-cut of the gear-wheel tooth
around —90 N/mm2, then gradually increase (Ref 24). Figure 55(a) shows simulation of dis­
with a greater depth to reach —400 N/mm2 tortion by showing first the initial shape of the
at a 60 pm depth. tooth half-cut prior to hardening (dotted line) and
the modified shape after dual-frequency induc­
A general conclusion can be drawn that the ex­
tion surface hardening (continuous line). Figure
perimental as well as theoretical results agree
55(b) shows simulation of distortion in the same
very well and provide a lot of useful information
way as Fig. 55(a), but for the conventional
especially to a technologist in manufacture of
single-frequency induction surface hardening.
gear wheels.
In the figure the calculated actual size of dis­
In Ref 24, Inoue et al. treated the variation of
tortion is shown to be 50 jam with an equivalent
tangential residual stresses in the root of tooth
geometrical scale of 2.0 mm. A comparison of
after single-frequency and dual-frequency sur­
face induction hardening. Figure 54(a) shows the
variation of the tangential residual stresses in the
tooth root where usually the highest residual
stresses in gear wheels are found (Ref 24). The
calculated residual stresses and the measured
ones after dual-frequency hardening refer to the
root width of gear-wheel tooth. The residual
stresses are measured with the x-ray diffraction.
Individual measurements are marked by points.
The calculated residual stresses at the root sur­
face of tooth show the same values as the mea­
sured stresses, but the variations of the two differ
strongly, particularly at a depth greater than 0.5
mm. The calculated variation of stresses in the
root cross section of tooth shows a linear depen­
dence to a depth of 2.0 mm. At the surface, the
calculated tangential residual stresses amount to
— 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
they change so that at a depth of 1.2 mm there
is a transition to tensile stresses, which at a depth
of 1.9 mm attain around 400 N/mm2. The cal­
culated variation of tangential residual stresses
is ideal since the stresses are compressive and
show a sufficiently high value at the surface,
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
chine part.
Figure 54(b) shows the variation of tangential
residual stresses after single-frequency induction
surface hardening (Ref 24). Resulting from abet­
ter and a more uniform heating of the central part
of the gear wheel across the tooth height, a
martensite-bainite microstructure fonns after
quenching, and very low compressive residual
stresses are obtained through root depth of tooth. (a)
The tangential compressive residual stresses are
very low and amount to around —200 N/mm2.
Because of a very small stress gradient, they
change to give, at a depth of 0.25 mm, the tran­
sition of the compressive residual stresses into
the tensile ones reaching 100 N/mm2. Such a
variation of the residual stresses is unfavorable
because it does not provide sufficient compres­
sive residual stresses in the surface layer, which
produces a decrease in fatigue strength of gear­
wheel teeth. Because of a symmetric variation of
the residual stresses at both sides of the tooth,
that is, the left and the right tooth surfaces, and
a symmetric load state of the gear-wheel tooth (b)
in operation, the tooth may often be subjected to pjo 54 Measured and calculated residual stress distri-
a considerable tensile load, which results in dam­ ® butions below the surface for dual (a) and sin­
age to the tooth root or even a tooth failure. gle (b) frequency. Source: Ref 24

both cases of hardening from the viewpoint of
tooth distortion clearly shows that distortion in
single-frequency surface induction hardening is
twice that obtained after dual-frequency hard­
ening.
'fliis difference in tooth distortion can be at­
tributed to the fact that in single-frequency sur­
face induction hardening, the martensite trans­
formation occurs in the whole tooth.
Consequently, the volume change of the tooth is
greater and so is distortion. In dual-frequency
surface induction hardening only the tooth con­
tour gets hardened. Consequently, the volume
change of the tooth is smaller and so is distor­
tion; that is, it amounts to only half of that ob­
tained after single-frequency hardening.
In Ref 28, Fujita et al. dealt with the devel­
opment of an experimental procedure for assess­
ment of surface durability of two hardened ma­
terials in a pair. Since the 1980s, steels have been
used most frequently for surface hardening in
manufacture of various gear wheels since this
hardening process is faster and very economical.
In order to clarify surface durability of surface
hardened gear wheels, investigations were con­
ducted on surface defects, rolling fatigue life,
and determination of the optimal thickness of a
hardened layer under sliding/rolling conditions
Fifi 55 Distortion of tooth gear after induction hard-
® ening with dual (a) and single (b) frequency.
Source: Ref 24
Hardness distribution of induction surface
Fig. 56 hardened roller specimens. Source: Ref 28
of gear-wheel teeth. For testing of surface du­
rability of surface induction hardened machine
parts, specimens with 60.3 mm in diameter and
made of steel S45C with 0.45% C were selected.
The steel was hardened from an austenitizing
temperature of 850 °C for 1 h and then quenched
in water by high tempering at 650 °C for 2 h.
Finally, the surface layer was induction hardened
under different conditions so that the depths of
hardened layer were 1.75, 2.95, and 5.00 mm.
After surface hardening, tempering at a tempera-
tule of 150 °C was carried out for 2 h. Figure 56
shows the hardness distributions of induction
surface hardened roller specimens I A, IB, and IC
(Ref 28). The surface hardnesses of roller spec­
imens are designated HVIA, HVIB, and HVIC, re­
spectively. The hardness of induction surface
hardened layer is about 750 HV, and the core
hardness is 200 HV in any specimen. The case
depth is greatest in specimen IA and followed
by specimens IB and IC. The variations of hard­
ness under different conditions of induction sur­
face hardening show almost the same hardness
at the surface and a very similar through­
thickness variation of hardness of the hardened
layer.
Figure 57 shows the residual stress distribu­
tions of induction hardened rollers. The variation
of the calculated tangential residual stresses
agrees with the expectations based on the vari­
ation of hardness and the hardened-layer thick­
ness (Ref 28). The influence of the variation of
residual stresses on surface durability depends
on the load applied to the machine part con­
cerned. With a continuous compressive load,
plastification of the subsurface can occur; there­
fore, it is necessary to ensure a sufficient thick­
ness of the hardened layer and a sufficient
strength of the subsurface layer. The sufficient
thickness of the hardened layer can be achieved
by selecting appropriate conditions of induction
Distance from roller surface (z), mm
ia ^7 Tangential component of residual stress distributions of induction surface hardened roller specimens. Source:
F'g
U Ref 28
Induction Hardening / 239
surface hardening and the sufficient strength of
the subsurface by selecting appropriate steel or
a steel to which a hardened-and-tempered core
has been added. Machine parts are mostly sub­
jected to combined compressive and transverse
loads that produce surface wear and subsurface
plastification. In the third case, that is, when the
side of a gear wheel is subjected to an alternating
bending load, the magnitude of compressive re­
sidual stresses in the surface layer is important
too. An appropriate heat treatment ensuring
compressive residual stresses in the surface can
result in an increase in fatigue strength and, con­
sequently, a longer life of a machine part. Thus
it can be concluded that the knowledge of resid­
ual stresses is most important in connection with
those machine parts that are subjected to alter­
nating or pulsating loads, that is, dynamic loads.
In this way, compressive residual and applied
stresses are ensured at any moment so that no
cracks can appear or propagate. The whole pro­
cedure proposed by the authors is, with the re­
sidual stresses known beforehand, connected
with a search of the optimal thickness of the sur­
face layer in consideration of the radius of cur­
vature of the sliding/rolling cylindrical speci­
men.
Table 2 (Ref 28) shows the effective and total
case depths of each roller specimen determined
from hardness and residual stress distributions
after various induction surface hardening con-
Table 2 Case depths of roller specimens
Specimen Effective case Total case
mark depth Z f f , mm depth Z t , mm
IA 1.32 1.75
IB 2.20 2.95
IC 3.02 5.00
Source: Ref 28
240 / Residual Stress During Hardening Processes
ditions. Figure 58 shows the optimal induction
surface hardened depth for surface durability cal­
culated by the proposed method for various rela­
tive radii of curvature, assuming that there are
no mass effects in heat treatments of induction
surface hardening and no size effects for surface
F¡g 5g Optimal induction surface hardened depth for
* surface durability. Source: Ref 28
800
700 4?
600 X00
- concerning the martensite fraction, and the var­
<z> iations of microhardness and residual stresses in
500 ®
400 1
300 2
200 ^
100
0 12 3 4
Depth below the surface (z), mm
F¡g Measured hardness (dotted line) and calcu­
lated martensite distribution (dashed line) after
induction surface hardening. Source: Ref 27
0 12 3 4
Depth below the surface (z), mm
F¡g Measured axial stress distribution (dotted line)
and calculated (solid line) after induction sur­
face hardening. Source: Ref 27
durability even though the radius of roller varies
(Ref 28). The effective case depths were ob­
tained by interpolating or extrapolating the cal­
culated total case depths considering the relation
of Table 2. It is clear that as the relative radius
of curvature increases, the optimum induction-
surface-hardened depth increases and the opti­
mal total case depth increases almost rectiline-
arly up to the relative radius of curvature of 40
mm.
Beck and Simon (Ref 29) treated theoretical
fundamentals of calculation of stresses due to
different he at treatment processes. Among others
they dealt also with surface induction hardening.
The calculations of temperature fields, and fi­
nally stress fields, in machine parts during their
heating and quenching are made in accordance
with a physical model and the finite-element
method. Numerical calculations and possibilities
of simulation of surface induction hardening re­
quire very extensive and lengthy calculations,
but give a very good insight in the heat treatment
process as a whole. The results obtained until
now in the field of the simulation of surface in­
duction hardening are accurate enough so that
the time variation of the stress state in a machine
part can be predicted efficiently, which pennits
optimization of heating and/or quenching tech­
nology.
In 1984 Melander (Ref 27) was the first to
show some results of his numerical calculations
and verify them experimentally. Figures 59 and
60 show theoretical and experimental results
the induction surface hardened layer (Ref 27). In
Fig. 59, the continuous line indicates the calcu­
lated variation of the martensite fraction and the
dotted line the variation of microhardness in the
Fig. 61 Time/tempera ture variations in single-shot heating at various HF generation powers, (a) R = 40 kW. (b) P 2
= 60 kW. (c) P s = 100 kW. (d) R = 180 kW. Source: Ref 30
thin surface hardened layer (Ref 27). The alloyed
chrome-molybdenum heat treatment steel AISI
4142 shows very good agreement between the
calculated martensite fraction and the micro­
hardness measured in the surface layer.
Figure 60 shows the through-thickness varia­
tion of calculated axial residual stresses (solid
line) and the through-thickness variation of the
measured axial residual stresses (dotted line) of
a surface hardened layer. Although parameters
of surface induction hardening are not known, it
can be confirmed that with regard to the marten­
site fraction and the microhardness attained, the
variation of the calculated axial residual stresses
is within expectations. The variation of the mea­
sured axial residual stresses in the thin surface
hardened layer to a depth of 0.75 mm is surpris­
ing. There, the deviation between the calculated
and measured values of the residual stresses is
exceptionally strong. The variation of axial re­
sidual stresses depends on the variation of the
martensite fraction in the surface hardened layer
and the increase in the specific volume of the
surface layer with the martensitic microstructure.
The measured variation of hardness indicates
that a probable variation of axial residual stresses
is closer to the one calculated.
The first group of diagrams (Fig. 61) shows
the time variations of through-thickness tem­
perature in single-shot induction heating with the
high-frequency generator with powers of 40, 60,
100, and 180 kW and a medium-frequency cur­
rent (Ref 30). Characteristic temperature trans­
formations Ta and 7A3 for equilibrium heating
are plotted in the diagram. Induction heating is
a very fast process; therefore, the temperature
transformations mentioned shift to higher tem­
peratures. In order to obtain homogeneous aus­
tenite in the surface layer, it is necessary to heat

the surface layer up to the hatched temperature
range. The results shown in Fig. 61(a) to (d)
make it possible to draw the following conclu­
sions:
• The heating curves differ strongly.
• The temperature does not reach the hatched
temperature range in 30 s only with the power
of 40 kW.
• The hatched temperature range is reached in
a shorter heating time with all other powers
higher than 60 kW.
• More intensive heating of the surface layer
occurs (shown in a more steep hardness curve
in the hatched temperature range) with all
powers higher than 60 kW.
The first question raised by an engineer would
be how to evaluate the through-thickness varia­
tions of hardness and residual stresses with ref­
erence to the time variation of temperature. The
second question would be how to select
induction-heating parameters to obtain optimal
properties of the surface hardened layer with a
minimum energy input. An answer is that one
must take into account the initial steel micro­
structure and choose an appropriate quenchant
to ensure, in the surface layer, a cooling rate
equal to or a bit higher than the critical cooling
rate required.
The second group of diagrams (Fig. 62) shows
the time and through-thickness variations of
temperature of the specimen at heating with dif­
ferent powers and different velocities of work-
piece movement, that is, Vj = 140 mm/min, v2
= 220 mm/min, v3 = 370 mm/min, and v4 =
680 mm/min in scan hardening (Ref 30). In the
first case, that is, with vb the hardened layer is
obtained with the powers of 74 and 50 kW. In
the second case, that is, with a higher velocity of
(a)
pjo 52 Time/temperature variations in scan hardening at various traveling speeds and various HF generation power, (a) v-¡ = 140 mm/min. (b) v 2 = 220 mm/min. (c) v3 = 370
mm/min. (d) v 4 = 680 mm/min. Source: Ref 30
movement v2, the hatched temperature range is
reached only in heating with the powers of 78
and 59 kW. In the third case, that is, with v3, the
hatched temperature range is reached only in
heating with the power of 112 kW, whereas in
the fourth case, that is, with the Iiighest velocity
v4, this temperature range is not reached in spite
of a very high power, namely, 151 kW.
In his contribution Kegel (Ref 31) treated the
conditions in surface induction heating and
quenching of flat steel with a thickness of 3 mm.
In 1943 Seulen and Voss published a study on
surface induction hardening in shot hardening
and scan hardening (Ref 30). Figure 63 shows
the time variation of temperature in surface in­
duction heating with a power density Q of 6.5
kW/cm2, a high frequency / that is, 250 kHz,
and the selected heat transfer coefficient a of
40,000 kcal/m2 °Ch after 0.02, 0.04, 0.05, 0.08
(dotted line), and 0.8 s (continuous line) (Ref
31). The other group of curves (continuous lines)
indicates the time and through-thickness varia­
tions of temperature due to quenching of the flat
specimen with a water jet. A starting point for a
study of the conditions of cooling with a water
jet is the time and through-thickness dependence
of temperature at the end of 0.1 s heating, when
a maximum temperature, that is, 1050 °C, was
reached at the specimen surface. The time/tem-
perature curves of through-thickness cooling of
the specimen indicate that:
• The surface temperature changes quickly due
to the influence of the quenchant and heat re­
moval using a cold quenchant.
• The temperature toward the specimen core in­
creases due to the cold core and the heat con­
ducted from the surface to the colder core ma­
terial; thus it increases at a depth of 2 mm
from the initial 130 °C even up to 340 °C.
(b) (c)
Induction Hardening/241
Figure 64 shows the variation of rate of in­
duction heating of the surface layer (dotted line)
(Ref 31). At the beginning of heating, that is,
after 0.02 s, the heating rate at the surface
amounts to 12,500 °C/s and at the end of heat­
ing, that is, after 0.1 s, decreases to 6800 °C/s.
The cooling rate at the surface and in the sub­
surface is around 3700 °C/s after 0.15 s and then
gradually decreases so that after 1.0 s it amounts
to only 200 °C/s. It is very important that in the
depths greater than 0.8 mm heating of the sub­
surface occurs. It reaches a maximum rate, that
is, around 2300 °C/s, just before surface cooling
with the quenchant (water). After 0.1s of heating
and additional 0.05 s of cooling, cooling of the
surface layer to a depth of 1.2 mm and then heat­
ing in greater depths are obtained. Heating in the
greater depths occurs due to heat convection
from the thin surface layer toward the cooler core
material.
One method of induction surface hardening
appropriate for large gear modules is known as
tooth gap hardening, a progressive hardening
method. In this case, the coil is placed so that it
ensures uniform gap between the coil and the
flanks of two adjacent teeth. The tooth gap hard­
ening method is very demanding and requires a
lot of experience and knowledge to achieve the
desirable properties of the gear. This method is
also known as contour hardening. It is an ideal
method for heat treatment of gears as it increases
the hardness on the surface of the tooth while
only slightly decreasing the load-bearing capac­
ity in the root of the tooth. Gears heat treated in
this way exhibit very good behavior in operation
as compressive residual stresses are present in
the root of the tooth. Gears with induction hard­
ened flanks, given that the dimensioning is care­
fully carried out, can achieve highest fatigue
(d)
242 / Residual Stress During Hardening Processes
strength. To verify the results of induction sur­
face hardening, it is necessary to take up certain
measures for controlling the qualify of the hard­
ened layer. For this purpose, hardness and mi­
crohardness measurements supported by micro­
structure analysis are commonly used. A
disadvantage of this procedure is also that, due
to the method of heating and quenching (non-
unifomily overheated left and right tooth flank),
one might get slightly higher dimensional devi­
ations than in the case of simultaneous hardening
of both flanks of the same tooth (Ref 11). Figure
65 shows the deviation in the dimensions of the
tooth after induction surface hardening in heat­
ing with a coil that encircles the gear tooth. Mea­
surements of gear teeth and gear gaps after in­
duction surface hardening show an increased
Depth below the surface (z), mm
Fifi. 63 Time/temperature profiles in surface induction
heating of steel plate with 3 mm thickness at
given heating conditions. Source: Ref 31
12
Depth below the surface (z), mm
Surface induction heating and cooling rate in
Fig. 64
thin surface layer at given conditions. Source:
Ref 31
volume in the tooth root and thus a smaller gap
and increased volume at the tip of the tooth (in­
creased gear diameter). These volume changes
result in a slightly smaller width of the tooth
above the pitch circle and slightly increased
tooth width below the pitch circle of the gear.
These dimensional deviations are relatively
small and negligible in the case of gears with
small diameter or small module, but might be­
come more important in gears with larger mod­
ules and greater tooth width (Ref 32, 33).
Surface hardening of gears is one of the most
frequent applications of induction surface hard­
ening. The first part of this article discusses dif­
ferent methods of induction heating of gears;
these methods depend not only on gear size, but
also on tlie properties expected of gears after heat
treatment. Gears are axisymmetric machine ele­
ments; therefore, volume changes due to the
transformation into martensite microstructure in-
Profile before Profile after
hardening hardening
pig 55 Distortion of individual tooth shape after in­
duction surface hardening caused by volume
changes. Source: Ref 32
Ref 32
duced by heat treatment are to be expected. Also,
the teeth themselves are symmetrical, which
means that careful application of uniform heat­
ing of particular gear teeth and uniform quench­
ing, regardless of the method applied, should not
cause distortion after heat treatment. In induction
surface hardening, compressive residual stresses
are created in the surface, which in addition to
hardness and wear resistance of the surface, cre­
ates a considerably high fatigue strength and re­
sistance to bending loads.
Figure 66 shows a part of a gear in cross sec­
tion with residual stress distribution in the sur­
face liar dene d layer of the gear tooth. Also in
this case, one obtains a residual stress distribu­
tion typical of induction hardening, that is, com­
pressive residual stresses in the hardened layer
with a martensite microstructure, followed by
tensile residual stresses, and at greater depth
again compressive residual stresses. It is known
that the size and distribution of residual stresses
can be influenced by power density. A number
of authors have done research into the effects of
power density or energy input used in heating
with the purpose of determining optimal induc­
tion hardening conditions leading to good me­
chanical properties of gears. Lower power den­
sity at the same current frequency requires
longer heating times at the same depth of the
hardened layer and results in liigher compressive
residual stresses with a moderate transition of
residual stresses from the compressive into the
tensile region.
In induction hardening of gears, it is necessary
to ensure the most uniform depth of the hardened
layer to achieve a symmetric distribution of re­
sidual stresses in the gear tooth cross section.
Stress Profiles in Machine Parts in
the Loaded State
Heat treatment engineers have to be very care­
ful in choosing the conditions of induction sur­
face hardening to benefit from the distribution of
residual stresses achieved in dynamically loaded
parts. In industrial practice, induction surface
hardening should satisfy the requirement of fa­
tigue resistance of machine components. This
worsening of the properties of the machine part
is mainly attributed to tensile residual stresses in
the hardened layer and undesirable hardness dis­
tribution in the transition zone from the hardened
into the unhardened part of the subsurface. These
effects are quite natural and are in the first phase
a result of very rapid local heating of the thin
surface layer while in the second phase this is
accompanied by forced quenching, which en­
sures a critical cooling rate and the occurrence
of martensite microstructure. Both phases in the
induction surface hardening can increase the risk
of fatigue especially if the latter is assessed only
from the point of view of surface hardness. For
successful estimation of the quality of the hard­
ened layer, it is thus recommended one selects
the optimal synergistic effects between the input
electric energy and the interdependence between
the induction coil and the workpiece surface,

connected with the occurrence of eddy currents face must have the highest compressive
in the workpiece surface layer, which leads to stresses.
heating. Due to complex synergistic effects in • If the total sum of stresses, namely, load ten­
induction heating or hardening, it is necessary to sion plus residual stresses on the surface, are
carefully study each influence on the properties always compressive, then there is no chance
of the hardened surface layer (Ref 11, 34). Fa­ for the occurrence of cracks and crack
tigue strength in machine components that have growth.
been induction surface hardened is increased if • To ensure good behavior of the surface and
the summed up load tensions and residual the hardened surface layer in the loaded con­
stresses in the surface layer are compressive. In dition, it is necessary to induce a suitable
order to ensure the highest fatigue strength of a prestressing in the surface layer. This can be
component, it is necessary to provide: achieved by a carefully selected heat treat­
ment method that would create the highest
• In dynamically loaded components, the sur­
compressive residual stresses on the surface
face is prone to fatigue occurrence, so the sur-
and desirable profile of the latter in the hard­
ened subsurface layer.
• Induction surface hardening offers great op­
Heated above hardening temperature-quenched portunities to ensure considerable compres­
Heated below hardening temperature-quenched sive stresses in the machine component sur­
face and likewise to ensure restrained
Core not heated
transformation of compressive surface
stresses in the subsurface layer into tensile
residual stresses.
The endurance of machine components sub­
(a) jected to bending and torsion loads can be suc­
cessfully increased by ensuring sufficiently liigh
("Residual stress) compressive residual stresses. To create a suffi­
+CRS v — ____-ORS
cient amount of compressive residual stresses
I Tension Compression that would have a favorable distribution is what
any manufacturer wishes to achieve since only
in this way is it possible to increase the reliability
1 of components in operation. An early failure of
—1-----------
Martensite Tempered a component in operation might cause cata­
Residual structure strophic damage on a machine and thus a loss of
stress profit. A decisive role in the occurrence of resid­
ual stresses is played by the synergistic effects
among the heat treatment method, the kind of
material, and shape of the workpiece. For this
(t>) reason, heat treatment has to be treated from the
+o External load stress
—0 point of view of heating, overheating, and cool­
Tension Compression ing/quenching and from the point of view of cre­
ated internal stresses at a certain point during the
treatment. During heat treatment, internal
stresses are created by the temperature differ­
ences and phase transformations between the
core and the surface, which is a result of the vol­
ume differences between the core and the sur­
face. The created volume differences between
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
effects:
Tension C^Resultant stress^) Compression
• In the case when in each moment lower in­
ternal stresses than that of the yield point are
ensured, one can expect higher residual
stresses induced by the heat treatment in the
workpiece, but these would not cause distor­
tions, cracks, or failure.
• In the case when during the heat treatment at
a certain moment internal stresses exceed the
yield point, distortions and usually lower re­
(d) sidual stresses in the workpiece result.
• In an extreme case of very detrimental con­
F jo 67 Stress profile in a round bar in the loaded state
ditions during the heat treatment when inter­
where residual stresses after induction surface
hardening and loading stresses add up. See text for details. nal stresses are higher than the tensile
Source: Ref 34 strength of the material, the workpiece would
Induction Hardening / 243
crack, and larger distortions and usually also
high residual stresses would occur.
Numerous changes that take place in the hard­
ened surface layer of the workpiece are always
a result of the heating and quenching conditions.
Therefore, it is necessary to study the events tak­
ing place in the workpiece directly after the hard­
ening temperature is reached. In the workpiece
heated to the hardening temperature one can dis­
tinguish three zones, shown in Fig. 67(a): the
first where the outer layer is heated to the hard­
ening temperature, the second zone layer heated
below the hardening temperature between the
temperatures Tm and TA3 for rapid heating, and
finally the third zone layer, which remains cold
during the entire heat treatment process.
Heating to the hardening temperature at a cer­
tain depth is followed by quenching. Quenching
results in the occurrence of compressive residual
stresses, as shown in Fig. 67(b), when the fa­
miliar transformations in the hardened layer take
place. The second layer does not suffer the same
distortions as the surface layer, though the heat­
ing there has been sufficient to improve the prop­
erties of the material. In the second layer, hard­
ening is incomplete, which in comparison with
the first layer results in lower hardness and
strength of material. In cases when a machine
component that has been surface induction hard­
ened in this way is subjected to an external load,
as shown in Fig. 67(c), then additional tensile
residual stresses can be noted in the first layer
and the second layer (Fig. 67d).
Since fatigue of a machine component is a
very delicate problem connected with accumu­
lated tensile stresses in the second zone, there is
a danger that, due to the size and shape and lo­
cation of the hardened trace, the effects of fa­
tigue are transfened to the surface. When a
loaded layer is exposed to tensile external stress
up to the surface, then the surface becomes very
sensitive to the occurrence of cracks. This ten­
dency to crack is further increased if defects are
present in the surface of the workpiece material.
A critical state in the second zone of the hard­
ened surface layer also occurs on locally hard­
ened workpieces where the surface was over­
heated or heated nonuniformly.
Fatigue Strength of Materials
In professional literature, data on fatigue
strength of materials are usually presented for a
prescribed shape and size of specimens that have
been adjusted to the testing device. Specimens
for fatigue strength are usually cylindrical with
a smaller diameter in the middle part and a
rounded transition into the larger diameter part.
The latter is then usually clamped for testing.
Modes of loading the specimens vary but are
usually either torsion, bending, and/or tension/
compression. The highest fatigue strength is dis­
played by a specimen subjected to bending loads
(Ref 11, 32). For other modes of loading, the
relation wtith bending fatigue strength <jwh is ex­
244 / Residual Stress During Hardening Processes
pressed empirically, that is, fatigue strength in
torsion tw = 0.58 crvty, and fatigue strength in
tension/compression <jwz = 0.70 awb.
Figure 68 presents Wohler curves for different
modes of dynamically loaded specimens made
from different steels that had been heat treated
in different ways. From among six curves, four
represent specimens made from heat treatable
steel and two for cementation steel specimens
(Ref 11). The heat treatable steel is Cr-Mo-Ni
steel with 0.37% Ni, and the specimens were
heat treated in two different ways:
• Surface hardening applied to specimens with
a smooth shape (curve 1) and specimens with
a slot (curve 2)
• Quenching and tempering applied to smooth
specimens (curve 4) and specimens with a
slot (curve 6)
The cementation steel is a chromium nickel steel
with 0.15% C where the specimens were
smoothly shaped (curve 3) and slotted (curve 5).
The achieved hardness on the surface of the
hardened specimens was 56 to 59 HRC and on
the cemented specimens 58 to 59 HRC. In order
to test the effects of the slot on fatigue strength
on all the specimens, whether they were
quenched and tempered, hardened, or cemented,
a slot of equal size and shape was made. It was
made in the middle of the cylindrical specimen
to an equal depth of 0.4 mm. The depth of the
surface hardening and cementation was the
same—1.5 mm. The test results showed that
there are significant differences in terms of dif­
ferent heat treatment methods and that the high­
est fatigue strength was found in surface hard­
ened specimens.
A comparison of the results of fatigue testing
has shown that:
• In surface hardened specimens with a smooth
cylindrical shape and with a slot, the differ-
Number of load cycles, N x 106
F¡o 58 Fatigue strength of surface hardened and car-
® burized specimens. Curves: 1, surface hard­
ened (smooth); 2, surface hardened (notched); 3, carbu­
rized (smooth); 4, quenched and tempered (smooth); 5,
carburized (notched); 6, quench and tempered (notched).
Source: Ref 1 I
ence in the achieved fatigue strength is min­
imal. This can be attributed to a very desirable
distribution and size of compressive residual
stresses throughout the hardened layer. Since
the depth of the slot reaches only one quarter
of the hardened surface layer, the size of com­
pressive residual stresses at the slot is still
very high, so that the weakening due to the
slot and stress concentration along the slot
does not cause any essential drop in fatigue
strength.
• In quenched-and-tempered specimens with
no earlier prestressing of the surface layer en­
sured, the fatigue strength was considerably
lower than in surface hardened specimens.
Also remarkably lower was the fatigue
strength of quenched-and-tempered speci­
mens with a slot. The results in the graph
show that the difference in fatigue strength in
slotted surface hardened specimens and slot­
ted quenched-and-tempered specimens is 5 to
1.
• Smooth cemented specimens displayed 25%
lower fatigue strength than the surface hard­
ened specimens of the same shape, whereas
the cemented specimens with a slot displayed
50% lower fatigue strength than the same sur­
face hardened specimens.
F¡g 59 Bending fatigue strength of gear tooth at tooth
gap hardening (a) and flank hardening (b) for
various steels. Dashed lines denote confidence limit ac­
cording to DIN 3990. Source: Ref 32
The question arises as to the fatigue strength
in those specimens where the slot reaches deeper
than the hardened layer. A regular problem oc­
curring in these cases is crack occurrence and
crack propagation starting from the slot. Due to
the shape of the specimen and the slot, stresses
start concentrating at these places, depending of
course on the kind and size of external loads.
Here it should not be forgotten that along the slot
there are no compressive residual stresses, and
that the size of tensile stresses along the slot
plays a decisive role in crack occurrence.
Figure 69 shows bending stress in the tooth
root subjected to dynamical load versus the num­
ber of oscillations (Ref 32). Figure 69(a) shows
the bending stress for the case of induction sur­
face hardening of adjacent flanks of two teeth
with a coil reaching into the tooth gap. In the
process the tooth flank as well as the tooth root
are hardened. This kind of heat treatment of
gears from steels for induction surface hardening
gives a fatigue bending strength in the range
from 320 to 490 N/mm2. Figure 69(b) shows the
same relationship for a case when the induction
coil encircles an individual gear tooth. In this
process, the tooth flank is hardened and the mi­
crostructure and hardness in the tooth root are
preserved. A result of this method of hardening
is that the fatigue strength is drastically lowered
to values ranging from 200 to 300 N/mm2 for
the entire range of steels suitable for induction
surface hardening. This is a considerable drop in
fatigue strength of the material in the root of the
tooth (Ref 34, 35).
Residual Stresses after Induction
Surface Hardening and Finish
Grinding
For manufacturing crankshafts, a heat treata­
ble 4140 AISI steel was used. This steel is very
appropriate for statically and dynamically loaded
parts of car engines and machines, especially be­
cause of its high hardness achieved after hard­
ening (57 HRC). The steel is characterized by
good hardenability and is thus suitable for manu­
facturing machine parts with large cross sections
in which after refinement a very high strength
can be obtained. After tempering the steel does
not show a tendency to brittleness, and therefore
no special heat treatment procedures are re­
quired. This steel is also suitable for surface
hardening (flame hardening, induction surface
hardening) and displays a very good resistance
to wear. However, special attention has to be
paid during product design, and great care
should be given to the design of radius and tran­
sition areas to prevent notch effects under dy­
namical loads. The steel is adapted for the use
in a wide range of temperatures and preserves
high toughness even at low temperatures (Ref
17, 36).
Figure 70 shows residual stress distribution
after induction surface hardening in the central
bearing location (A) and on the extreme left-side
 Induction Hardening / 245

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 36-41). In the grind­ the thin surface layer. The modified content
— 1060 N/mm2 at a depth around 250 pm, 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 induc­ tive 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 veiy similar to that in the central bearing heating and cooling of the given spot at the pm 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 tltis
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
o i11
CM
E Bearing location A; duces a stronger overheating of the work- grinder neither major nor important changes
-Í -200 «1, piece. In such cases bums will occur at the are expected either at the surface or in the
z workpiece surface and, consequently, soft­ surface layer. In the surface layer only mar­
'g -400 (¡I
f VI ened spots that do not ensure the working life tensite tempering may occur if it was not per­
required of a component, that is a machine
f2
A1
formed already during the heat treatment of
© -600 r— part.
60
60 f the workpiece. Such grinding conditions are
<D • 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
ü -1000 ****** Be arinq ocation C; workpiece material was obtained. The depth additions for final fine grinding of the surface
60 \ \ Specimens Cty C2
<D of the remelted layer is only a few microns are quite small.
“ -1200
Ci A2

1 2 3 4 5 6 7 and makes a very fine ledeburite microstruc­

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:
F¡g /O Residual stress profiles after induction hard­ ture has a slightly lower hardness than
• Formation of the residual austenite contrib­
ening on the specimens A-, and A, of the mean martensite. The residual stresses in the thin
bearing location in the middle of the crankshaft and on the utes to the fonnation of tensile residual
surface layer will be tensile due to plastic de­
specimens C-, and Q on the extreme left-side bearing lo­ stresses due to grinding.
cation. Source: Ref 37 formation of the surface layer in grinding
• The lower content of the cementite-carbide
caused by tensile forces in the contact zone
phase produces fonnation of ledeburite con­
of the workpiece material and the tensile
taining tire residual austenite, which contrib­
stresses induced by the occurrence of residual
utes to the formation of tensile residual
austenite should be added to this.
stresses due to grinding.
Bearing location A: • The maximum temperature in the contact
-200 • The tempering effects in the martensite strac-
spec imens 4 2 Normal zone is lower than the temperature required
grinc ing con ditions ture also contribute to the formation of tensile
for the beginning of fusion of the given ma­
-400 residual stresses due to grinding.
terial and higher than the austenitizing tem­
Bearing ocation C: • Material plastification due to grinding can
SS -600
/ specime is C2: G entie perature. The lower temperature, that is the
produce compressive or tensile residual
grinding conditio ns — austenitizing temperature, will shift because
stresses depending on the type of grinding
N of a high rate of heating of the workpiece to­
-800 IV /
t ward higher temperatures as known from
and the grinding conditions.
rA Ca transformation diagrams. In such cases, the Figure 71 shows residual stress changes re­
•55 -1000 A
© rl— surface layer is expected to heat up to such a sulting from induction hardening and grinding
QÍ 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
50 100 150 200 250 300
structure, through which the accompanying only to a depth of 200 pm. The variation of the
Depth below the surface (z), pm
diffusion processes are going on, will fonn. 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 hardening and grinding. Source: Ref 37 surface layer was martensite-cementite- duction hardening were reduced only slightly so
246 / Residual Stress During Hardening Processes
that in the thin surface layer, which is very criti­
cal, very high compressive residual stresses re­
mained. Outer loads never exceeded the high
compressive stresses, which means that there is
no risk of crack initiation in strongly dynami­
cally loaded universal-joint shafts.
Figure 72 shows residual stress changes re­
sulting from induction hardening and grinding
for main bearing spots F and G (Ref 37). The
same holds true for these two bearing spots,
which means that the selected induction hard­
ening and grinding conditions were favorable.
Although grinding produced tensile stresses due
to and characteristic mainly of grinding, the lat­
ter were almost negligible with regard to the total
of the preceding residual stresses.
Summary
Induction surface hardening of machine com­
ponents and especially gears is a very complex
process involving a whole range of possible heat
treatment methods, which are all reflected in ei­
ther good or bad serviceability of machine com­
ponents. The heat treatment engineer has to be
aware of the different effects of particular design
shapes of induction coils, to be familiar with
electromagnetic phenomena and eddy currents,
and to have some experience in the right choice
of energy inputs necessary for heating. The en­
ergy needed for heating can be provided by
changing the generator power as well as by
changing the frequency of the current. In pro­
gressive hardening, to achieve a suitable energy
input, the workpiece feed rate or the rate at which
the coil is moved has to be adjusted, whereas in
single-shot hardening suitable energy input is
achieved by adjusting the heating time with a
high-frequency current. An essential advantage
of induction surface hardening is that it is pos­
sible to achieve a sufficient repeatability of the
hardened layer thickness on the workpiece as
well as a desirable or even prescribed hardened
layer profile, ensuring sufficient hardness and fa­
vorable distribution of residual stresses in the
hardened layer. A variety of steels and a whole
0 Electron Beam Surface Hardening, Heat
-200
-400
Bea ring loc ation G
-600 Abu sive co ndltlon*
-800 A VAv/ /
-1000 Bes ring loc:atlon F
Normal grinding conditions
-1200
0 50 100 150 200 250 300
Depth below the surface (z), pm
Variation of the residual stresses after induction
Fig. 72 surface hardening and grinding. Source: Ref 37
range of induction-hardening methods provide
the possibilities for very accurate planning of the
size and distribution of residual stresses. This is
of growing importance since manufacturers are
more and more often required to produce ma­
chine components, which, among other surface
properties, will have to have quite specific resid­
ual stress distribution along the depth of the
hardened layer. It has become a proven fact that
high compressive stresses ensure high fatigue
strength of machine components and reduce the
danger of the occurrence and growth of cracks
on the surface of components. As far as induc­
tion surface hardening is concerned, it is also
quite important to choose the right quenching
medium and quenching method. For this reason,
engineers have to direct their attention not only
to the method of heating and possible overheat­
ing of the surface layer, but also to the methods
of quenching and the right choice of the medium
for quenching.
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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
METHODS, heat treating has the greatest over­
all impact on control of residual stress and on
dimensional control. Among the various pro­
cesses involved in heat treating, quenching is
one of the most important. One author has esti­
mated that approximately 20% of the problems
in heat treating relate to heating and as much as
80% of the problems relate to cooling (Ref 1).
This article provides an overview of the effects
of various material- and quenchant-related pa­
rameters on residual stress, distortion control,
and cracking. The subjects that are discussed in­
clude:
• Phase transformations during heat treating
• Metallurgical sources of stress and distortion
during reheating and quenching
• Effect of materials and quench process design
on distortion
• Quenchant selection
Seconds
pjo -j Time-temperature-transform at ion (TTT) diagram of an unalloyed steel containing 0.45% C. Austenite tempera-
ture = 880 °C. Courtesy of Verlag Stahlessen mbH Dusseldorf
• Measurement and evaluation of quenching in the transfonnation process is to heat steel to
power its austenitizing temperature. Steel is then cooled
• Effect of process variables on cooling behav­ rapidly to avoid the formation of pearlite, which
ior and heat transfer is a relatively soft transformation product, to
• Effect of cooling characteristics on residual maximize formation of martensite, a relatively
stress and distortion hard transformation product, to achieve the de­
• Methods of minimizing distortion sired as-quenched hardness.
• Tempering The most common transformation products
• Prediction of residual stress and distortion that may be formed in quench-hardenable steels
from austenite are in order of formation with de­
creasing cooling rate: martensite, bainite, pearl­
Phase Transformation during Heat ite, ferrite, andcementite. The formation of these
Treating products and the proportions of each are depen­
dent on the time and temperature cooling history
of the particular alloy and elemental composition
of that alloy. The transformation products
Steel Transformation formed are typically illustrated with the use of
transformation diagrams that show the tempera­
Properties such as hardness, strength, ductil­
ture-time dependence of the microstructure for­
ity, and toughness are dependent on the micro-
mation process for the alloy being studied. Two
structures that are present in steel. The first step
of the most commonly used transfonnation dia­
grams are time-temper ature-transformation
(TTT) and continuous-cooling-transformation
(CCT) diagrams.
TTT diagrams, also called isothermal trans­
formation (IT) diagrams are developed by heat­
ing small samples of steel to the temperature
where austenite transformation stnicture is com­
pletely formed, that is, austenitizing temperature,
then rapidly cooling to a temperature interme­
diate between the austenitizing and the marten­
site start (Ms) temper afine, and then holding for
a fixed period of time until the transformation is
complete, at which point the transformation
products are determined. This is done repeatedly
until a TTT diagram is constructed such as that
shown for an unalloyed steel (AISI 1045) in Fig.
1. TTT diagrams can only be read along the iso­
therms.
CCT Diagrams. Alternatively, samples of a
given steel may be continuously cooled at dif­
ferent specified rates, and the proportion of trans­
formation products formed after cooling to vari­
ous temperatures intermediate between the
J_____ L J_____ L
4 8 15 30 60
austenitizing temperature and the Ms are deter­
Minutes I----- L. J____I mined to construct a CCT diagram such as the
12 4 68 16 24 one shown for an unalloyed carbon steel (AISI
Time Hours
1045) in Fig. 2. CCT curves provide data on the
temperatures for each phase transformation, the
amount of transformation product obtained for a
 Hardening by Reheating and Quenching / 249

given cooling rate with time, and the cooling rate
necessary to obtain martensite. The critical cool­
ing rate is dictated by the time required to avoid
formation of pearlite for the particular steel be­
ing quenched. As a general rule, a quenchant
must produce a cooling rate equivalent to, or fas­
ter than, that indicated by the “nose” of the pearl­
ite transformation curve to maximize martensite
transformation product formation. CCT dia­
grams can only be read along the curves of dif­
ferent cooling rates.
Caution: Although it is becoming increas­
ingly common to see cooling curves (tempera­
ture-time profiles) for different cooling media
(quenchants) such as oil, water, air, and others,
superimposed on either TTT or CCT diagrams,
this is not a rigorously correct practice and vari­
ous errors are introduced into such analysis due
to the inherently different kinetics of cooling
used to obtain the TTT or CCT diagrams versus
the quenchants being represented. A continuous
cooling curve can only be superimposed on a
CCT, but not on a TTT diagram.
Metallurgical Crystal Structure. When steel
is slowly cooled, it undergoes a crystal structure
(size) change as it transforms from a less densely
packed austenite (face-centered cubic, or fee) to
a more densely packed body-centered cubic
(bcc) structure of ferrite. At faster cooling rates,
the formation of ferrite is suppressed and mar­
tensite, which is an even less densely packed
body-centered tetragonal (bet) structure than
austenite, is formed. Illustrations of these crystal
structures are provided in Fig. 3. This results in
a volumetric expansion at the Ms temperature as
shown in Fig. 4.
Figure 5 shows that the crystal lattice of aus­
tenite expands with increasing carbon content
(Ref 2). Typically, when a carbide-ferrite mix­
ture is converted to martensite, the resulting ex­
pansion due to increasing carbon content is ap­
proximately 0.002 in./in. at 0.25% C and 0.007
in./in. at 1.2% C (Ref 2). The fractional increase
in size when austenite is converted to martensite
is approximately 0.014 in./in. for eutectoid com­
positions. This illustrates the effect of carbon
structure and steel transformation on residual
stresses and distortion, which leads to dimen­
sional changes.
Estimation of Volumetric Change. In the
previous discussion, it is shown that there are
various microstructures possible upon quench­
ing of steel and that the potential microstructural
transformations that are possible for a given steel
are shown by their CCT or TTT diagrams. Fur­
thermore, dimensional changes are possible, de­
pending on the carbon content and microstruc­
tural transformation product formed. Table 1
summarizes the atomic volumes of different mi­
crostructural components as a function of carbon
content (Ref 3). Table 2 provides an estimate of
volumetric changes as a function of carbon con­
tent for different metallurgical transformations
(Ref 4).
Thelning reported that volumetric expansion
that occurs as a result of quenching could be es­
timated from (Ref 5):
AVIV X100 =(100 -V C :.~ Fa) X1.68C
+ (-4.64 + 2.21 C)
where (AVIV') X 100 equals the percentage
change in volume, Vc equals the volume per­
centage of undissolved cementite, (100 - Vc -
VJ equals the volume percentage of martensite,
Va equals the volume percentage of austenite,
and C equals the weight percentage of carbon
dissolved in austenite and martensite.
Berns reported that if the value of {AVIV) is
known or can be computed, then internal stresses
that are developed in a part due to temperature
differences (AT) arising from either one-dimen­
sional heating or cooling could be estimated
from (Ref 6):
a = E • s = E • y3(AVIV) = E ■ a• AT
where E (modulus of elasticity) = 2 X 105 N/
mm2 and a (coefficient of thermal expansion) =
1.2 X 10“":\ Relative volume changes due to
phase transformation are shown in Fig. 6 (Ref
6).
Figure 7 shows that stresses, such as an in­
crease in hydrostatic pressure, accelerate phase
transformations (Ref 7). This will occur whether
the stresses are tensile or compressive and will
result with accelerated austenite decomposition
and increasing Ms temperature. The strain of this
process is often estimated as being equal to the
volumetric expansion divided by 3 (Ref 8).
Transfonnation plasticity is a process whereby a
stress will affect linear strain. This is shown in

Seconds J___ !
2 4 8 15 30 60
Minutes I_____ L
1 4 6 8 16 24
Time
Hours

F|g 2 Continuous-cooling-transformation diagram of an unalloyed steel containing 0.45% C. Austenite temperature F|g 3 Crystal structures, (a) Austenite, fee. (b) Ferrite,
= 880 °C. Courtesy of Verlag Stahlessen mbH Dusseldorf bcc. (c) Martensite, bet
250 / Residual Stress During Hardening Processes
Fig. 8 where the effect of applied stress on mar­
tensitic transformation strain is shown (Ref 8).
Generally, the Ms temperature is increased by
tensile stress and decreased by hydrostatic pres­
sure. Figure 9 shows that stress exhibits very
Temperature, °F
0 200 400 600 800 1000 1200 1400 1600
Temperature, °C
Steel expansion and contraction upon heating
Fig. 4
and cooling
Carbon, wt%
F¡o 5 Carbon content versus lattice parameters of (re-
® tained) austenite and martensite at room tem­
perature. a at the top of the graph is the lattice parameter
of fee austenite, a and c in the lower half of the graph are
the two lattice parameters of tetragonal martensite. The ra­
tio of c/a for martensite as a function of carbon content is
also given.
large effects on the start and stop times for pear- At the point of maximum temperature differ­
litic transformation (Ref 7). ence between the surface and the core (point T),
Cooling and Steel Metallurgical Transfor­ the core cools (shrinks) more quickly than the
mation. The following paragraphs discuss cool­ surface, leading to an elastic dimensional reduc­
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
tion changes. Under these conditions, the surface at the bottom right in Fig. 10 (Ref 10), will be
of the component cooled much more quickly obtained. If the surface stresses exceed the hot
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.
tion in volume at the surface (due to lower tem­ Cooling with Transformation (Ref 8, 9). When
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
the core in compression. mation of both thermal and transformational
stresses must be considered. Figure 11 illustrates
Table 1 Atomic volume of different micro­ three different examples of this process (Ref 9).
structure constituents of ferrous alloys Example 1, illustrated in Fig. 11(a), occurs
when phase transformation of both the surface
Phase Apparent atomic volume, A3 and the core occurs before the thermal stresses
Ferrite 11.789 change sign. Above the Ms transformation tem­
Cementite 12.769
perature, the stresses that are formed are thermal.
Ferrite + carbides 11.786 + 0.163 C(a)
Pearlite 11.916 Upon further cooling, the stresses in the core ex­
Austenite 11.401 + 0.329 C(a) ceed the yield strength and plastic deformation
Martensite 11.789 + 0.370 C(a) (elongation) occurs. Subsequent martensitic
transformation at the core provides a substantial
(a) C, % C stress component due to volumetric increases
from martensitic phase transformation. This
causes the core to be in compression and the sur­
Table 2 Volumetric changes with different face to be in tension simultaneously.
steel transformations Example 2 (Fig. 1 lb) illustrates the case that
begins after the thennal stresses change sign.
Steel transformation Volumetric change (a)
The transformation-induced volume increase of
Pearlite —» austenite —4.64 + 2.21 C the surface layer adds to the compressive stresses
Austenite —» martensite 4.64 — 0.53 C
Austenite—> acicular lower bainite 4.64 — 1.43 C
at the surface. Since the stresses are balanced,
there is a corresponding increase in the tensile
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
fore the surface (Fig. 11c). During cooling, the
sign of the stresses changes three times. There
are important consequences whether the core
transforms before or after the stress reversal be­
cause thermal stresses may be counteracted, and
tensile surface residual stresses may result (Ref
8).
This is illustrated in Fig. 12(a) where it is
shown that if Hie steel transformation occurs be­
fore the thermal stress maximum, the ferrite/
pearlite structure of a cylindrical test specimen
will be distorted into a ban el-shape (Ref 6). If
the transformation occurs after the thermal stress
maximum, the austenite is pressed into a banel
shape followed by a volumetric increase due to
martensitic transfonnation as shown in Fig.
12(b). This will result in high tensile residual
stresses on the surface. Ifthe steel transformation
occurs simultaneously with the maximum ther­
mal stresses, as shown in Fig. 12(c), transfor­
mation in the core will occur prior to surface
Carbon content, % transfonnation, and a banel shape will appear
F¡g (, Specific volume (AV/V) of carbon steels relative
with high compressive stresses on the surface. If
° to room temperature. Tempered martensite, < the surface is transformed prior to the core, the
200 °C transfonnational stresses will decrease, or pos-

sibly even reverse the thermal stresses. If this
occurs, a spool shape will be formed.
These data show that the position of cooling
curves for both the surface and the core for the
quenching process must be considered with the
appropriate TTT curve for the steel of interest
and that there are numerous mixtures of thermal
and transformational stresses possible. Table 3
provides a summary of these processes (Ref 6).
In some steels, those with higher carbon con­
tent and alloy steels, the martensite finish (Mf)
temperature is below 32 °F (0 °C), which means
that it is likely that at the conclusion of heat treat­
ing there will be as much as 5 to 15% of austenite
remaining (Ref 11). The amount of retained aus­
tenite will exhibit significant effects on the mag­
nitude of compressive stresses formed and ulti­
mately on dimensional changes to be expected.
Some of the factors affecting retained austenite
formation include: chemical composition (which
dictates the Ms temperature), quenching tem­
perature, quenching cooling rates, austenitizing
temperature, grain size, and tempering.
Tempering
The tempering process involves heating hard­
ened steel to some temperature below the eutec-
toid temperature in order to decrease hardness
and increase toughness. In general, tempering is
divided into four stages, which are summarized
in Table 4 (Ref 10). These include:
• Tempering of martensite structure
• Transformation of retained austenite to mar­
tensite
• Tempering of the decomposition products of
martensite and at temperatures >900 °F (480
°C)
• Decomposition of retained austenite to mar­
tensite (Ref 11)
Figure 13 illustrates the effect ofmicrostructural
variation during tempering on the volume
Fig. 7 Effect of hydrostatic pressure on the transformation kinetics of 50CV4 steel. B, bainite; F.P., ferrite-pear lite
transformation; M,, martensitic start temperature. Source: Ref 7
Hardening by Reheating and Quenching / 251
changes occurring during the tempering of hard­ occur in the plastic zone and are permanent.
ened steel (Ref 10). Upon heating, the stresses are gradually relieved
Figure 14 (Ref 11) illustrates the effect of di­ by changes in the shape of the part due to plastic
mensional variation and retained austenite con­ flow. This is a continuous process, and as the
tent of a bearing steel (100 Cr 6) as a function temperature of the part is increased, the material
of tempering temperature. In addition to those yield stress decreases as shown in Fig. 16 (Ref
effects discussed previously, tempering may also 13). It is a function not only of temperature but
lead to dimensional variation due to relaxation also of time, since the material will creep under
of residual stresses and plastic deformation, lower applied stresses. It is apparent that the
which is due to the temperature dependence of stresses can never be reduced to zero, because
yield strength (Ref 10). the material will always possess some level of
yield strength below which residual stresses can­
not be reduced.
Metallurgical Sources of Stress and Material Movement. When parts are heated
Distortion during Reheating and during heat treatment, a thermal gradient exists
Quenching across the cross section of the component. If a
Basic Distortion Mechanism. Shape and
volume changes during heating and cooling can
be attributed to three fundamental causes (Ref
12):
• Residual stresses that cause shape change
when they exceed material yield strength. 5?
This will occur on heating when the strength
properties decline.
• Stresses caused by differential expansion due
to thermal gradients. These stresses will in­ 5
crease with the thermal gradient and will w
cause plastic deformation as the yield
strength is exceeded.
• Volume changes due to transformational
phase change. These volume changes will be
contained as residual stress systems until the
yield strength is exceeded. Temperature (0), °C
Relief of Residual Stress. If a part has locked- F¡o. 8 Dilatometer curves for a 0.6% C steel
in residual stresses, these stresses can be relieved ® (60NCD11) for different applied stresses
by heating the part until the locked-in stresses
exceed the strength of the material. A typical
stress-strain curve obtained from a tension test
is shown in Fig. 15 (Ref 12). Initial changes in
shape are elastic, but under increased stress they
0 20 40 60 80
Tensile stress (o), MPa
Fig. 9 Effect of tensile stress on pear lite transformation
starting and ending times. Isothermal transfor­
mation at 673 °C, eutectoid steel. The tD and fF times are
transformation starting and ending times, respectively.
252 / Residual Stress During Hardening Processes

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 = 10 d 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
creases. If these volume changes cause stresses
that are constrained within the strength of ma­ o
terial, a residual stress system is created. If the <D
stresses cannot be contained, then material
movement will occur, which will cause cracking
under extreme conditions. The expansion is re­
lated to the composition of the steel. Fig. 17 I—
shows the relative volume increase of two steels
as a function of austenitizing temperature and
specimen dimensions.
While all of these phenomena are well-known
physical changes, the situation is made more
complex when all three events occur simulta­
neously. In addition, other events such as heating
rate, quenching, and inconsistent material com­
position further complicate the process.

Effect of Materials and Quench

Process Design on Distortion
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
from 680 °C (Ref 15, 16). The results, shown in
Fig. 18(a) and (c), show that essentially equiv­
alent variation in diameter and length with both
cooling processes were obtained that were due
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
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
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
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. fu/ time instant of stress reversal
 Hardening by Reheating and Quenching / 253

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,” wliich 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 (/), are defined as: A = 501. 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
(AT)2 (A VíVf dependency (As) (%) Examp le
Solution to the gear design problem shown in
Fig. 23 is to provide greater symmetry as shown Change of microstructure Small 7^0 £i = £ n = s m 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 £1 S 11 ^ £U1 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 £1 00 »0 In air
“ £u £U1
illustration of this problem is hardening of a after thermal stress Big »0 £1 £11 < £U1 »0 Full hardness
shaft over a lubrication cross hole as shown in maximum penetration
Fig. 24 (Ref 19). Preferred alternative designs In water
Transformation R Big >0 £1 -> £11 > £U1 0 0 Medium hardness
are also shown in Fig. 24. If a radial cross hole
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 Si « sn « slu »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/? + K Small «M0 £i “ £n “ si 11 00 “0 Normalizing,
slot, is shown in Fig. 25 (Ref 20). In this case, before thermal stress Big “0 £1 £U < £1U <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; AT = (TK — Tr); AVIV = relative volume change, Convexity As = gk - sm; and sk dimensional change in middle
the slot caused by vaporization of the quenchant. of the plane, respectively, at the edge; oE = 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
Temperature
range
Stage °C °F Metallurgical reaction Exp ans ion/ contr action
1 0-200 32-392 Precipitation of s carbide. Loss of tetragonality Contraction
2 200-300 392-572 Decomposition of retained austenite Expansion
3 230-350 446-662 s carbides decompose to cementite Contraction
4 350-700 662-1292 Precipitation of alloy carbides. Grain coarsening Expansion

log f, s

1 “'max WR ~ :------ /
1i
\ 2 UR A7max UK
/ -<3- 3 uK -*-ArmaK-*- UR

4 L/r ** E/r —►
Barrel Spool

pig 1 2 S'ze change due to thermal changes and phase

transformation. K, core; R, surface Fig. 13 Effect of microstructural constitutional variation on volume changes during tempering
254 / Residual Stress During Hardening Processes
and hardenability greater than that of 1037 are
difficult to water quench (Ref 19).
• Some steel grades with high manganese are
prone to microsegregation of manganese and
gross segregation of chromium are prone to
cracking. These include: 1340, 1345, 1536,
1541, 4140, and 4150. If possible, it is often
a good choice to replace the 4100 series with
the 8600 series of steels (Ref 21).
• “Dirty” steels, those containing greater than
0.05% S, are more prone to cracking such as
1141 and 1144. The reasons for this include:
greater alloy segregation in dirty steels lead
to alloy-rich and alloy-lean regions, there are
Dimensional variation and retained austenite
Fig. 14
content of 10006 steel as a function of tem­
pering temperature
Various features of a typical stress-strain curve
Fig. 15
obtained from a tension test
typically more surface seams that act as stress
risers with dirty' steels, and steels with liigher
sulfur levels are often manufactured to coarse
grain practice for improved machinability,
which also imparts greater brittleness and
propensity for cracking.
• Decarburization of up to 0.002 5 in. per V\ & in.
diameter may be present.
It is well known that cracking propensity in­
creases with carbon content. Therefore, carbon
content of steel is one of the determining factors
for quenchant selection. Table 5 summarizes
some steel mean carbon content concentration
limits for water, brine, or caustic quenching (Ref
21).
It is well known: that regions containing high
concentrations of coarse carbide microstructure
as a result of improper forging may become the
initiation point for subsequent quench cracking,
particularly with parts of complex shape (Ref
22). It is important to provide a sufficient forging
reduction ratio to allow the carbide formation to
become fine and uniform (Ref 23).
Since part manufacture, such as gear produc­
tion, often requires machining, the condition of
the steel that is going to be machined is critically
important. Some workers have recommended
that normalized and subcritical annealed steel is
Temperature, °F
200 400
Temperature, °C
Fig. 16 Variation of yield strength with temperature for three generic classes of steel
Volume increase of steels 90MnV8 and 15CrV6 as a function of austenitizing temperature and specimen
Fig. 17
dimensions
the ideal condition (Ref 18). Subcritical anneal­
ing is performed to relieve stresses incurred dur­
ing normalization without softening or homog­
enizing the steel. The subcritical annealing
process reduces the carbon content and alloy car­
bide content in the austenite allowing the pro­
duction of more lath martensite in the micro­
structure, which provides higher fracture
toughness and higher impact toughness (Ref 22).
Machining
Material removal during machining can result
in high residual stress levels and ultimately un­
acceptable distortion (Ref 18). When excessive
machining stresses are imparted, the process
may require modification to include a rough ma­
chining and stress relieving followed by fine ma­
chining. This subject is covered in the article in
chapter 5 and is not discussed in detail here.
Component Support and Loading
Toshioka (Ref 16) examined the bending be­
havior of a piston rod that is heated vertically
while suspended from the top of a furnace. After
austenitizing, the piston rods were then oil
quenched while still hanging vertically and the
600 800 1000 1200
CN
Ó

amount of distortion obtained, shown in Fig. 26,
is widely variable from nearly zero to as much
as 20 mm (Ref 16). Many parts may sag and
creep under their own weight when heat treated;
this is an important cause of distortion. An ex­
ample of a type of component that is susceptible
to such distortion is a ring gear, the dimension
limits by which ring gears are classified are pro­
vided in Fig. 27 (Ref 18). (A general dimen­
sional classification of various distortion-sensi­
tive shapes is provided in Fig. 28, Ref 18.)
Proper support when heating is required to min­
imize out-of-flatness and ovality problems,
which may result in long grinding times, exces­
sive stock removal, high scrap losses, and loss
of case depth (Ref 18). To achieve adequate dis­
tortion control, custom supports or press quench­
ing may be required.
Pinion shafts, as defined in Fig. 28, are sus­
ceptible to banding along their length if they are
improperly loaded into the furnace as shown in
Fig. 29 (Ref 18). When this occurs, the pinion
shafts must then be straightened, which will add
to production cost.
Surface Condition
Quench cracking may be due to various steel-
related problems that are only observable after
the quench, but the root cause is not the quench­
ing process itself. Many of these have been re­
viewed earlier and include: prior steel structure,
stress risers from prior machining, laps and
Distance from end of bar
first into quench, mm
(a)
680°C/water quench.
—No transformation.
Thermal strain only.
Distance from end of bar
first into quench, mm
(c)
Fig. 18 Dimensional variation of a medium-carbon (0.4%) steel bar (200 mm diam by 500 mm) after the indicated
heat treatments. These bars were quenched vertically with one end down (marked 0 in the figure), (a) and (c)
show no transformation, thermal strain only after water quenching from 680 °C. (b) and (d) show thermal and
mation strains after quenching from 850 °C. OQ, oil quench; WQ, water quench
Hardening by Reheating and Quenching / 255
seams, alloy inclusion defects, grinding cracks, within the decarburized layer, the part does not
chemical segregation (bonding), and alloy de­ harden as completely as it would at the same
pletion (Ref 24). In this section, three problems point below the surface if there were no decar­
related to surface conditions that may contribute burization. This leads to nonuniform hardness,
to poor distortion control and cracking are dis­ which may contribute to increased distortion and
cussed: “tight” scale formation, decarburization, cracking because (Ref 20):
and the formation of surface seams or “nonme-
tallic stringers.” • The decarburized surface transforms at a
Tight scale problems are encountered with higher temperature than the core (the Ms tem­
forgings hardened from direct-fired gas furnaces perature decreases with carbon content). This
leads to high residual tensile stresses at the
with high-pressure burners (Ref 20, 21). The ef­
fect of tight scale on the quenching properties of decarburized surface or a condition of unbal­
two steels, 1095 carbon steel and 18-8 stainless anced stresses and distortion.
steel, is shown in Fig. 30 (Ref 14). These cooling • Since the surface is decarburized, it will ex­
curves wer e obtained by still quenching into fast hibit lower harden ability than the core. This
oil. A scale of not more than 0.08 mm (0.003 will cause the upper transformation products
in.) increased the cooling rate of 1095 steel com­ to form early, nucleating additional undesir­
pared with the rate obtained on a specimen with­ able products in the core. The decarburized
out scale. However, a heavy scale (0.13 mm, or side will be softer than the side that did not
0.005 in., deep) retarded the cooling rate. A very
light scale (0.013 mm, or 0.0005 in., deep) also
increased the cooling rate of the 18-8 steel over
that obtained with the specimen without scale.
In practice, the formation of tight scale will r—A
vary in depth over the surface of the part result­ i
ing in thermal gradients due to differences in 1/
cooling rates. This problem may yield soft spots Oil iÍ
and uncontrolled distortion and is particularly a quench !j
problem with nickel-containing steels. Surface 1i
oxide formation can be minimized by the use of \ i_______ -i_______ \
an appropriately protective atmosphere.
L— A t
The second surface-related condition is decar­ 0.1 mm
burization, which may lead to increased distor­ |—- A
tion or cracking (Ref 23). At a given depth
! \V
S/
Water
quench 11
+0.1
/,\
1/
i c.
L— A
0.3 mm
Outer-face Change across
change midsection (A-A)
250 500
Fig 19 Dimensional changes in a 70 mm steel (0.15%
Distance from end of bar ®' C, 1% Mn, 0.75% Cr,0.85%Ni) bar after aus­
first into quench, mm tenitizing and then quenching in water or oil
(b)
850°Cfquench.
-Thermal and
transformation strain.
Distance from end of bar
first into quench, mm
<d)
20 D
Fig.transfor­ ie quench system. Courtesy of Gleason Tool­
ing Products Group
256 / Residual Stress During Hardening Processes
undergo decarburizing, which is harder. The
greater amount of martensite leads to distor­
tion.
The solution to this problem is to restore carbon
into the furnace atmosphere or machine off the
decarburized layer.
The third surface-related condition that may
lead to cracking or material weakening is the for­
mation of surface seams or nonmetallic inclu­
sions, which may occur in hot-rolled or cold-
finished material. The presence of these defects
prevents the hot steel from welding to itself dur­
ing forging, for example, creating a stress riser.
To prevent this problem with hot-rolled bars,
stock should be removed before heat treatment.
Recommendations made earlier by Kern are pro­
vided in Table 6 (Ref 21). Although not a pub­
lished standard, Kern has reported that a seam or
Upper die contacts work. Work Timing cycle begins, and quenching
aligned while still in plastic oil is forced into quenching chamber
quenching position
Fig. 21 Schematic of a press quench system. Courtesy of Gleason Tooling Products Group
The problem: gear
tapers or warps
pj„ 22 Schematic of a gear that is difficult to harden
without the distortion shown
Fig. 23 Design solutions to the distortion problem
shown in Fig. 22
nonmetallic depth of 0.001 in./0.13 in. diameter
maximum is usually acceptable for cold-finished
bars (Ref 21). If the seam depth is excessive, it
is recommended that the bars be magniflux in­
spected prior to heat treatment.
Heating and Atmosphere Control
An important source of steel distortion and
cracking is nonuniform heating and not using the
appropriate protective atmosphere. For example,
if steel is heated in a direet-gas-fired furnace with
high moisture content the load being heated may
adsorb hydrogen leading to hydrogen embrittle­
ment and subsequent cracking that would not nor­
mally occur with a dry atmosphere (Ref 4, 19).
Localized overheating is particularly a poten­
25 Distortion often encountered when quenching
a notch
tial problem for inductively heated parts (Ref 4,
Table 5 Suggested carbon content limits
for water, brine, and caustic quenching
Hardening method/shapes Carbon, % max
Furnace hardening
General usage 0.30
Simple shapes 0.35
Very simple shapes, for example, bars 0.40
Induction hardening
Simple shapes 0.50
Complex shapes 0.33
state. and around gear. Rate of flow and time
cycle are under positive control during
complete quenching cycle.
100 diam
80 diam
140 diam
Shallow round
bottom groove
Fig, 26 Distortion of J|S SCM 440 (°-4 c'1 -05 Cr/ °-22
Mo) steel piston rods after oil quenching while
vertically suspended from 850 °C and tempering at 600 °C
WT ID
(poor)
Design for hardening OD
over holes
Fig. 27 Dimensions of a ring gear shape. Shape limi­
Fig. 24 Design solutions to the quench-cracking prob­ tation: length/wall thickness <1.5; ID/OD >
lem often encountered in shaft hardening over 0.4. Minimum wall thickness (WT) is defined by WT>2.25
a cross hole X module + 0.4 X 5,/mod X L X OD3
 Hardening by Reheating and Quenching / 257

25). Subsequent quenching of the part leads to
quench cracks at sharp comers and areas with
sudden changes in cross-sectional area (stress
risers). Cracking is caused by increases of resid­
ual stresses at the stress risers during quenching.
The solution to the problem is to increase the
heating speed by increasing the power density of
the inductor. The temperature difference across
the heated zone is decreased by continuous heat­
ing or scanning of several pistons together on a
single bar (Ref 25).
For heat treating problems related to furnace
design and operation, it is usually suggested that
(Ref 19):
• The vestibules of atmosphere-hardening fur­
naces should be loaded and unloaded with
purging. Load transfer for belt and shaker
hearth furnaces should only occur with thor­
ough purging to minimize atmosphere con­
tamination.
• Hardening furnaces typically contain exces­
sive loads prior to quenching. If the steel at
quenching temperature is greater than 20% of
tiie distance from discharge to charge door, it
is too much. Either the production rate can be
increased or some of the burners can be
turned off.
Retained Austenite
Dimensional changes may occur slowly or
quickly and are due to the volume composition
of the transformation products formed upon
quenching. One of the most important—with re­
spect to residual stress variation, distortion, and
cracking—is the formation and transformation
of retained austenite. For example, the data in
Table 7 illustrate the slow conversion of retained
austenite to martensite, which was still occurring
days after the original quenching process for the
two steels shown (Ref 15, 16). This is particu­
larly a problem when dimensional control and
stability'' are the primary goals of heat treatment.
Therefore, microstructure determination is an es­
sential component of any distortion-control pro­
cess.
Quenching Process
Other than component design, the quenching
process itself is one of the most frequently en­
countered problems in heat treating. When de­
signing a quenching process, it is important to
consider quenchant selection and quench sever­
ity and uniformity.
Quenchant Selection and Severity. A more
detailed discussion on quenchant selection and
the ranges of quench severity possible with these
media are provided in a subsequent section.
However, here the general issue of quench se­
verity is addressed. Quench severity is defined
as: “ability of a quenching medium to extract
heat from a hot steel workpiece, expressed in
terms of the Grossmann number (H'f (Ref 26).
A typical range of Grossmann H values for com­
monly used quench media are provided in Table
8, and Fig. 31 provides a correlation between the
H value and the ability to harden steel as indi­
cated by the Jominy distance (J distance) (Ref
20). Although Table 8 is useful to obtain a rela­
tive measure of the quench severity offered by
different quench media, it is difficult to apply in
practice because the actual flow rates for “mod­
erate,” “good,” “strong,” and “violent” agitation
is unknown.
Alternatively, the measurement of actual cool­
ing rates or heat fluxes provided by a specific
quenching medium does provide a quantitative
meaning to the quench severity provided. Some
illustrative values are provided in Table 9 (Ref
27).
Typically, the greater the quench severity, the
greater the propensity of a given quenching me­
dium to cause increased distortion or cracking.
This usually is the result of increased thermal
stress not transformational stress. Specific rec­
ommendations for quench media selection for
use with various steel alloys is provided by stan­
dards such as AMS 2770. Some additional gen­
eral comments regarding quenchant selection in­
clude (Ref 4, 20):
• Most machined parts made from alloy steels
are oil quenched to minimize distortion.
• Most small parts, or finish-ground larger parts
are “free” quenched. Larger gears, typically
those larger than 205 mm (8 in.) are fixture
(die) quenched to control distortion. Smaller
gears and parts such as bushings are typically
plug quenched on a splined plug typically
constructed from carburized 8620 steel.
• Although a reduction of quench severity leads
to reduced distortion, it may also be accom­
panied by undesirable microstructures such as
the formation of upper bainite (quenched
pearlite) with carburized parts.
• Quench speed may be reduced by quenching
m hot (150-205 °C, or 300-400 °F) orl.
When hot oil quenching is used for carburized
steels, lower bainite, which exhibits proper­
ties similar to martensite, is formed.
• Excellent distortion is typically obtaine d with
austempering, quenching into a medium just
above the Ms temperature. The formation of
retained austenite is a significant problem
with austempering processes. Retained aus­
tenite is most pronounced where manganese
and nickel are major components. The best
steels for austempering are plain carbon,
chromium, and molybdenum alloy steels (Ref
20).
• Aqueous polymer quenchants may often be
used to replace quench oils, but quench se­
verity is still of primary importance.
• Gas or air quenching will provide the least
distortion and may be used if the steel has
sufficient hardenability to provide the desired
properties.

I
i —i— r
l
i
Example ij i
Outside i
diameter: 200 mm \
| 1
Length: 1500 mm
1¡
Typical distortions i
and growths I
Out-of-straightness: ~l~1
1000-2000 pm
)
OD shrinkage at 1 1
center: 300-500 pm i
!¡
Increase in length: i
1000-1500 pm j
i
i
Í i
1__|__

Retort Center Retort

wall pole wall
Ratio length/wall thickness, LAA/T
Fig. 29 Typical pinion shaft distortion due to furnace
Fig. 28 Classification of shapes loading
258 / Residual Stress During Hardening Processes
• Low-hardenability steels are quenched in
brine or vigorously agitated oil. However,
even with a severe quench, undesirable mi­
crostructures such as ferrite, pearlite, or bain-
ite can form.
Quenchant Uniformity. Quench nonuni­
formity is perhaps the greatest contributor to
quench cracking. Quench nonuniformity can
arise from nonuniform flow fields around the
part surface during the quench or nonuniform
wetting of the surface (Ref 1, 20, 28-30). Both
lead to nonuniform heat transfer during quench­
ing. Nonuniform quenching creates large ther­
mal gradients between the core and the surface
of the part. These two contributing factors, agi­
tation and surface wetting, are discussed here.
Poor agitation design is a major source of
quench nonuniformity. The purpose of the agi­
tation system is not only to take hot fluid away
from the surface and to the heat exchanger, but
it is also to provide uniform heat removal over
the entire cooling surface of all of the parts
throughout the load being quenched. The batch
quench system in Fig. 32 illustrates a system
where axial (vertical) quenchant flow occurs
throughout a load of round bars lying horizon­
tally in a basket (Ref 19). In this case, the bottom
surfaces of the bars experience greater agitation
than the top surfaces. Cracks form on the upper
surfaces because of the nonuniform heat loss.
Agitation produces greater heat loss at the bot­
tom, creating a large thermal gradient between
the top and the bottom surfaces.
If a submerged spray manifold is used to fa­
cilitate more uniform heat removal, the follow­
ing design guidelines are recommended:
• The total surface of the part should experi­
ence uniform quenchant impingement.
• The largest holes possible (2.3 mm, or 0.09
in., minimum) should be used.
• The manifold face should be at least 13 mm
(0.5 in.) from the surface of the parts being
quenched.
Fie. 30 Centerline cooling curves showing the effect of scale on the cooling curves of steels quenched in fast oil
without agitation, (a) 1095 steel, oil temperature = 50 °C (125 °F). (b) 18-8 stainless steel, oil temperature =
25 °C (75 °F);test specimens were 13 mm diam by 64 mm long (0.5 by 2.5 in.)
• Repeated removal of hot quenchant and vapor
should be possible.
Excessive distortion was also obtained with an
agitation system shown in Fig. 33 when the
quenchant flow was either in the same direction
relative to the direction of part immersion or in
the opposite direction (Ref 31). The solution to
this problem was to minimize the quenchant
flow to that required for adequate heat transfer
during the quench and to provide agitation by
mechanically moving the part up and down in
the quenchant.
Even though agitation is a critically important
contributor to the performance of industrial
quenching practice, relatively little is known
about the quality and quantity of fluid flow en­
countered by the parts being quenched. Re­
cently, agitation in various commercial quench­
ing tanks has been studied by computational
fluid dynamics (CFD), and in no case was opti­
mal and uniform flow present without subse­
quent modification of the tank (Ref 28). Thus,
identifying sources of nonuniform fluid flow
during quenching continues to be an important
tool for optimizing distortion control and mini­
mizing quench cracking.
The second source of nonuniform thermal gra­
dients during quencliing is related to interfacial
wetting kinematics, which is of particular inter­
est with vaporizable liquid quenchants includ­
ing, water, oil, and aqueous polymer solutions.
Most liquid vaporizable quenchants exhibit boil­
ing temperatures between 100 and 300 °C at at­
mospheric pressure. When parts are quenched in
these fluids, surface wetting is usually time de­
pendent, which influences the cooling process
and the achievable hardness.
Leidenfrost described the wetting process in
the 1750s (Ref 32). The Leidenfrost Tempera­
ture is defined as the surface temperature where
the vapor film is ruptured and the surface wetted
by the liquid. Literature describes temperature
values for this event for water at atmospheric
pressure between 150 and 300 °C (Ref 33-36).
LL
<D
"co
CD
Q.
E removal from hot-rolled steel products to
For nonsteady-state cooling, the surface tem­
perature is not equal to the Leidenfrost Tem­
perature when the vapor blanket (or film boiling)
collapses and wetting begins by nucleate boiling
because of the influence of lateral heat conduc­
tion (relative to the surface) (Ref 37). This is due
to the simultaneous presence of various heat-
transfer conditions during vapor blanket cool­
ing—or film boiling (FB), nucleate boiling
(NB), and convective heat transfer (CONV) with
significantly varying heat-transfer coefficients
aFB (100-250 W/m2 ■ K), aNB (10-20 kW/
m2 • K), and aCONV (-700 W/m2 ■ K). Figure
34 shows the different cooling phases on a metal
surface during immersion cooling (Fig. 34a)
with the so-called wetting front w (separating the
film-boiling phase and the nucleate-boiling
phase) and the change of the heat-transfer coef­
ficients, a, along the surface coordinate, z, (man­
tle line). In most cases, during immersion cool­
ing (Fig. 34a) the wetting front ascends the
cooling surface with a significant velocity, v,
whereas during film cooling (Fig. 34b) the wet­
ting front descends in the fluid direction (Ref 35,
38).
An example of wetting heated cylindrical and
prismatic probes that are submerged in water is
shown in Fig. 35(a) and (b), respectively (Ref
35, 39). Because of the different wetting phases
on the metal surface (and the enormous differ­
ences of their values of aFB, aNB, and a-
CONV), the time-dependent temperature distri­
bution within the metal probes will also be
influenced by the velocity of the wetting front as
well as geometry.
Figure 36 illustrates different types of wetting
behavior under different conditions (Ref 40). By
changing a quenching parameter, for example
the chemical composition of the fluid, the period
of wetting (%) can be reduced over one magni­
tude.
To quantitatively define the change of the wet­
ting behavior, for example, to determine the
cooling process or to develop or analyze quench­
ing fluids, the measurement of the electrical con­
ductance between the submerged sample and a
counter electrode is helpful (Ref 35). During the
film-boiling phase, the hot metal is largely in­
sulated by the vapor film surrounding the metal
and conductance between the metal and the
counterelectrode is low. When the vapor blanket
Table 6 Minimum recommended material
prevent surface seam and nonmetal lie
stringer problems during heat treatment
Minimum material removal
per side (a)
Condition Nonresuffurized Resulfurized
Turned on centers 3% of diameter 3.8 % of diameter
Centerless turned 2.6% 3.4%
or ground
(a) Based on bars purchased to special straightness, i.e., 3.3 mm in 152
cm (0.13 in. in 5 ft) maximum
259 / Hardening by Reheating and Quenching

(film boiling) ruptures on the metal surface, lo­
calized wetting begins and conductance in­
creases. The increase in conductance of the wet­
ted metal is proportional to the amount of the
metal surface wetted by the quenchant. When the
metal surface is completely wetted, conductance
is at its highest value.
Figure 37(a) shows a normal electrical con­
ductance, G, increase corresponding to the per­
centage of the wetted surface. Three other pos­
sibilities of wetting are also shown. Figure 37(b)
shows a rapid rewetting process (or “explosive”
wetting) similar to that shown in Fig. 35. Figure
6 9 12 15 18
Jdistance (1/ie in.)
F*,o 31 Quench severity in terms of Grossmann (H)
values. J, Jominy distance. Source: Ref 20
37(c) illustrates rapid wetting followed by in­
sulation by bubbles adhering to the metal sur­
face, and Fig. 37(d) illustrates rapid wetting with
repeated new formation of film boiling, a process
that occurs with many aqueous polymer quen­
chant solutions. In all four diagrams, the tem­
perature, Tc, is shown that is measured in the
center of the probes. The Ts point characterizes
the temperature and the time when wetting be­
gins. This shows that temperature measurements
in the center of probes provide poor information
about the real quenching process that is insuffi­
cient to adequately characterize the hardening
process. This is also illustrated in Fig. 38 (Ref
30).
The influence of the physical properties of the
quenchant and the probe on the wetting process,
and the heat-transfer coefficients (aFB, oq®, and
aCONv) and therefore on the quencliing results is
very strong. The wetting kinematics are identi­
fied as the starting time, ts, of wetting, the fin­
ishing time, tb of wetting, and the difference be­
tween t{ and ts is the wetting time tw. The effect
of variation of these parameters on Hie quench­
ing process is summarized in Table 10.
The influence of a wetting process occurring
over a long time (non-Newtonian wetting) on the
temperature distribution in quenched parts is
shown in Fig. 39 (Ref 23), where the tempera-
toes measured near the surface of a submerged
cylindrical probe at different distances z from its
21 24
lower end are shown. The wetting front requires
about 18 s to arrive at a height of 80 mm. If there
is an explosionlike wetting of the probe (New­
tonian wetting), the five temperature slopes are
congruent. If the temperature was measured (as
usual) in the center of the probe, the large dif­
ferences in wetting behavior would not be ob­
served.
The temperature distribution within the probe
during quenching (indicated by isotherms), hav­
ing a non-Newtonian wetting is shown in Fig.
40(a), where there is a great difference relative
to that of the Newtonian wetting (Fig. 40b). In
the case of Fig. 40(b), the main grad T is radial,
whereas in the case of Fig. 40(a) it is axial. Of
course the hardness distribution in the probes
must be extremely different.
Another major source of nonuniform quench­
ing is foaming and contamination. Contaminants
include sludge, carbon, and other insolubles. It
includes water in oil and oil in water and aqueous
polymer quenchants. Foaming and contamina­
tion leads to soft spotting, increased distortion,
and possibly cracking.
Quench Distortion and Cracking. In the
previous discussion, two quenchant-related phe­
nomenon have been discussed: quench cracking
and quench distortion. Although quench crack­
ing can be eliminated, quench distortion cannot.
Instead, the issue is distortion control, not elim­
ination. Both quenching-related distortion con­
trol and quench cracking are discussed in this
section.
Quench Distortion. One form of distortion
that may occur upon quenching is defined as
shape distortion, which is dimensional variation
that occurs when the parts are hot and the stress

Table 7 Dimensional variation in hardened high-carbon steel with time at ambient tem­
perature
Change in length, % X 10?
Tempering Hardness, After After After After
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
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
! ' \/ \ \ 1
Poor (slow) oil quench—no agitation 0.20 Quench medium Heat-transfer rate, W/m2 ■ K
/ \
Good oil quench—moderate agitation 0.35
Still air 50-80
/
1 ti \ \ 1
Very good oil quench—good agitation 0.50 \ \
Strong oil quench—violent agitation 0.70 Nitrogen (1 bar) 100-150 1 i i l
1 i i l l /
Salt bath or fluidized bed 350-500 l /
Poor water quench—no agitation 1.00 1 /i l i
Very good water quench—strong agitation 1.50 Nitrogen (10 bar) 400-500 l l/ i
Brine quench—no agitation 2.00
Helium (10 bar) 550-600 \ \/ i
Helium (20 bar) 900-1000 \ \/ i
Brine quench violent agitation 5.00 \/
Still oil 1000-1500 \/,
Ideal quench l' \\/t
Hydrogen (20 bar) 1250-1350

It is possible with high-pressure impingement to achieve# values greater

Circulated oil 1800 -2200 Quenchant _ Q/
Hydrogen (40 bar) 2100-2300
than 5.00. Circulated water 3000-3500 F'g- 33 Effect of quenchant flow direction on distortion
260 / Residual Stress During Hardening Processes
of their own weight leads to changes such as
bending, warpage, and twisting (Ref 1). Shape
distortion is attributable to component support
and loading as discussed previously.
A second form of distortion is size distortion,
which includes dimensional changes observable
as elongation, shrinkage, thickening, and thin­
ning. Size distortion is caused by the volumetric
variation that accompanies each of the transfor­
mational phases formed upon quenching (Ref 1).
Size distortion can be further classified as: one­
dimensional, two-dimensional, and three-dimen­
sional. One-dimensional distortion is exempli­
fied by the change in length when rod or wire is
quenched and is primarily caused by transfor­
mational distortion. Two-dimensional distortion
is also primarily caused by transformational dis­
tortion, and it is exemplified by size variation in
two dimensions such as would occur with sheet
or plate stock upon quenching. With bulk ma­
terial that can undergo dimensional variation in
three dimensions, the problem is due to both
thermal and transformational distortion and is
much more complicated (Ref 1). Owaku (Ref 1)
has shown that one of the primary contributors
to quench distortion is uneven (nonuniform)
cooling.
Quench Cracking. Stresses that lead to crack­
ing are thermal, nonuniform cooling from TA and
Ms and transformational stress formed between
Ms and Mf. Nonuniform thermal stresses occur
when nonuniform surface cooling occurs. In this
case, there will be a deferred contraction in the
slower cooling areas creating a “pull stress” re­
Wetting front w
Film boiling
Nucleate boiling
Convective
heat transfer
(a)
Convection
boiling
Sputtering
Mist cooling
Wetting front w
<b)
Wetting behavior and change of heat-transfer coefficient a along the surface, (a) Immersion cooling, (b) Film
Fig. 34
cooling. Source: Ref 14, 26
sulting in “pull cracking” (Ref 41). This is
shown in Fig. 41(a) (Ref 41), where rapid, but
nonuniform surface cooling to point A has oc­
curred at which time it affects adjacent point B,
which is cooling more slowly, causing a deferred
contraction at point B', both of which occur
while the martensitic transformation occurs at
the Ms point. As a result, point A, which cooled
rapidly, undergoes compression, and point B',
which cooled more slowly, undergoes pulling.
This means that pull stress is a tensile stress, and
if this stress becomes large enough, cracking will
occur and it will occur in areas where cooling is
delayed.
When there is nonuniform cooling within the
part between the Ms and Mf, there will be a
stretching or elongation in areas where the cool­
ing is slow, which will act as a “push stress”
leading to “push cracking” (Ref 41). This is
shown in Fig. 41(b) (Ref 41) where point A,
which cooled rapidly, stretches point B (which
cooled more slowly) to point B' below the Ms
temperature, which is a state that will undergo
expansion due to martensitic transformation. As
a result, the rapidly cooled point A (exterior) will
undergo pulling and the slowly cooled point B'
(interior) will undergo compression. This results
in interior point B' causing pushing and cracking
at point A, which will occur in areas where
quenching occurs rapidly.
Therefore, pull cracking, which occurs with
nonunifonn surface cooling between TA and Ms,
and push cracking, which occurs with nonuni­
form cooling within the part between Ms and Mf,
z
Heat transfer
coefficient a
z schematic of different cooling mechanisms.) The
are the opposite of each other, although the
cracking event takes place for both between the
Ms and Mf. Figure 42 shows both push and pull
cracking (Ref 41).
For cracking to occur, the presence of a stress
riser (points of stress concentration) is typically
necessary. Two types of stress risers may be
found. One is a geometric notch that includes
cutting tool marks, sharp comer angles, and ar­
eas with rapid section thickness changes. The
other ripe of stress riser commonly found is a
notch in the material that may include intergran­
ular effects, carbide segregation, and aggregates
of impurities (Ref 41).
Although it would be desirable to eliminate
all stress risers to facilitate quenching without
any potential for cracking, this simply is not pos­
sible in most cases. Instead, quenching methods
that minimize potential cracking often must be
developed. Polyakov (Ref 42) has provided im­
mersion recommendations for parts with com­
plex shapes wtiiere cracking potential is mini­
mum and maximum (Fig. 43). The Polyakov
rules for quenching such parts include (Ref 42):
• Conditions for quench cracking are most fa­
vorable if parts are immersed into the quen-
chant so the perimeter of the stress riser (PSc)
simultaneously touches the liquid along the
entire length.
• In the case where the perimeter of the stress
riser touches the quenchant at the moment of
immersion slowly in individual regions,
quench cracking wall be reduced substan­
tially.
Quenchants
In addition to providing a uniform quench by
optimizing agitation and surface cooling unifor­
mity, the success of the quenching process is of­
ten dependent on the selection of a particular
quenchant. However, there are typically many
options to select from, and most quenching me­
dia are capable of providing a range of cooling
rates. This section provides a brief overview of
the various quench media that are available. Un­
fortunately, there is no uniform standard for re­
porting cooling rates available for a broad range
of quenchant media. Therefore, various pub­
lished comparisons are provided, and they will
be sufficient for the reader to determine the rela­
tive quench severity offered by these quen­
chants.
Air
Perhaps the oldest, most common, and cer­
tainly least expensive quenching medium is air.
Air, being a gas, cools the heated part by a film­
boiling cooling mechanism. (See Fig. 34 for a
relative quench severity offered by still air rela­
tive to other quench media is shown in Table 9.
As with other quenching media, the heat-
transfer rates of air cooling are dependent on the
 Hardening by Reheating and Quenching/ 261

flow rate of air past the cooling metal surface.

Figure 44 shows that the cooling rate, as mea­
sured by an instrumented 20 mm (0.8 in.) diam
solid silver sphere, is significantly greater for
cooling in compressed air (1 kg/cm2) relative to
still air quenching (Ref 43). However, although
air is inexpensive and commonly available, air
quenching provides insufficient quench severity
to adequately harden many steels.

Gas Quenching
Vacuum furnace heat treating technology,
which includes gas quenching, is the fastest
growing technology in heat treating. Gas
quenching is typically performed by pressurizing
a vacuum furnace after heating is completed. A
broad range of quench severities, up to those
achievable with water, are possible with some
gas quenching media, as shown in Table 5 and
in Fig. 45 (Ref 44).
There are three main factors that affect the se­
verity of gas quenching media: gas, flow veloc­
ity, and gas pressure. The most common gases
used in gas quenching, in order of increasing
quench severity, are argon, nitrogen, helium, and
hydrogen (Ref 45). The high cost of argon pre­
cludes its use except for applications that de­
mand chemical inertness. Hydrogen exhibits the
best heat-transfer properties, as shown in Fig. 46
(Ref 45). Gas-quenching applications based on
gas mixtures such as nitrogen/helium have also
been studied (Ref 46). Gas blending allows the
3.8 s 5.7 s 6.9 s
user to calibrate a particular system more cost
(b) effectively to the desired heat-transfer coefficient
than can a single gas system.
Fig. 35 cool Process of transition between the three co ol ing phases: f il m bo il ing (F B), nucí eate bo il ing (N B), and convective Quench severity is also dependent on gaspres-
ing (CONV) during immersion cooling of CrN¡-steel specimen with a cylindrical geometry 25 mm diam sure and flow rate, as shown in Fig. 47 (Ref 47).
by 100 mm (a) wetting process of a cylindrical CrNi-steel specimen being quenched from 850 °C into water at 30°C, an
agitation rate of 0.3 m/s curves and (b) prismatic geometry (15 by 15 by 45 mm) in water of 60 °C without forced
To avoid undesirable hot spots and correspond­
convection; immersion temperature of 860 °C. Source: Ref 14, 27 ing thermal gradients, as shown in Fig. 48, an
optimization of flow direction and flow rate is
required to provide optimal distortion control
and to prevent cracking (Ref 48).

Molten Metal
One of the more common metals used in mol­
ten form as a quenchant is lead. Lead exhibits a
melting point of 327 °C (621 °F) and is typically
used at 343 to 927 °C (650-1700 !>F). Below 343
°C (650 °F), the lead is too “mushy” (Ref 49).
Molten lead is used for patenting of steel wire
and for austempering. Due to the toxicity and
disposal problems with lead, it is seldom used in
the thermal processing of steel. However, be­
cause lead possesses a high thermal conductivity
and no film-boiling stage, it provides relatively
rapid cooling rates in a high-temperature range
not easily achievable with other quenching me­
dia.

Salt-Bath Quenching
6 35 s 7 65 s
Fig 36 Transition from film boiling (FB) to nucleate boiling (NB) during immersion of cylindrical silver specimen (1S Two quenchm^ processes tl 1 ire hljl
8 mm diam by 45 mm) quenched from 850 into a 10% aqueous polymer quenchant solution at 25°C without temperatures are austempenng and martemper-
agitation. ing (marquenching). Molten-salt baths have re-
262 / Residual Stress During Hardening Processes

placed molten lead in most heat treating pro­
cesses and are usually the medium of choice for
high-temperature quenching. The advantages of
salt quenching include:
• Highly alloyed steels, such as those shown in
Table 11, can be isothermally annealed.
• Scaling, cracking, and distortion of high­
speed tool steels are minimized.
• The risk of cracking during martensite for­
mation, for example, spring wire, is reduced.
• The formation of high-temperature transfor­
mation products is enhanced.
Most quenching salts are either binary or ter­
nary'’ mixtures of potassium nitrate (KN03), so­
dium nitrite (NaNOz), and sodium nitrate
(NaN03). The minimum quenching temperature
depends on the melting point of the salt mixture.
The ratio of the salt mixture may also affect the
viscosity of the medium and therefore affect
cooling rates. Quenching temperatures may
range from 140 to 600 °C (285-1110 °F). How­
ever, melting points as low as 85 °C (175 °F) are
attainable by the addition of up to 10% water.
Salt-baths are susceptible to potential explosive
degradation at temperatures greater than 600 °C
(1110 °F).
The selection of a martempering or austem-
pering process depends on the steel being
quenched. Salt-bath temperatures in the range of
195 to 350 °C (385-660 °F) exhibit only a min­
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
as shown in Fig. 50 (Ref 51). Variations in both
agitation rate and water addition can profoundly
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.
However, automated monitoring equipment to

Table 10 Effect of quenchant and material

properties on quenching performance
Effect on
property variation
Fluid property 4 A*,
Fluid property
Type of quenchant I, D I, D I, D
Addition of additives I, D I, D I, D
Increasing agitation (v) D D I
Increasing bath temperature (Tb) I I D
Metal property
Increasing thermal diffusivity (a) I I I
hi creasing cross-section size I I D
hi creasing surface roughness D D I
Increasing surface oxidation D D D

starting time; t¡, finishing time; tm wetting time; a, heat-transfer co­

tz,
efficient, I, increasing; D, decreasing
pjo 37 Temperature decrease, Tc, and increasing electrical conductance, C(proportionaltothe 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

800

600

3 400

200

0 5 10 15 20 25 30 35
Quenching time, s

Fifi. 38 Comparison of cooling curves measured at different positions in a cylindrical CrNi-steel probe (25 by 100 Fifi 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 1 00 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
 Hardening by Reheating and Quenching / 263

control water content to within reasonably close

tolerances is currently available.

Fluidized Beds
Fluidized-bed quenching processes may be
used as safer and more ecologically acceptable
alternatives to molten-metal or molten-salt
quenching systems. A fluidized bed is generated
by blowing a gas (e.g., nitrogen, argon, carbon
dioxide, helium, or hydrogen) through a solid
support. Examples of solid supports include alu­
minum oxide, iron, copper, and molecular sieves
(Ref 52). Generally, aluminum oxide provides
the best heat-transfer capacity, thermal stability,
and environmental compatibility. Particle size
also contributes substantially to cooling proper­
ties. In general, cooling rates increase as alumina
grain size increases. The lowest limit of particle
size is 40 mesh (Ref 50). Fluidized-bed tem­
perature can also affect heat-transfer rates. As
expected, cooling rates decrease with increasing
bed temperature, as shown in Fig. 52 (Ref 53).
Traditionally, the most common gases for flu­
idized beds were nitrogen and air. However,
other gases, such as hydrogen and helium, pro­
vide even greater potential for wider ranges of
heat-transfer rates. The heat-transfer flow rates
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
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
mulate a quench oil determines the viscosity,
viscosity-temper ature, surface wetting, sludging,
staining, and fire-resistant properties. Quench
oils are selected on the basis of their ability to
mediate heat transfer during quenching. Quench
oils are usually classified on the basis of their
quenching speed and application temperature as:
• Conventional (nonaccelerated) oils or cold
oils
• Accelerated oils
• Marquenching oils or hot oils
Although there are other classifications such as
fast, superfast, and water emulsifiable, the above
three classifications are the most commonly en­
Push cracking
countered.
Interior A ; Conventional quench oils are typically min­
eral oils, which may contain antioxidants to re­
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)
at 40 °C (100 °F), although some have viscosities
fa) (t>)
of up to 200 SUS at 40 °C (100 °F). Conventional
Mechanisms that explain the generation of (a) puli stress and pull cracking and (b) push stress and push quenching oils do not contain additives to in­
Fig. 41 cracking crease cooling rate.
264 / Residual Stress During Hardening Processes
Accelerated quenching oils are formulated
from basestocks used for conventional quench­
ing oils and are used at comparable temperatures.
In addition to antioxidants, accelerated quench
oils contain additives that enhance Hie wetting
process during the quench, which results in re­
duced-film boiling as shown in Fig. 54. These
oils are used with crack-sensitive, lower-harden-
ability steels.
Martempering oils are used at temperatures
between 95 and 230 °C (200 and 450 °F). They
are usually formulated using solvent-refined oils
with a very high paraffinic fraction to optimize
oxidative and thermal stability, which is neces­
sary in view of their high use temperatures. Sta­
bility is also enhanced by the addition of anti­
oxidants. Because martempering oils are used at
relatively high temperatures, a protective, non­
oxidizing environment is often employed that al­
lows them to be used much closer to the flash
point than otherwise possible under open-air
conditions. Nonaccelerated and accelerated mar­
tempering oils are available.
The quench severity of accelerated and non­
accelerated quench oils is relatively insensitive
to bath temperature as shown in Fig. 55 (Ref 55).
However, agitation does significantly impact the
performance of a quench oil as illustrated in Fig.
56 (Ref 54).
Aqueous Polymer Quenchants
Aqueous polymer quenchants are aqueous so­
lutions of a water-soluble polymer, the most
common examples of which include: polyalky-
leneglycol, polyvinylpyrrolidone, polyethyloxa-
zoline, polysodium acrylate, and an additive to
provide corrosion protection. Quenchant perfor­
mance is due to polymer selection and solution
viscosity. These quenchants are being used in­
creasingly to replace conventional and acceler­
ated oils because of their reduced cost, fire
safety, and relatively low environmental impact.
Typically, quench severity decreases with in­
creasing quenchant concentration, increasing
bath temperature, and decreasing agitation rates.
This is shown in Fig. 57 for a polyalkylene gly­
col quenchant (Ref 56). As shown in this figure,
it is possible to obtain quench severities analo­
(b)
Fig. 42 Two forms of quench cracking: (a) pull cracking and (b) push cracking
gous to a slow oil to those faster than water by quenching, higher cooling rates may increase the
adjusting these variables. Of course, this also potential for distortion and cracking (Ref 50).
means that to minimize stresses from nonuni­ The cooling power of brine solutions is not
form quenching it is necessary to optimize agi­ significantly affected by small variations in bath
tation and control bath temperature and polymer temperature. Although a brine can be used near
concentration during use. The effect of bath tem­ the boiling temperature of water, maximum
perature and agitation on the ability to through cooling rates are obtained at about 20 °C (70 °F).
harden steel is shown, for one polymer quen­
chant, in Fig. 58 and 59, respectively.
Cracks are Cracks are
Water not formed formed
Water is a relatively inexpensive and available
quenchant that has been used for many years.
The quenching properties of water are shown in
Fig. 60, which shows (Ref 50):
• Cooling times increase with increasing vrater
temperature.
• The maximum cooling rate decreases with in­
creasing water temperature.
• The temperature where the maximum cooling
rate occurs decreases with increasing bath
temperature.
Although the quenching properties of water
are highly variable and very sensitive to thermal
gradients in the water surrounding the cooling
metal, particularly at areas of varying cross-sec­
tion size and other stress risers, what is not seen
in Fig. 60 is the fact that the film-boiling process
is unstable and highly variable and that water
does not rewet steel in a uniform manner during
the quench. These variations produce high sur­
face thermal gradients and often increasing dis­
tortion and cracking. It is interesting to note that
the addition of 5 to 7% of an aqueous polymer
quenchant will provide more uniform wetting
properties without a significant decrease in cool­
ing rates, which will result in great reductions in
cracking and distortion (Ref 50).
Fig 43 Immersion of cylindrical parts in a quenchant.
The dashed horizontal lines indicate the level
Brine and Caustic Solutions of the liquid; the vertical arrows indicate the direction of
immersion of the part. P%c indicates the perimeter of the
The term “brine” refers to aqueous solutions stress concentrator.
containing various concentrations of salts such
as sodium chloride. The cooling rates provided
by brine are higher than that provided by water
at the same temperature. Although the presence
of salts wall decrease the propensity for film boil­
ing and soft spots often accompanying water
Cooling rate, °C/s
Fig 44 Comparison of cooling capacity of still and
compressed air. Solid line, still air; dashed line,
compressed air

The most common alternative to NaCl brine
solutions is aqueous solutions of NaOH (caus­
tic). The addition of NaOH produces slower
cooling rates than NaCl brines in the martensitic
transformation temperatures for many steels
(<350 °C, or 600 °F) which would be expected
to reduce cracking propensity as shown in Fig.
61 (Ref 50). Interestingly, the maximum cooling
rate occurs at about 10% salt concentration for
both NaCl and NaOH.
Measurement and Evaluation of
Power of Quenching Media
When designing a quenching process, it is im­
portant to consider quenchant selection, quench
severity, and quench uniformity. Quench sever­
ity is defined as: the ability of a quenching me­
dium to extract heat from a hot steel workpiece.
Heat removal from workpieces during quench­
ing can be quantitatively described in terms of
the interfacial heat-transfer coefficient. The heat-
transfer coefficient is defined as:
h = Q/\A(T p - Tj]
where h is the heat-transfer coefficient, Q is the
heat flow from the workpiece to the quenchant,
A is the surface area of the workpiece, Tp is the
workpiece surface temperature, and F, is the
quenchant temperature.
Grossmann Number
In steel quenching, the Grossmann number
(Ref 26) is used more widely than the heat-trans­
Heat-transfer coefficient, W/m2 ♦ K
Fig. 45 Comparison of the heat-transfer coefficients achievable with different gas quenching media for bulk-loading
and single-component quenching
Hardening by Reheating and Quenching / 265
fer coefficient. The Grossmann number (H) is
defined as:
H = hi (Ik)
where k is Hie conductivity of the metal. Thus,
the H value is equal to the interfacial heat-trans­
fer coefficient divided by twice the thermal con­
ductivity of the metal.
When the H value is multiplied by the dimen­
sions of the body, their product corresponds to
the well-known dimensionless Biot number (Bi)
(Ref 57):
Bi = HD = hD! (2k) = hR/k
where D and R (=DI2) are the diameter and the
radius of the cylindrical or spherical workpiece
or, correspondingly, the thickness and half-
thickness of the plate.
The Biot number compares the relative mag­
nitudes of surface heat transfer and internal con­
duction resistance to heat transfer. A very low
value of the Biot number means that internal-
conduction resistance is negligible compared
with surface heat-transfer resistance. Tins in turn
implies that the temperature will be nearly uni­
form throughout the workpiece. Therefore, the
magnitude of the Biot number shows the non­
uniformity of temperature distribution through­
out the body of the workpiece during quenching
(Ref 57).
The most significant deficiency of the H value
is the incorrect assumption that cooling occurs
at a constant rate during quenching. Even with
the well-known limitation, the H value has been
widely accepted by heat treaters. The Grossmann
H values for commonly used quenching media
are shown in Table 8.
Cooling-Curve Analysis
The cooling-curve tests with some metallic
probes have been used as the most useful means
of testing the cooling power of liquid quenchants
such as oils, water, and polymer quenchants. The
cooling curves are usually obtained by quench­
ing a test specimen instrumented with thermo­
couples and measuring the temperature as a
function of time at specific points within the
specimen. The testpieces used are cylinders,
plates, and spheres; the most common is a cyl­
inder with a length three to four times its diam­
eter and with a thermocouple located at its geo­
metric center. There are several standard
cylindrical specimens (standard probes).
From the time-temperature curve of the stan­
dard probe, one can calculate the temperature/
cooling rate curve, the heat-transfer coefficient
curve, and the heat flux curve. Several charac­
teristic parameters that can be obtained from
these curves are the maximum cooling rate, the
cooling rate at 300 °C (572 °F), the characteristic
temperature (the minimum temperature of film
boiling), the temperature at fire maximum cool­
ing rate, cooling time from 800 to 400 °C, and
so forth. In order to harden steel, the maximum
cooling rate and the temperature must be suffi­
ciently high to minimize ferrite and pearlite
transformation. The cooling rate at 300 °C (572
°F) can be used to indicate the probability of dis­
tortion and cracking because it is near the mar­
tensite temperature of most carbon and low-alloy
steels.
Cooling-Curve Test Methods
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
sus temperature pathway, which is directly pro-
Time, min
Comparison of cooling properties of common
Fig. 46
gases
266 / Residual Stress During Hardening Processes

portional to physical properties, such as hardness or another preferred temperature (Ref 58). The
of quenched steel parts. The results obtained by temperature inside the probe and the cooling
this test may be used as a guide in selecting heat times are recorded at selected time intervals to
treating oil or comparing the quench severities establish a cooling cunte (temperature-time
of different heat treating oils, new or used. curve). The cooling rate is derived from the tem­
ASTM D 6200 and ISO 9950. Cooling-curve perature-time curve.
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
ducted using the Inconel 600 alloy probe (Fig. method (Japanese industrial standard K 2242) 0 1 2 3 4 5 6 7 8 9 1 0
62). The probe is heated to 850 °C (1562 °F) in (Ref 60), because silver does not exhibit phase
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
mal sensitivity. However, the considerably dif­
ferent thermal conductivity from that of steel, the
difficulty of preparing the delicate surface ther­
Table 11 Martempering (marquenching) mocouple assemblies, and the poor mechanical
versus austempering for various steels strength have been cited as disadvantages. Fur­
Cross-section Hardness, thermore, the JIS silver probe is not appropriate
size HRC for water and polymer quenchants, because wa­
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 1 0
Low-alloy steel <13 <0.5 35-65 35-55 nificantly decreases the lifetime of the silver-al-
Alloy steel <100 <4.0 35-65 35-55 urnel thermocouple. Therefore, a modified silver
Cast iron <13 <0.5 63
probe (Fig. 64) is used for polymer quenchants

0 1 2 3 4 5 6 7 8 9 1 0
Time, min

F¡o 49 Effect of agitation on the quench severity of

® molten salt

0-------------------------------------------
0 4000 8000 12000 16000 0 20 40 60 80
Volumetric flow rate, ACFM Chamber pressure, PSIG
(a) (b)

(a) Effect of volumetric flow rate at constant density on cooling time, (b) Effect of chamber pressure at constant
Fig. 47
volumetric rate on cooling time

Areas of low
heat transfer
Cold spots formed

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-
Fig. 48
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
 Hardening by Reheating and Quenching / 267

(Ref 61). It is the same shape as the JIS probe,
and it is equipped with a metal-sheathed Chro-
mel-Alumel (CA) thermocouple (K type) (1.0
mm outer diameter, 0.2 mm wire diameter) at
these geometrical centers instead of the silver-
alumel thermocouple of the JIS probe.
Techniques for Estimation of Heat-
Transfer Coefficient
To evaluate the cooling power of quenchants
more qualitatively, the surface heat-transfer co­
efficient and/or the surface heat flux during
quenching are estimated from the measured
cooling-curve data of standard probes. The sur­
face heat-transfer coefficient or the surface heat
flux is necessary as the surface-boundary con­
dition for computer simulation of the quenching
process.
Some practical techniques for estimation of
the sur face heat-transfer coefficient and surface
heat flux have been proposed. The lumped-heat-
capacity' method (Ref 62) is a classical and sim­
ple method for the determination of the surface
heat-transfer coefficient and the surface heat flux
during quenching. This method provides accu­
rate heat-transfer coefficients from quenching
data obtained from silver probes that have high
thermal conductivity (Ref 63-65). On the other
hand, inverse methods are more suitable for es­
timating the heat-transfer coefficients from
quenching data obtained using the Inconel 600
alloy probe, because of its low thermal conduc­
tivity'- (Ref 63-65).
The lumped-heat-capacity method can be
used if an assumption of uniform probe tem­
perature during cooling can be justified (Ref63-
65). If the probe temperature is uniform, the heat
loss from the probe Q is equal to the decrease in
the internal energy of the probe:
Q = hA(Tp - Tf) = -cpV(dTp/di) (Eq 1)
where h is the heat-transfer coefficient on the
probe surface, A is the surface area of the probe,
Tp is the probe temperature, 7j is the quenchant
temperature, c is the specific heat of the probe
material, p is the specific density of the probe
material, V is the volume of the probe, and t is
time. So, ciTp dt is the cooling rate of the probe.
If the quenchant temperature around the probe
Tx is uniform, the next relationship is derived
from Eq 1:

q = h(Tp - Tty = - (cpVfA)(dT9/dt) (Eq 2)

where q is the heat flux on the probe surface.

Here, probe weight pV is constant, but c and
A change with temperature. If the change of the
surface area of the probe A is ignored, only the
temperature dependence of the specific heat c
(Eq 2) need be considered, and then:

q = h(Tp - Tx) = - c(Tp)(pVIA)(dTp/dt) (Eq 3)

where c(Tp) is the specific heat as a function of

probe temperature Tp.
Thus, tire heat flux q and/or the heat-transfer
coefficient h can be directly calculated from the
cooling rate dTpidt (Ref 64, 65). Figure 65
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
Minimum fluidizing flow
on hardness distribution in 50 by 200 mm (2 the JIS silver probe quenched in different quench
by 8 in.) AISI 4140 steel bars quenched in a hot-salt bath media.
Fig. 53 Effect of fluidized gas on heat transfer
(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%

p j g 5 2 Effect of fluidized-bed temperature on cooling

rate between 800-500 °C (1470-930 °F) and
800-300 °C (1470-570 °F) measured with 75 by 100 mm
(3 by 4 in.) 90MoCrV8 steel sample; temperatures mea­
sured at the center of the section
268 / Residual Stress During Hardening Processes
The numérica) inverse methods require
techniques that decrease instabilities due to ex­
cessive sensitivity to measurement errors and
noise. The accuracy of the solutions obtained by
the numerical inverse methods may be question­
able because of various conditions in the nu­
merical calculation including: time step, spatial
step size, magnitude of noise, error in measured
data, and so forth. Furthermore, the accuracy is
not achieved for all cooling stages in quenching,
unless these conditions are appropriately set for
each stage.
One of the numerical inverse methods is the
solution of the inverse heat conduction problem
(Ref 66, 67). Another method is the iteration
method, which utilizes both the lumped-heat-ca­
pacity method and a two-dimensional inverse
method with the least residual procedure (Ref
64, 65). The calculation procedure is:
0 4 8 12 16 20 24 28
Distance from surface, mm
pig 55 Effect of agitation of a quench oil on the ability
® to through harden steel
1E-2 1E-1 1 E + 0 1 E + 1 1 E + 2 1E + 3 1E + 4
Time, s
Fig. 56 Relative insensitivity of the ability of a quench oil to harden steel with respect to varying bath temperature.
FPM, flow rate
1. The initial values of heat-transfer coefficients
are approximately calculated by a lumped-
heat-capacity method from the cooling-curve
data of the probe.
2. The total temperature region of the cooling
process is divided into about 20 subregions
and the initial heat-transfer coefficients are
defined as stepwise continuous functions in
each region.
3. The cooling curve is calculated by a two-di­
mensional finite difference method using
these coefficients as the surface-boundary
condition.
4. The residual sum of squares between the
measured temperatures Fexp and the corre­
sponding calculated temperatures ^cal is
given as R = (T^p - Tcjf.
5. The cooling curve is calculated again after
changing the heat-transfer coefficients.
6. The iteration of 3, 4, and 5 is performed until
Tent > {Rln}xl2 is satisfied.
where TaA is a critical value of the temperature
difference between the measured temperatures
and the corresponding calculated temperatures
and n is the number of data T^p in the subregion.
An iterative technique to minimize R is used.
The same procedure is repeated in each subre­
gion in the whole cooling process.
Figure 66 (Ref 65) illustrates an example of
heat-transfer coefficients calculated with the in­
verse method and cooling-curve data obtained
using an ISO Inconel 600 alloy probe quenched
in various quenchants. Heat-transfer coefficients
that were calculated from the cooling-curve data
of the JIS probe are also shown in Fig. 66. The
lumped-heat-capacity method program “LUMP-
PROB” (Ref 63) was used for the JIS silver
probe, and the inverse method program “Inv-
Probe-2D” (Ref 64, 65) was used for the ISO
1E+5 1E + 6 1E+7
probe. The values of the heat-transfer coeffi­
cients in the convection-cooling stage (the
lower-temperature region) are almost the same
for each quenchant, despite the differences of the
sizes and the materials of these probes. However,
the values in the higher-temperature region are
very different for each probe. This is caused by
the difference of the thermal properties between
the JIS probe and the ISO probe.
Wetting Behavior and Nonuniform
Quenching
It is well known that the wetting process on
the surface of hot metal affects cooling charac­
teristics during water, polymer, and oil quench­
ing (Ref 40). If the initial temperature of hot
metal is sufficiently high, a vapor film is formed
on the surface immediately upon immersion. Af­
ter vapor blanket cooling stage (film boiling), a
collapse of the vapor blanket (i.e., wetting) oc­
curs progressively or explosively. The progres­
sive wetting during quenching could increase
nonuniform cooling because the heat-transfer
coefficient on the nonwetted surface is signifi­
cantly lower than that on the wetted surface.
Hence, the wetting behavior is a major factor in
cooling, and it affects quench distortion of steel
parts.
Cooling-curve analysis provides relatively lit­
tle information about the wetting process. The
temperature in the center of the probe at the tran­
sition point from lower to higher cooling veloc­
ity only describes the wetting of the nearest sur­
face point and gives no information about the
wetting process on the entire surface of the
probe. The following techniques are employed
for measuring the wetting process.
Polymer concentration, %
F¡g 57 Effect of variation of quenchant concentration,
agitation rate, and bath temperature on the
Crossmann H value for one polyalkylene glycol quen­
chant. Circ rate in ft/min. Note: these curves vary greatly
for each polymer quenchant; therefore, these data are for
general illustrative purposes only.

Measurement of Wetting Kinematics
Direct Observation with Video or Photo­
graphs. For transparent quenchants, the surface
wetting process may be observed by video or
photographically. Images captured on videotape
or sequential photographs provide detailed in­
formation about the wetting process. Figure 67
(Ref 68) shows examples of the wetting behavior
and change of wetting distance Lf with time, dur­
ing water, polymer, and oil quenching of the
stainless steel disk specimen (30 mm diameter
by 10 mm thick). A progressive collapse of the
vapor blanket from the sharp edges was observed
in water and oil quenching, while an instanta­
neous collapse occurred in polymer quenching.
Wetting length Lf versus time t was estimated
from the video images. The t-L{ curves provide
wetting velocity, time when wetting starts (Q,
and time when wetting is finished (t[).
Temperature Measurement. The current
method for examining the wetting process is to
measure cooling curves by inserting thermocou­
ples in near-surface positions along the specimen
surface. Figure 68 (Ref 68) shows cooling curves
during water, polymer, and oil quenching of the
stainless steel disk specimen (30 mm diameter
by 10 mm thick) wi thout agitation. Temperatures
were detected by metal-sheathed thermocouples
attached to the specimen. Figure 69 shows the
positions of metal-sheathed thermocouples for
the measuring cooling curves. Thermocouples
were inserted tightly into holes drilled to the geo­
metrical center A and positions B, C, and D near
the specimen surface. Basic infonnation can be
derived from the near-surface cooling curves. A
period of slow cooling and a subsequent period
of fast cooling are equivalent to a period of non-
wetting cooling stage (vapor blanket stage) and
nucleate-boiling stage. The transition point in­
dicates the transition from film boding to nucle­
ate boiling at the thermocouple location. The on­
set and conclusion of wetting, and thus the
velocity of wetting front, can be calculated by
extrapolating the local transition times to the
starting and finishing positions of the wetting.
0 5 1 0 1 5
Time, s
F'g- 58 Effect of bath temperature on the ability to through harden steel
Hardening by Reheating and Quenching / 269
Conductance Measurement. Another
method for determining the wetting process is to
measure the electrical conductance between the
specimen and an electrode immersed in the
quenchant (Ref 69) (Fig. 70). When a vapor
blanket forms around the entire specimen sur­
face, the conductance between the specimen and
the electrode is low. Alien the vapor blanket col­
lapses on the specimen surface, the conductance
increases as shown in Fig. 71. The increase in
the conductance is approximately proportional to
the wetted portion of the specimen surface. The
conductance is at its highest value when the en­
tire sample surface is completely wetted. Con­
ductance-time curves provide the time when
wetting starts (JJ and the time when wetting is
finished (?f).
Effect of Process Variables on
Cooling Behavior and Heat Transfer
The quenching of steel requires a wide vari­
ation and sufficient reproducibility of heat trans­
fer in order to achieve the required cooling rate,
which is dependent on the hardenability of the
steel and the section size of the workpiece.
Therefore, it is important to recognize the influ­
ence of the variables during quenching.
Heat transfer during quenching is affected by
many factors, such as the quenchant, bath tem­
perature, agitation, and the dimensions and
shape of the workpiece being quenched. Only a
few of these factors can be realistically varied,
including bath temperature, agitation rate, and
the quantity and racking arrangement of the
workpieces.
Effect of Quenchant Selection
The selection of quenchant is the most basic
factor that affects cooling behavior. When se­
lecting a quenchant, it is important to consider
quench severity and quench uniformity.
The cooling curves in Fig. 72(a) were ob­
tained using a 10 mm diam silver specimen
2 0 0 5 0 1 0 0 1 5 0 2 0 0
Cooling rate, °C/s
quenched in various quenchants without agita­
tion. Different cooling curves were obtained for
each quenchant. A lumped-heat-capacity method
was used to estimate heat-transfer coefficients
from these cooling-curve data. These coeffi­
cients are shown in Fig. 72(b).
In general, the cooling curve during water,
polymer, and oil quenching has three stages
(stage A: vapor blanket cooling (film-boiling)
stage, stage B: nucleate-boiling stage, and stage
C: convection-cooling stage). Heat-transfer co­
efficients in the high-temperature region (vapor
blanket stage) are relatively low. Cooling curves
of workpieces quenched into nonvolatile quen­
chants such as molten salt, liquid metal, and gas,
do not exhibit vapor blanket cooling or nucleate
boiling.
The wetting behavior in the quenching of hot
metal is affected by quenchant properties such
as the type of quenchants, quenchant tempera­
ture, and so forth. As shown in Fig. 67, in water
and oil quenching, the vapor blanket was formed
around the entire surface of the specimen im­
mediately after immersion and then ruptured
progressively from the sharp edges to the center
of the flat surface of the disk specimen. The pro­
gressive collapse of the vapor film begins im­
mediately after immersion in water. The pro­
gressive collapse starts after the formation of a
stable vapor blanket stage in oil quenching. The
time of dur ation varies according to the oils used.
The starting time of the wetting during polymer
quenching depends on the type of polymer used,
polymer concentration, and liquid temperature.
Wetting starts immediately upon immersion for
some aqueous polymer solutions and after the
formation of a stable vapor blanket stage for
other polymer quenchants.
The wetting velocity (the propagation velocity
of wetting front) during water or oil quenching
is significantly slower tiran during polymer
quenching. Such a slow wetting velocity could
cause a nonuniform surface cooling in the spec­
imen, because the heat-transfer coefficient on the
nonwetting surface is significantly lower than
that on the wetting surface. Figure 68(a) shows
the cooling curves at representative positions
270 / Residual Stress During Hardening Processes
and the temperature differences between these
positions during water quenching. Cooling im­
mediately upon immersion is very rapid on the
edges (position D), and the difference of the sur­
face temperature, TB — TD, is very large (about
500 °C at maximum).
Instantaneous collapse of the vapor blanket
occurs in polymer quenching. Wetting velocity
after the start of the breakdown of the vapor film
is very high. Such wetting behavior could reduce
the nonuniformity of surface cooling of a spec­
imen. Figures 68(b) and (c) show that the dif­
ferences of the surface temperature (TB - Tc and
JB - FD) during polymer quenching is smaller
than that in water quenching (Fig. 68a) or oil
quenching (Fig. 68d).
Effect of Quenchant Temperature
In the vapor blanket stage during water, poly­
mer, and oil quenching, heat is transferred across
ía)
Cooling rate, °F/s
50 100
(b)
Fig. 60 Effect of water bath temperature on heat removal using a 12.5 mm diam by 60 mm Inconel 600 probe with
a flow velocity of 0.25 m/s (50 ft/min)
the surface through the vapor blanket by con­ fer depends on the temperature difference be­
duction, radiation, and convection. When the tween the quenchant and the surface of the
surface temperature of the workpiece decreases, workpiece. It also depends on quenchant viscos­
the thickness of the vapor blanket is reduced un­ ity, which governs the convection flow of the
til the liquid contacts the hot surface of the work- quenchant around the workpiece.
piece. This is the start of the wetting process. By The effect of water temperature on cooling
direct contact with the surface, the vapor film curves of a 12.5 mm diam by 60 mm Inconel
begins to collapse, dramatically increasing the 600 probe is shown in Fig. 60. By decreasing
heat flux and the cooling rate. By increasing liq­
uid temperature, the energy required for evapo­
ration is reduced and the thickness of the vapor
film increases. As a result, both the cooling rate
and the heat-transfer rate decrease. In addition,
by stabilizing the vapor blanket, the transition
temperature from lower to higher cooling rate
(the minimum temperature required for film
boiling) decreases.
Once wetting has begun, heat transfer by nu­
cleate boiling controls the cooling rate. This
stage is also dependent on quenchant tempera-
tine. In the convection-cooling stage, heat trans­
Fig. 61 Effect of salt concentration on the heat-transfer
coefficients of NaCI and NaOH brine solutions
150 200 250
Fig 52 ISO Inconel 600 alloy probe. International
standard, ISO 9950. r, radius; <f>, diameter. Di­
mensions given in mm. Source: Ref 59

water temperature, the duration of film boiling
decreases, which is indicated by the accelerated
transition from slower cooling to faster cooling.
In addition, cooling rates of the three different
cooling stages are increased.
Cooling curves during oil quenching are rela­
tively insensitive to bath temperature as shown
in Fig. 55. However, the temperature of an aque­
ous polymer solution does significantly impact
on the cooling performance as shown in Fig. 58.
Cooling curves of workpieces quenched by
nonvolatile quenchants such as molten salt, liq­
uid metal, and gas do not possess a vapor blanket
and nucleate-boiling stage. Workpieces are
cooled by radiation and convection of the quen-
chant. In this case, the heat-transfer coefficient
depends on the temperature difference between
the quenchant and the surface of the workpiece.
Effect of Agitation
In addition to quenchant temperature, vapor-
film stability is greatly affected by quenchant ag­
itation. A high flow velocity increases the heat
transfer by convection and reduces the thickness
of the vapor film. Furthermore, agitation of the
liquid reduces the stability of the vapor/liquid
interface by disturbing the liquid flow adjacent
to the vapor film. Therefore, agitation reduces
the duration of film boding. Heat transfer in the
F|o 53 Japanese industrial standard silver probe. JIS K
convection-cooling stage directly depends on ag­
® 2242-1997. <(>, diameter. M6 X 1, metric fine
screw thread. Dimensions given in mm. Source: Ref 63
itation. The effect of agitation on the heat trans­
fer by nucleate boiling is not significant because
nucleate boiling agitates the liquid adjacent to
the boiling surface by itself (self-agitation ef­
fect).
Figure 73 shows the effect of selected flow
velocities (0-0.4 m/s) on cooling curves of a
cylindrical silver probe (10 mm diameter by 30
106
sr, 30 °C
■□►0•o
polymerquenchar t (PAG),
brine, 30 °C
JIS1-2), 80 °C
¡Ills!
f 105 JIS2-1), 120 °C
I
en salt, 2\ 30 °C
j=
5
cCD
k>
1O 104
o AO m
jj)
(/>
c
2 7
PS
* 103
102
0 200 400 600
Surface temperature, °C
Fig 65 Heat-transfer coefficients calculated with the
lumped method and the cooling-curve data of
61 the JIS silver probe quenched in representative quenchants
Hardening by Reheating and Quenching / 271
mm, Fig. 64) quenched in 80 °C oil. In the vapor
blanket stage and convection stage, the tempera­
ture of the specimen decreases slowly and the
cooling rates in these stages accelerate by the
agitation. As the vapor film collapses, the tem­
perature drops rapidly because of the transition
from film boiling to nucleate boiling. This tran­
sition temperature from lower to higher cooling
rates is almost unaffected by flow velocity.
Figure 59 shows the effect of selected flow
velocities (0, 0.3, and 0.6 m/s) on cooling curves
in polymer quenching. In this case, the liquid
flow around the workpiece reduces the stability
of the vapor blanket. Therefore, the transition
from lower to higher cooling rates may be
strongly influenced by the liquid flow velocity,
and the agitation reduces the duration of film
boiling.
The effect of agitation on the wetting process
on a stainless steel disk (30 mm diameter by 10
mm thick) during water quenching is shown in
Fig. 74 (Ref 68). Figure 75 shows the effect of
agitation on the cooling curves of this stainless
steel disk at the representative positions (shown
in Fig. 69) and the temperature differences be­
tween these positions during water quenching.
These results show that the agitation of water
increases the wetting velocity and hence shortens
the finishing time of wetting t{. However, the
starting time of wetting ts in water quenching
does not depend on the flow velocity because the
wetting at the sharp edges always starts imme­
diately after immersion (edge effect). As a result,
the degree of nonuniformity of Hie surface cool­
ing (see the values of TB - 7D and Tc - Tf)
during water quenching significantly is de­
creased by the agitation.
Figures 76 and 77 (Ref 68) illustrate the effect
of agitation on the wetting process and the cool-
105
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Fig 66 Heat-transfer coefficients calculated with the
lumped method and the cooling-curve data of
the JIS silver probe or with the inverse method and the
cooling-curve data of the ISO Inconel alloy probe. Source:
Ref 65
272 / Residual Stress During Hardening Processes

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
if. As a result, the degree of nonuniformity of the
surface cooling during oil quenching is some­
Fig. 67 Change of wetilng length with time on the surface of stainless steel disk specimen during water, polymer, and what decreased by agitation. However, the effect
oil quenc hing. Quenchantscclty 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 O 800 P
h- K
a, <

200 o

(a) (b)

800 P
K K
<

(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
quenching hardly depends on the flow velocity
and the wetting at the sharp edges starts after
vapor blanket cooling.
Effect of Surface Conditions
In actual heat treating, the surface conditions
of the parts vary due to oxidation, contamina­
tion, coating with other material, surface rough­
ening, and so forth. Therefore, the effect of sur­
face conditions on the cooling characteristics in
quenching is very important.
Surface Oxidation. As discussed in the sec­
tion “Effect of Materials and Quench Process
Design on Distortion” in this article, oxide scale
affects cooling during oil quenching of steel
parts, as shown in Fig. 30 (Ref 14). In general,
light scale (thin oxide layers) increases the cool­
ing rate in oil quenching, but heavy scale (thick
oxide layers) retards the cooling rate. This phe­
nomenon often occurs in water or polymer
quenching.
± ..1
t layer.
1.5
Fifi 69 Steel sPec¡men f°r measuring cooling
° curves. Dimensions in mm. Specimen: steel
disk (30 mm diarn by 10 mm thick). Thermocouple: me­
tallic sheathed CA thermocouple (1.6 mm outer diameter).
Measuring position: geometrical center (A) and 1.5 mm be­
neath surface (B, C, and D). Source: Ref 68
Fifi 70 Measur'ng principle for determination of per-
centage of sample surface wetted during cool­
ing of immersion-cooled samples. Source: Ref 69
Hardening by Reheating and Quenching/273
Figures 80 and 81 (Ref 70, 71) illustrate the
effect of surface oxidation of silver, nickel, stain­
less steel, and pure iron cylinders with hemi­
spherical ends (without edge effect) on cooling
curves during quenching in still water. These re­
sults show:
• Oxidation of a probe surface exhibits little ef­
fect on the cooling characteristics during va­
por blanket cooling.
• Surface oxidation increases the lower-limit
temperature of the vapor blanket stage. Tliis
tendency is more remarkable in the case of
lower water temperature.
• The presence of a porous oxide layer on the
surface results in a remarkable rise of the va­
por blanket, the transition temperature from
lower to higher cooling rate (the minimum
temperature required for film boiling) be­
cause of the low thermal conductivity and
large roughness of the oxide layer.
A similar result was reportedfor spray cooling
of a hot steel plate (Fig. 82) (Ref 72). It has been
confirmed that this cooling acceleration effect
with thin oxide layer is caused either by sup­
pression of the vapor blanket formation or by
acceleration of the collapse (destabilization of
vapor blanket) ty the existence of the oxide
Fie. 71 (a) Cool ing curve of center of sampl e and vari-
ation of wetted surface area as a function of
time during cooling of cylindrical chromium-nickel steel
sample (15 mm diam by 45 mm long), (b) Photographs
show the wetting behavior at times A, B, and C. f$ and
respectively, are temperature and time of starting wetting;
T, and 4 respectively, are temperature and time of finishing
wetting. Source: Ref 69
Unstable cooling phenomena due to surface
oxidation were observed for water quenching of
steel (Fig. 83). Unstable changes of the cooling
rate during cooling were obtained due to flaking
of the oxide layer (Ref 70, 71).
Coating Effects. The presence of a low ther­
mal conductivity layer such as oxides exhibits a
remarkable influence on the cooling character­
istics of hot metals, as described previously.
Coatings of clay, glass, salt, and heat-resistant
paint exhibit a similar effect. Figure 84 shows
that a clay coating less than about 100 pm thick
results in a cooling acceleration effect in water
quenching of S45C steel cylinders. Such a phe­
nomenon was observed at the full range of water
temperatures (Ref 73). This effect is caused ei­
ther by suppression of the vapor blanket forma­
tion or by acceleration of the collapse by the ex­
istence of the clay coating layer (Ref 71, 73).
Kikuchi et al. (Ref 74) explained this phenom­
enon by considering the surface-temperature de­
crease during intermittent liquid-solid contact.
Figure 85 illustrates a similar result for a clay
coating on a silver probe (Ref 71, 73). In this
case, the thicker the clay coating layer, the lower
the cooling acceleration effect, because of the
insulation effect of the clay layer.
Surface Texture and Roughness. The effect
of surface texture and roughness on the cooling
characteristics in quenching is very important.
Narazaki et al. confirmed the effect of the surface
texture on the cooling curves of metallic speci­
men during quenching in still water (Ref 75).
The results showed:
• Surface texture and roughness exhibit little
effect on the cooling characteristics at the va­
por blanket stage.
• Surface roughness causes the rise of the
lower-limit temperature of the vapor blanket
stage.
A similar result (Ref 72) has been reportedfor
spray cooling of a hot copper plate (Fig. 86). It
is presumed that these effects ar e caused by the
destabilization of the vapor blanket, which re­
sults from microscopic liquid-solid contacts on
the rough surface.
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
during polymer quenching (Ref 71, 76). In this
case, the surface texture finished by lapping sta­
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
is promoted by many homogeneous bubble nu­
cí eati on cavities on the lapped sandblasted sur­
faces.
Effects of Geometry
Edge Effect. The shape of steel parts is a very
important factor for water and aqueous polymer
quenchants, but it is not as important for oils (see
Fig. 88-90) (Ref 71). The initial rupture of the
274 / Residual Stress During Hardening Processes

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 lowrer, 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 transformation behavior of austenite, and surface
blanket stage and during the convection-cooling
sitive to the end or edge shapes of cylindrical oxidation. Therefore, it affects cooling behavior
stage. However, the minimmn 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 martensite also influences the cooling rate. The
specimen during oil quenching. However, the ef­ 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 vrith 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
is increased (mass effect). Therefore, rapid cool­
ing of the core of a workpiece with large cross
sections is impossible with any quenching me­
dia. In addition, cooling rates of the core are lim­
ited by the thermal diffusion in the workpiece.
Size of a workpiece also affects the stability''
of vapor film on the surface of the workpiece and
the whetting behavior. The velocity of wetting is
reduced, and the time interval of wetting in­
creases with increased section size. Vapor flow
rate, vapor thickness, and quenchant temperature
around the workpiece increases with the increas­
ing workpiece size. As a result, surface heat
transfer of a wmrkpiece is influenced by the
wmrkpiece size.

Material Effects
Heat-resistant materials such as silver, gold,
platinum, stainless steel, nickel, Inconel alloy,
and so forth are used as specimens for cooling-
Time (f), s
Fig. 73 Effect of agitation on cooling curves in oil quenching. Probe: cylindrical silver probe (10 mm diamby30mm
® long). Quenchant: 80 °C quench oil (JIS 1-2 type)

pjo 72 Cooling curves of a silver probe and heat-transfer coefficients in quenching in representative quenchants. (a) Cooling curves of a 1 0 mm diam by 30 mm long silver probe.
® (b) Heat-transfer coefficients estimated with lumped-heat-capacity method

Effect of Cooling Characteristics on
Residual Stress and Distortion from
Quenching
Steel quenching requires a wide variation in
cooling rates to achieve the required hardness
and strength, which is dependent on the harden-
ability of the steel and section size of the work-
piece. At the same time, residual stresses, dis­
tortion. and crack formation must be minimized.
However, these are often contradictory objec­
tives. For example, although increasing cooling
rates increases hardness, it often increases the
potential for distortion, stress, and cracking.
Similarly, distortion and stress during quenching
are affected by many factors, such as the quert-
chant, the bath temperature, and agitation. The
dimensions, shape, and material of the work-
piece also influence the distortion, stress, and
cracking.
Effect of Quenchant Selection
The selection of quenchant is the most basic
factor affecting the cooling characteristics of
workpieces. Therefore, it is the basic factor to be
considered for stress and distortion control dur­
ing quenching. The selection of a particular
quenchant depends on the quench severity de­
sired. For example, water, brine, or lower con­
centrations of aqueous polymer solutions are
used for plain carbon steels. Accelerated oils are
used for lower-alloy steels. Conventional oils or
higher concentrations of polymers are used for
higher-alloy steels. Molten salts or liquid metals
are often used for martempering (marquenching)
and austempering.
The dimensions and shape of the workpiece
being quenched should also be considered in se­
lecting a quenchant. Generally speaking, the
thicker the workpiece, the more severe the quen-
chant. However, severe quenching often in­
creases stress and distortion of the quenched
Fig 74 ¡Effort °f Ia) 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. 6, diameter. Source: Ref 68
Hardening by Reheating and Quenching / 275
workpiece. For steel parts with thick and thin
cross sections, the selection of a quenchant is
more difficult. Many such shapes increase the
nonuniformity of cooling and therefore increase
the potential for stress, cracking, and distortion.
Wetting during quenching in a volatile quen­
chant, such as water, oil, or aqueous polymer
solutions, results in nonuniform (uneven) cool­
ing of the workpieces producing high surface
thermal gradients and often increasing distortion
and stress. Many aqueous polymer quenchants
will provide more uniform wetting properties,
which will result in substantial reductions in
cracking and distortion (Ref 68).
Figures 92 and 93 show the distortion and re­
sidual stress of 30 mm diam, and 10 mm thick
carbon steel disk specimens quenched in various
quenchants without agitation. Different stress
distributions and distortions were obtained for
each quenchant. This is a result of the difference
of the cooling power of each quenchant, which
dominates the cooling path on the CCT curve
and therefore the internal distribution of marten­
site and ferrite, pearlite. The wetting process on
the surface of the specimen during water, poly­
mer, and oil quenching also affects the stress and
distortion. After vapor blanket cooling, a col­
lapse of the vapor blanket (i.e., wetting) occurs
progressively during water quenching. This re­
sults in a nonuniform cooling of a steel specimen
and increases stress and distortion. Flowever, if
the vapor blanket collapses simultaneously or
explosively, as in polymer quenching, the si­
multaneous collapse provides uniform quench­
ing, which is effective for reducing stress and
distortion. The results shown in Fig. 92 and 93
illustrate the effectiveness of uniform quenching
using a polymer quenchant.
Moltert-salt and liquid-metal quenching also
provide uniform quenching, decrease cooling
rate, and nonuniformity of the temperature of a
steel part because of the high quenchant tem­
perature. These characteristics are effective for
the reduction of stress, distortion, and cracking.
Workpiece Size Effects
The cooling rate of a workpiece being
quenched shows an inverse relationship with re­
spect to the increasing thickness of the work-
piece by mass effect. In addition, the cooling
rates of the core are limited by the thermal dif­
fusion in the workpiece. Therefore, stress and
distortion during quenching are affected by the
dimensions, shape, and material of the work-
piece being quenched.
Figure 94 (Ref 78) shows the axial stress de­
velopment during water quenching of AISI 1045
steel cylinders. The 10 mm (0.4 in.) diam cyl­
inder starts to transform to martensite at the sur­
face, and the transformation front moves grad­
ually inward, resulting in a typical tensile stress
at the surface. The large-diameter cylinders first
transform to ferrite/pearlite at intermediate radii
and then to martensite at the surface. This causes
two stress minima, seen in the dashed curves in
Fig. 94(a) to (c). The final residual stress is com­
pressive at the surface and tensile in the core.
The relationship of stress to specimen diameter
and quenching medium is summarized in Fig. 95
(Ref 78. 79). The difference between oil and wa­
ter quenching decreases with increasing diame­
ter.
Effect of Agitation
As discussed in the section “Effect of Mate­
rials and Quench Process Design on Distortion”
in this article, quench nonuniformity can arise
from nonuniform flow fields around the part sur­
face during the quench or nonuniform wetting of
the surface. In addition, poor agitation design is
a major source of quench nonuniformity. The
purpose of the agitation is not only to increase
cooling power of quenchant, but also to provide
uniform cooling in order to suppress the exces­
sive distortion and stress of quenched steel parts.
Nonuniformity of the surface cooling during
water quenching is decreased significantly by the
276 / Residual Stress During Hardening Processes
agitation (as shown in Fig. 75). Therefore, stress
and distortion are largely affected by agitation.
However, polymer quenchant agitation hardly
affects the degree of nonuniformity of the sur­
face cooling (as shown in Fig. 7 7) because of the
explosive collapse of vapor blanket.
Figures 96 and 97 show the effect of agitation
of quenchants on the profile of the flat surface of
the steel disk after quenching. Figure 96 shows
that nonuniform surface cooling in still water
quenching results in concaving of the steel disk
specimen and the agitation of water significantly
decreases the quench distortion in water quench­
ing. This occurs because agitation reduces the
nonuniformity of the surface cooling of the steel
disk since agitation accelerates the propagation
F¡g 75 Effect of agitation on cooling curves and tem-
perature differences of stainless steel disk spec­
imen during water quenching. Quenchant: 30 C city wa­
ter. F low velocity: (a) still, (b) 0.3 m/s, (c) 0.7 m/s. Source:
Ref 68
of the vapor blanket collapse on the surface.
However, agitation of polymer quenchant does
not decrease the quench distortion (Fig. 97) be­
cause the instantaneous and explosive collapse
of the vapor blanket on the specimen surface oc­
curs with and without the agitation.
Figures 98 and 99 show the effect of agitation
methods of quenchants on the quench distortion
of 20 mm in diam, 60 mm long carbon steel bars
quenched in water and a polymer quenchant.
Figure 98(a) shows that nonuniform surface
cooling in still water quenching results in uneven
diameter of the steel bar. The increases of di­
ameters near the ends of bars that were observed
are attributable to heat extraction from the edges
of the bar by edge effect. The upward flow of
water decreases end effect, because the agitation
reduces the nonuniformity of the surface cooling
of the steel bar. The lateral submerged and open
spray decrease the diameter and increase the
length of steel bars, because the lateral flow
causes the fast cooling of the side surface and
the thermal shrinkage of diameter, which also
results in the elongation in length of the steel bar
(Fig. 98b). On the other hand, agitation of poly­
mer quenchant hardly affects the quench distor­
tion (Fig. 99) because the instantaneous and ex­
plosive collapse of the vapor blanket on the
specimen surface definitely occurs with and
without the agitation.
(b)
Fig 76 ' ,ll'( 1 °f ta! agitation and (b) flow velocity on
wetting process on the surface of stain less steel
disk specimen (30 mm diam by 10 mm thick) during poly­
mer quenching. Quenchant: 30 “C 10% FAG polymer
aqueous solution
Figures 100 and 101 show the effect of agi­
tation of quenchants on the residual stresses on
the side surface of 20 mm diam, 60 mm long
carbon steel bars quenched in water and a poly­
mer quenchant. Figure 100 shows that nonuni­
form surface cooling in still water quenching re­
sults in uneven residual stress distribution on the
surface of the steel bar. Agitation of w ater results
in even stress distributions except near the ends.
In addition, the submerged and open spray cool­
ing result in high compression stresses. Figure
101 shows the effect of agitation on stress dis­
tribution after polymer quenching. Agitation of
polymer quenchant results in er en stress distri­
bution and high compression stresses except
near the ends. However, still polymer quenching
can also make even and high compression stress
(c)
Fig 77 Effect of agitation on cooling curves and tem-
perature differences of stainless steel disk spec­
imen during polymer quenching. Quenchant: 30 C 10%
PAG polymer aqueous solution. Flow velocity: (a) still, (b)
0.3 m/s, (c) 0.7 m/s
 Hardening by Reheating and Quenching / 277

because the uniform cooling occurs with and

without the agitation.
Table 12 shows the effect of agitation on the

Temperature difference (AT),

frequency of quench cracking in water and poly­
mer quenching of steel disks, the geometry and
dimensions of which are shown in Fig. 102. Hie
specimen in this case (30 mm in diameter by 10
mm thick) did not contain any notches; however,
it contained an eccentrically located 10 mm diam
hole. This specimen, used in the work of Owaku
(Ref 1). was adopted by the Quench Cracking
Working Group of the Japan Heat Treatment So­
ciety. Steel matenals used were Japanese stan­
dard S45C, SK4, and SCM435. Tliese 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). Plow 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.
As already described in the section “Effect of
Process Variables on Cooling Behavior andHeat
Transfer” in this article, the surface texture and
roughness affect the cooling characteristics of
the steel workpiece in quenching. Therefore,
these factors affect the stress and distortion of

Effect of surface oxidization on cooling curves of cylindrical silver, nickel, and stainless steel specimens in
Fig. 80
water quenching. Quenchant: 30 °C still water. Specimen shape: cylinder with hemispherical ends (10 mm
diam by 30 mm long). Heating conditions: 1, S 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

Fig 78 Effect of (a) agitation and (b) flow velocity on

wetting process on ihe 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: SO and 91 6C 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
278 / Residual Stress During Hardening Processes

the workpiece quenched. In addition, the surface

CO
O texture and roughness are very important factors
X for quench cracking because the microscopic ge­
ometry and roughness of the surface affect the
tendency to crack. Table 13 shows an example
of such a case (Ref 80). The results are:
• Surface roughness increases the tendency for
quench cracking of steel if surface roughness
(maximum height of irregularities R,p or 10
points height of irregularities Rz) is larger
than approximately 1 pm.
• Surface texture made by lapping tends to
cause a higher occurrence of quench cracking
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,
cutting tool marks, micronotches, and so forth
act as a stress riser and a trigger for inducing
quench cracking.
Effect of Oxide or Coating Layer. The pres­
ence of a thin layer such as oxide scale and clay
coating, for example, causes a cooling acceler­
ation effect by suppression of vapor blanket for­
mation or by acceleration of the collapse by the
existence of a thin coating layer (as mentioned
in the section “Effect of Process Variables on
Cooling Behavior and Heat Transfer”). In addi­
tion, uniform cooling is caused by the existence
of a thin layer. Therefore, quench cracking is
suppressed by a thin scale or coating layer. Ta­
bles 14 and 15 show that the existence of oxide
scale or clay coating largely suppresses the oc­
currence of quench cracking. However, a heavy
oxide scale of the steel workpiece often causes
Time (f), 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

© 600
3
5
¡D.
I 400
h-

200

0
0 1 2 3 4 5 6 7 8 9 1 0
Time, s Fie. 85 Effect of clay coating on cooling curves of sil­
ver specimen in water quenching. Quenchant:
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 (1 0 mm diam
Fig. 84 by 30 mm long)
Specimen: JIS S45C steel cylinder (1 0 mm diam by 30 mm long)
 Hardening by Reheating and Quenching / 279

Component Design
One of the causes of unacceptable distortion
and cracking of steel parts is component design.
Poor component design promotes distortion and
cracking by accentuating nonuniform and non-
symmetrical heat transfer during quenching.
Component designs that minimize distortion and
cracking include the following.
Design Symmetry. It is important to provide
greater symmetry. One of techniques for design
symmetry is to add dummy holes, key grooves,
or other shapes to steel parts.
Balance of Cross-Sectional Area. The dif­
ference between a large cross-sectional area and
1 0 0 2 0 0 3 0 0 4 0 0 5 0 0 a thin one can be decreased by:
Surface temperature, °C
• Adding dummy holes to large cross-sectional
p|p ftA Effect of surface roughness on heat-transfer coefficient during spray cooling of a hot copper plate. Source: areas
8* 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
Avoiding Sharp Corners and Edges. Distor­
tion and cracking are encountered when quench­
ing a part with sharp comers and edges, which
increase cooling nonuniformity and act as stress
risers. Therefore, it is effective to round comers
and edges or to employ a tapered shape.

Steel Grade Selection

Although quench distortion and cracking are
most often due to nonuniform cooling, material
selection can be an important factor. Some at­
0 1 2 3 4 5 6 7 8 9 1 0 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:
8" 30 °C 15% polymer (PAG ) quenchant. Specimen: jIS S45C steel cylinder (l 0 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
tion “Effect of Materials and Quench Process
Design on Distortion”).
• If possible, it is better to choose a combina­
tion of a high-alloy steel and a very slow-
cooling rate. As a matter of course, the selec­
tion of high-alloy steels markedly raises the
material cost.
Cracking propensity increases as the Ms tem­
perature and the carbon equivalent increase.
Quench cracks were prevalent at carbon equiv­
alent values above 0.525, as shown in Fig. 103.

Selection of Quenchant and Agitation

0 5 1 0 1 5 2 0
Time (f), s Quenchants must be selected to provide cool­
(a) ing rates capable of producing acceptable micro­
structure in the section thickness of interest.
Fig 88 Effect °f specimen shape on the cooling curves of cylindrical silver specimen cylinder (10 mm diam by 30 However, it is not desirable to use quenchants
8* mm long) during quenching in 30 °C water. Specimen shape: JIS, JIS silver probe type; R0, with flat ends and

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
280 / Residual Stress During Hardening Processes
the propensity to cause increased distortion or
cracking. Although a reduction of quench sever­
ity leads to reduced distortion, it may also be
accompanied by undesirable microstructures.
Therefore, it is difficult to select an optimal
quenchant and agitation. Cooling power of quen-
chant should be as low as possible while main­
taining a sufficiently high cooling rate to ensure
the required microstructure, hardness, and
strength in critical sections of the steel parts.
Specific recommendations for quench media se­
lection for use with various steel alloys and gen­
eral comments regarding quenchant selection
were already shown in the section “Effect of Ma­
terials and Quench Process Design on Distor­
tion.”
Nonuniformity of cooling is perhaps the great­
est contributor to quench distortion and cracking.
Nonuniform cooling can arise from nonuniform
flow fields around the part surface during
quenching or nonuniform wetting of the surface.
Nonuniform quenching creates large thermal
gradients between the core and the surface of a
steel part, or among the surfaces of the parts.
These contributing factors, agitation, and surface
wetting should be considered to select a quen­
chant and an agitation method.
Good designs of agitation, racking, and sup­
port fixturing are major factors of uniform
quenching. The purpose of the agitation system
is not only to take hot fluid away from the sur­
face of steel parts, but it is also to provide uni­
form heat removal over the entire cooling sur­
face of all of the parts throughout the load being
quenched.
Quenching Methods
Part design, material selection, quenchant se­
lection, and so forth, are the most important fac­
tors to suppress the quench distortion and crack­
ing of steel parts. In addition, several methods
for minimizing distortion and eliminating crack­
ing are employed, for example, interrupted
—T~
Still
0 2 4 6 8 1 0 1 2 1 4
Time (f), s
fa)
Fifi. 89 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 15% polymer (PAG) quenchant. Specimen shape: jlS, jlS silver probe
type; R0, with flat ends and sharp edges; R3, with rounded edges of 3 mm radius; R5, with hemispherical ends of 5 mm
radius; C1, with chamfered edges of 1 mm by 45°
quenching, press quenching, plug quenching,
and so forth.
Interrupted quenching refers to the rapid
cooling of the steel parts from the austenitizing
temperature to a temperature where it is held for
a specified time, followed by slow cooling.
There are several different types of interrupted
quenching: austempering, marquenching (mar-
tempering), time quenching, and so forth. The
temperature at which the quenching is inter­
rupted, the length of time the steel is held at tem­
perature, and the cooling rate can vary, depend­
ing on the type of steel and workpiece thickness.
Marquenching (martempering) is a term that
describes an interrupted quenching from the aus­
tenitizing temperature of steels. The purpose is
to delay the cooling just above the martensitic
transformation temperature until temperature
equalization is achieved throughout the steel
part. This will minimize the distortion, cracking,
and residual stress. The term martempering is
somewhat misleading, and the process is better
described as marquenching. Figures 104(a) and
(b) (Ref 81) show the significant difference be­
tween conventional quenching and marquench­
ing. The marquenching of steel consists of:
1. Quenching from the austenitizing tempera­
ture into a hot quenching medium (hot oil,
molten salt, molten metal, or a fluidized par­
ticle bed) at a temperature usually above the
martensite range (Ms point)
2. Submerging in the quenching medium until
the temperature throughout the steel work-
piece is substantially uniform
3. Cooling (usually in air) at a moderate rate to
prevent large differences in temperature be­
tween the outside and the core of the work-
piece
The formation of martensite occurs fairly uni­
formly throughout the workpiece during the
cooling to room temperature, thereby avoiding
excessive amounts of residual stress. Straight­
ening or forming is also easily accomplished
1 6 1 8 2 0
upon removal from the marquenching bath while
the part is still hot. Marquenching can be accom­
plished in a variety of baths including hot oil,
molten salt, molten metal, or a fluidized particle
bed. Cooling from the marquenching bath to
room temperature is usually conducted in still
air. Deeper-hardening steels are susceptible to
cracking while martensite forms if the cooling
rate is too rapid. Marquenched parts are tem­
pered in the same manner as conventionally
quenched parts. The time lapse before tempering
is not as critical because the stress is greatly re­
duced.
The advantage of marquenching lies in the re­
duced thermal gradient between surface and core
as the part is quenched to the isothermal tem­
perature and then is air cooled to room tempera­
ture. Residual stresses developed during mar­
quenching are lower than those developed
during conventional quenching because the
Time (i), s
FÍ2 90 Effect of specimen shape on the cooling curves
® of cylindrical silver specimen cylinder (1 0 mm
diam by 30 mm long) during quenching in 80 °C still oil.
Specimen shape: JIS, J IS silver probe type; R0, with flat ends
and sharp edges; R3, with rounded edges of 3 mm radius;
R5, with hemispherical ends of 5 mm radius; C1, with
chamfered edges of 1 mm by 45°
0 2 0 0 4 0 0 6 0 0 8 0 0
A7j = Tw- 7], (K)
Fifi. 91 Effect of specimen material on the he at-transfer
coefficients during oil quenching. Quenchant:
80 ° C still quenching oil (JIS 1 -1 type). Specimen: cylindri­
cal silver, nickel, and stainless steel specimen with hemi­
spherical ends (1 0 mm diam by 30 mm long)

greatest thermal variations occur while the steel
is in the relatively plastic austenitic condition
and because the final transformation and thermal
changes occur throughout the part at approxi­
mately the same time. Marquenching also re­
duces susceptibility to cracking.
Modified marquenching differs from standard
marquenching only in that the temperature of the
quenching bath is below the Ms point (Fig. 104c)
(Ref 81). The lower temperature increases the
severity of quenching. This is important for
steels of lower hardenability that require faster
cooling in order to harden to sufficient depth.
Therefore, modified marquenching is applicable
to a greater range of steel compositions than is
standard marquenching.
Austempering consists of rapidly cooling the
steel part from the austenitizing temperature to
a temperature above that of martensite forma­
tion, holding at a constant temperature to allow
isothermal transformation, followed by air cool­
ing. The steel parts must be cooled fast enough
so that no transformation of austenite occurs dur­
ing cooling and then held at bath temperature
long enough to ensure complete transformation
of austenite to bainite. Molten-salt baths are usu­
ally the most practical for austempering appli­
cations. Parts can usually be produced with less
dimensional change by austempering than by
conventional quenching and tempering. In ad­
dition, austempering can decrease the likelihood
of cracking and can improve ductility, notch
( L e f t side) Radius horizontal (/s), mm
° Water (30 °C, still)
* 10% PAG polymer solution (30 °C), still)
□ Oil (80 °C, still)
F|o 92 Effect of quenchants on quench distortion of jIS S45C carbon steel disk quenched in still quenchants.Specimen
dimensions were 30 mm diam by 10 mm thick, (a) Distribution of axial distortion, (b) Distribution of radial
distortion
Hardening by Reheating and Quenching / 281
toughness, and wear resistance. However, aus­
tempering is applicable to a limited steel and
parts size. Important consideration for the selec­
tion of steel parts for austempering are:
• The location for the nose of the TTT curve
and the speed of the quenching
• The time required for complete transforma­
tion of austenite to bainite at the austempering
temperature
• The location of the Ms point
• Maximum thickness of section that can be
austempered to a fully bainitic structure
Carbon steels of lower carbon content will be
restricted to a lesser thickness. For 1080 steel,
the maximum section thickness is about 5 mm
(0.2 in.). Low-alloy steels are usually restricted
to about 10 mm (Vs in.) or thinner sections, while
more hardenable steels can be austempered in
sections up to 25 mm (1 in.) thick. Nevertheless,
sections of carbon steel thicker than 5 mm (0.2
in.) are regularly austempered in production
when some pearlite is permissible in the micro­
structure (Ref 82).
Time quenching is an interrupted quenching
method and is used when the cooling rate of the
part being quenched needs to be abruptly
changed during the cooling cycle. The usual
practice is to lower the temperature of the part
by quenching in a medium with liigh heat re­
moval characteristics (for example, water) until
the part has cooled below the nose of the TTT
(Right side)
curve and then to transfer the part to a second
medium (for example, oil, air, an inert gas), so
that it cools more slowly through the martensite-
formation range. Time quenching is most often
used to minimize distortion, cracking, and di­
mensional changes.
Restraint quenching refers to the quenching
under restraint of distortion of steel, for example,
quenching by using restraint fixtures, press
quenching, cold-die quenching, plug quenching,
and so forth. There are many round, flat, or cy­
lindrical parts that distort to an unacceptable de­
gree by conventional immersion quenching. Un­
der such conditions, it is necessary to resort to
special techniques. However, the equipment for
those special techniques are expensive and pro­
duction rates are slow. Consequently, the result­
ing cost of heat treatment is relatively high.
Therefore, use of these techniques should be
considered only when minimal distortion is man­
datory.
Restraint fixturing is costly and is used pri­
marily for highly specialized applications. Rep­
resentative examples are the quenching of rocket
and missile casings or other large components
with thin wall sections.
Press Quenching and Plug Quenching. Prob­
ably the most widely used special technique is
press quenching. To minimize distortion caused
by the quenching cycle, press and plug quench­
ing dies must be made to provide the proper
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
force the quenching medium into contact with
the part in a controlled manner.
Cold-Die Quenching. Thin disks, long thin
rods, and other delicate parts that distort exces­
sively by conventional immersion quenching can
often be quenched between cold dies with no
distortion. Cold-die quenching is limited to parts
with a large surface area and small mass, such
as washers, rods of small diameter, thin blades,
and so forth. Large, thin thrust washers have to
be flat after quench hardening, but considerable
distortions are developed as a result of blanking
and machining stresses. To ensure the required
flatness, the washers are squeezed between a pair
of water-cooled dies immediately after they
leave the furnace.
Other quenching techniques that can be
used to minimize cracking and distortion are dis­
cussed here. Selective quenching is used when it
is desirable for certain areas of a part to be rela­
tively unaffected by the quenching medium. This
can be accomplished by insulating an area to be
more slowly cooled so the quenchant contacts
only those areas of the part that are to be rapidly
cooled. The clay-coating method is employed for
selective quenching, for example, water quench­
ing of Japanese swords. The distortion and mi­
crostructure of Japanese swords is controlled by
the thickness distribution of the clay layer. A
thick clay layer (>0.1 mm) suppresses the cool-
282 / Residual Stress During Hardening Processes

ing rate by its insulating effect, and thin clay

2 35 5 5 53 2 layer increases the cooling rate during water
quenching by its cooling accelerating effect (Fig.
* r"
<J t 84 and 85). Selective quenching is often effec­
tive to suppress excessive distortion or cracking.
o 09 Spray quenching invol ves directing high-pres­
sure streams of liquid onlo the surfaces of steel
parts. Spray quenching is often useful for mini­
030 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
—O— Water —A— Aqueous polymer solution —O-Oil be faster because the quenchant droplets formed
S 1000 by the high-intensity spray impact the part sur­
H 800 oss onstr
| Circumferencial one
surface] face and remove heat very effectively.
'' 600
Fog quenching utilizes a fine fog or mist of
b *0° —
lá liquid droplets in a gas carrier as the cooling
200
V?
■
0 f/
agent. Although similar to spray quenching, fog
S -200 /
\ quenching produces lower cooling rates because
IS "40° cP-------- p of the relatively low liquid content of the stream.
-g -600
g -800 ____ *‘ Intensive quenching (Ref 83) invol ves forced-
cr -looo convection heat exchange both during high-tem­
-10 -5 0 5 10
Position on flat end surface (mm)
perature cooling and also during the transfor­
mation of austenite into martensite. Intensive
(a) quenching promotes temperature uniformity
during cooling through the cross section of the
part. Cooling intensity should be sufficient to
promote maximum surface compressive stresses.
Water —A—Aqueous polymer solution —* -Oil
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-
(b)

Fifi 93 Effect of quenchants on residual stresses on side surface of IIS S45C carbon steel disk quenched In still
quenchants, Specimen dimensions were 30 mm diam by 10 mm thick, (a) Circumferential stress on end 115
surface, (b) Radial stress: on end surface
85

60

30
o>
V,
-30

-60 ,!S

-85

-115

-145
10 30 50 100
Position in cylinder from center (0%) to surface (100%) Cylinder diameter, mm

FlS. 94 v'ia slress distribution during water quenching for various AISI 1045 steel cylinders diameter D , at. selected Fjg (j- Dependence of axial residual stresses: on cyl­
& times (in seconds) after the start of quenching from 850 "C (1560 °F) in 20 °C (70 V) water. The final micro­ inder diameter. 'Same steel as in Fig: 94. The
structure of the 10 rtitti (0.4 in.I diam cylinder is completely martensite, while the others have a ferritic-pearl ¡tic core. core is martensite for 10 mm (0.4 in.) diameter, but is
Source: 78, 79 ferrite-pearlite for larger diameters. Source: Ret 78, 79
 Hardening by Reheating and Quenching / 283

creases ductility and toughness of quench-hard-

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
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.
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
plate. At a higher tempering temperature, there
is an increase in the dimensions, with a maxi­
Fig 97 Effect of agitation of polymer quenchant on quench distortion of JIS S45C carbon steel disk. Specimen di
mensions were 30 mm diam by 10 mm thick. Quenchant was 30 °C 10% polymer (PAG) quenchant. Flow mum increase at 300 °C (570 °F), after which
velocity: (a) still polymer solution, (b) 0.3 m/s, and (c) 0.7 m/s dimensions again decrease. The increased vol-

Change of length, mm
(a) (b)

FlS 98 ^ect °f 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

CD
a>
E
as
~o
o
a>
as
OZ

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 MBS 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
284 / Residual Stress During Hardening Processes
lime at 300 °C (570 °F) is attributed to the trans­
formation of retained austenite to bainite. At 400
°C (750 °F), the dimensions revert to values
closer to the original values, prior to quenching
and tempering.
In addition to dimensional change by micro-
structural variation, tempering may also lead to
dimensional variation due to relaxation of resid­
ual stresses and plastic distortion caused by the
temperature dependence of yield strength (Ref
85). Figure 105 shows the distortion of round
steel bars (200 mm in diameter and 500 mm in
length) by quenching and by stress relieving in
tempering. A medium-carbon steel bar (Fig.
105a to c) and a hardenable steel bar (Fig. 105d
to f) are used in this experiment. Figures 105a
and d are the results of quenching from 650 °C
without phase transformation. The distortion in
each case is almost the same, regardless of the
different quenchants and the different chemical
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
m/s upward flow and lateral submerge in immersion quenching, and lateral open spray quenching in air. (a) Axial stress heat due to phase transformation dur­
on surface, (b) Tangential stress on surface
compositions. These convex distortions are
caused by nonuniform thermal contraction and
resultant thermal stress during cooling. Figures
105(b) and (e) are the results of quenching from
850 °C with phase transformation. The distortion
in Fig. 105(e) (hardenable steel) shows a convex
configuration, but the distortion in Fig. 105(b)
(medium-carbon steel of poor hardenability)
shows a configuration that combines convex and
concave distortion. In addition, water quenching
(WQ) has a greater effect on distortion than oil
quenching (OQ). Figures 105(c) and (f) show the
configurations after tempering. These results
show that tempering after quenching results in
not only volumetric changes but also in convex
distortions. Such distortions seem to be related
to relieving residual stresses by tempering.
Figures 106 and 107 (Ref 86) show an ex­
ample of stress relief by tempering. A solid cyl­
inder 40 mm in diameter and 100 mm in length
was examined for analyses and experiments of
tempering performed after water quenching. Cal­
culated residual stress distributions after water
quenching are shown in Fig. 106; open and solid
circles correspond to measured stresses on the
surface of the cylinder by x-ray diffraction. Re­
sidual stress distributions after tempering at 400
°C are shown in Fig. 107(a) and (b) for typical
elapsed times of 2 and 50 h with measured val­
ues on the surface. These results show that the
stresses in all directions decrease with elapsed
time in tempering.
Prediction of Distortion and
Residual Stress after Quenching
The computer prediction of thermomechanical
behavior in quenching is ven,' 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
quenching. In order to predict thermomechanical
behavior, residual stresses, and distortion in
quenching of steel parts, a simulation method
based on metallothermomechanical theory (Ref
87, 88) and finite-element analysis is often ap­
plied. The metallothermomechanical theory is
coupled with temperature, phase transformation,
and stress/strain fields. In quenching, the fields
of metallic structures and stress/strain as well as
temperature affect each other. The triangular di­
agram shown in Fig. 108 shows such coupling
effect (Ref 88). In carburizing-quenching pro­
cess, the effect of carbon content on the three
fields is also represented by the dashed lines in
the figure. A series of theoretical models with
consideration of the effect of carbon diffusion
and distribution is introduced.
Governing Equations
An example of introducing the governing
equations in the framework of thermomechani­
cal behavior for describing temperature and
stress/' strain fields incorporating metallic struc­
tures in the quenching process is summarized in
this section (Ref 88—91).
Mixture Rule. When a material point under­
going heat treatment is assumed to be composed
of a multiphase structure, an assumption is made
that a material parameter is described by the
mixture law:
N M
% = 2 X& and 2 \i = 1 (Eq4)
/= i /=* i
where g7 denotes the volume fraction for the 7th
phase.
Heat-Conduction and Diffusion Equations.
The temperature field is governed by a special
he at-conduction equation coupling stress work
and latent
ing quenching:

F¡g j 0^ 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
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.
Quench ants and its agitation
City water (30 °C)
Still (nonagitated)
0.3 m/s upward
0.7 m/s upward
5 m/s open spray
10°/o polymer quenchant (30
Still (nonagitated)
0.3 m/s upward
0.7 m/s upward
Hardening by Reheating and Quenching / 285
dT
per -
c)Xi \ dXL,
+ 2 piik (Eq 5)
where k and /x denote the coefficient of heat con­
duction and the latent heat produced by the pro­
gressive Jth constituent.
The boundary conditions of heat transfer on
the outer surface are assumed to be:
dT
£ —= (Eq 6)
dx¿ KT
TJ
where h is a function dependent on temperature,
h and T,„ denote the heat-transfer coefficient and
the temperature of coolant on heat-transfer
boundary with unit normal nh respectively.
Carbon content during carburizing is solved
by the diffusion equation:
<3 / 3l
C = — -D — (Eq 7)
Bx t \ dx li
where C is content in the position x{ direction, D
is the diffusion constant determined by the
boundary condition being specified by the reac­
tion across the surface layer:
dC
D — n¿ = h (C c e - C s) (Eq 8)
dx¿
where hc and Ce are the surface reaction rate co­
efficient and the known content of the external
environment, respectively.
Constitutive Equation. Total strain rate sy is
assumed to be divided into elastic, plastic, and
thermal strain rates and those by structural di­
latation due to phase transformation and trans­
formation such that:
£y = £ ¡j + £p + sjj + £y + sfj (Eq 9)
Here, the elastic strain: 4
4 = 1 +E ~ | (oJSy (Eq 10)
2 I 10
Frequency of occurrence of quench cracking °/o
S45C SK4 SCM435
0.45% C-0.67 °/oMn 0.98% C -0.77 %Mn 0.35% C-0.76 %Mn-1.06% C r-0.20% Mo
100 100 (flat surface) 100
70 30 (flat surface) 100
70 (hole surface)
0 0 (flat surface) 60
100 (hole surface)
0 10 (flat surface) 0
90 (hole surface)
°C, PAG) F¡o "J02 specimen for quench-cracking test.
0% 0 0 Specimen dimensions were 30 mm diam by
0% 10 mm thick; specimen contains an eccentrically located
0% 0 0
10 mm diam hole.
286 / Residual Stress During Hardening Processes

Ji f „
with Young’s modulus E and Poisson’s ratio v. In the simulation of carburizing-quenching pro­
£=2 A - C) p.
In the simulation of carburizing-quenching 1= 1 LC2 W cess, a is expressed as the function of carbon
process, (1 + v) E and v E are expressed as the content and volume fraction of the structure:
functions of carbon conlent and volume fraction V/2
+ (c - (Eq 12)
of the structure: N

a 2 A Cj
{(C2 - C)an

The thermal strain is the function of initial tem­

perature of material T0 and thermal expansion + (c ('i)<v,2; (Eq 14)
1+V
=2 (C2 - C) coefficient a:
E /= i LC 2 Ci

1 + Ifel The plastic strain rale is reduced to the form by

+ <«5 - £* (Eq 11) employing temperature-dependent materials pa­
4= - T„y\ (Eq 13)
rameters:

Table 13 Effect of surface texture and roughness on quench cracking in water quenching .?p _ .
(Eq 15)
of steel disks shown in Fig. 100 iJ

Steel materials are Japanese standard S45C and SK4. Quenchant: water (30 °C) agitated by upward nozzle jet (1 m/s)
„ A dF dF ■

S45C SK4
= G -— au + — T
dT
0.45% C-0.67% Mn 0.98%C-0.77% Mn N
^ dF - dF ■}
Frequency of Frequency’ of + 16)
Surface finishing occurrence of Surface finishing occurrence of ¿Á;/ + “'í (Eq
and roughness quench cracking, % and roughness quench cracking, %
Grinding (WA Ha 46J) 30 Grinding (WA No. 46J) 20 (flat surface)
dF dF \ dF
= 1.0 |im, flz = 0.75 Jim fly = 0.90 pm, flz = 0.75 pm 80 (hole surface) (Eq 17)
Emery polishing (No. 800) 0 Emery polishing (No. 800) 0 (flat surface) G \dr.i„ + dK ° m ") da m „
fly = 0.15 pm, flz = 0.13 |im fly = 0.15 pm, flz = 0.13 pm 100 (hole surface)
Emery polishing (No. 320) 0
fly = 1.1 pm, flz = 1.0 pm with a temperature-dependent yield function:
Emery polishing (No. 240) 60 Emery polishing (No. 240) 0 (flat surface)
fly = 2.2 pm, flz = 2.0 pm fly = 2.0 pm, flz = 1.9 pm 100 (hole surface)
Lapping (WA No. 3000) 20 F = Fa:C.n0,K''.c,.K) (Eq 18)
fly = 1.1 pm, flz = 0.88 pm
Lapping (C No. 800) 20
fly = 2.4 pm, flz = 2.0 pm where K is the hardening parameter.
Lapping (C No. 500) m Lapping (C No. 500) 100 (flat surface) Strain rates due to structural dilatation and
fly = 3.0 pm, flz = 2.9 pm fly = 2.8 pm, flz = 2.6 pm 0 (hole surface) transformation plasticity depend on the 7th con­
stituent:
Ry, máximum height of irregularities; R z , ten points height of irregularities

Table 14 Effect of surface oxidation on quench cracking in water quenching of steel disks 100
shown in Fig. 100 80

Steel materials are lapanése standard S4=5E and SK4. Quenchant: Water'(30 SQ agitated by upward nozzle jet (1 m/s) 60

S45C SK4
40
0.45% C-0.67% Mn 0.9S"a.C-0.77%Mn
20
Frequency of Frequency of
Surface condition occurrence of occurrence of 0
kA
(heating condition) quench cracking, % Surface condition quench cracking, %
u- 300 340 380 420
No-scale (heated in argon) 30 No-scale 20 (flat surface)
MsI521~353(%C)-22.0<%SIK24.3<%IV!n)-
(heated in argon) 80 (hole surface)
Light scale (heated in air, 3 min) 0 Light scale 80 (flat surface) 17.3<%NiM7.7(%Cr)-25.8(%Mo)l, °C
(heated in air, 3 min) 20 (hole surface)
Heavy scale (heated in air, 20 min) 0 Heavy scale 0

Pr
(heated in air, 20 mm) 100 v

80

60 Mi, Cr, and Mo steels

• 2-Mn stee s
40 h é Mot fully m artensitic
Table 15 Effect of clay coating on quench cracking in water quenching of steel disks shown
in Fig. 100 20
AA AdLA
Steel materials are lapandsé standard S45C, SK4, and SCM43S,
0.4 0.5 0.6 0.7 0.8
Frequency of occurrence ol’ quench cracking, % Mo
CE(C + ^ 5+ 50 /
), %
S45C SK4 SCM435
Surface condit ion (coating condition) 0.45% C-0.67% Mn 0.98%C-0.77%Mn 0.35% C-0.76% Mn-1.06% Cr-0.20% Mo
Effect of Ms temperature and carbon equiv­
No coating (bare) 100 100 100 Fig. 103
alent on the quench cracking of selected
Clay coating (0.3 mm thick) 10 0 0 steels
 Hardening by Reheating and Quenching / 287

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

0 10 1 1WQ 1 1
0-05 u2.'170mm -
E 0 //
E OQ
of ■ 0 05 le=-0 209mm "
Id
►— .0-10 1 __ i_____1_____ 1____
UJ
5 (a) (b) (c)
<
0
lk
c
u OQ
1 /lc = -0-29lmm
< 3- ________
3
C

POSITION ALONG LENGTH,mm

(d) (e) «)
pig. 1 05 Deformation of medium-carbon and hardenable steel bars by quenching from below and above transformation temperature and by stress relieving. /c, 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) JÍS SNCM 439 steel
(0.39C-1.80Ni-0.80Cr-0.20Mo).

Radius (r), mm
Radius (r), mm (a)
Fig. 106 Stress distribution in cylinder after quenching Fig. 107 Stress distribution in cylinder during tempering
288 / Residual Stress During Hardening Processes

N
Sy = 2 P/I/Sy and
i=i
3"
s | = r 2
l /_ i
where /? and K1 stand for the dilatation due to
structural change and parameter due to transfor­
mation plasticity depending on the 7th constitu­
ent.
Kinetics of the Quenching Process. In the
case of quenching, two kinds of phase transfor­
mation are anticipated: one is governed by the
diffusionless or martensite mechanism. From
thermodynamic consideration, the formula for
this type of reaction from austenite is often as­
sumed to be governed by the modified Magee’s
rule (Ref 92) as:
= 1 - expiar + \|/2(C -C0)
+ V|/31oy + \jI32 J\12 + v|/4
where is the volume fraction of martensite
that is the function of carbon content, tempera­
ture, and stress. Here J2 is the second invariant
of deviatoric stress. \|/b \|/2, \|/3, \|/4 are all coef­
ficients obtained from experiments.
The other type of phase transformation is con­
trolled by diffusion mechanism, and the volume
fraction of developing phase such as pearlite
may be expressed by modifying the Johnson-
Mehl relation (Ref 93) as:
caused by a low level of applied stress during
the phase transformation. In addition to the cou­
pling effects between stress and phase transfor­
(Eq 19) mation, tins phenomenon is also expected to in­
fluence the stress and/or strain distribution
during quenching. Following Desalos et al. (Ref
94), the transformation plastic strain rate ¿T is
detennined by:
K& = 2(1 - & (Eq 22)
Here, K, is the transformation plasticity coeffi­
cient for martensitic or pearlitic transformation,
which may be identified by the experimental re­
sults dependent on dilatation-temperature dia­
grams.
Coupling Algorithm in Simulation by
(Eq 20)
Finite-Element Analysis
Based on the metallothermomechanical theory
(Ref 88, 89), the formulated finite-element equa­
tion system considering the coupling between in­
crement of nodal displacement (A-»} and tem­
perature {T} as well as volume fraction of
structure h>1 can be expressed as:
[P]{T) + [H]{T} = {0&),cy} (Eq 23)
and
IX(M¿)] {A«¿} = {AJTO} (Eq 24)
where sc and {T} are equivalent creep strain and
deviatoric stress vector. [79] denotes an elastic-
plastic matrix based on Mises-type yield func­
tion. Here, the functions depending on Tempera­
ture and phase transformation a and p can be
written as:
8 N
{«} = -([pr'ia}) + 2
OÍ 1= 1
(«¿{1} + (Eq 26)
and
{f} = ¿-([^“‘{a}) + MU (Eq 27)
<x¡ and P/ are the coefficients of thermal expan­
sion and dilatation due to 7th phase transforma­
tion, respectively. [79e] denotes the elastic matrix
of materials.
In order to treat unsteady coupled equations
depending on time, a “step-by-step time-integra­
tion method” and “Newton-Raphson method”
are introduced in numerical calculation, while an
incremental method is used for deformation and
stress analysis. Because heat-transfer coefficient
depends on variation of the temperature on the
boundary of heat transfer, one also uses the non-
uniform time step to calculate temperature,
phase transformation, and deformation fields
(Ref 89).

Here, matrices [P], [77], and [K\ represent the Examples of Simulation Results
= 1 - expj-J'o matrices of heat capacity, heat conduction, and
Simulation of Quenching Processes of a
stiffness, respectively, and the vectors {()} and Carbon Steel Disk and Cylinder (Ref 95). A
jmuvjum - xfdx (Eq 21)
{AT7} are heat flux and increments of thermal finite-element method code HEARTS was used
load. These equations are strong nonlinear equa­
In this equation, f(T), fjoy), and fc{C) are the for simulating the quenching processes of steel
tions and are derived by the use of the expression disk and cylinder (Ref 95). Models of a 0.45%
function of temperature T, stress ay, and carbon of stress increment vector as:
content C, respectively. Since the TTT diagram
under the applied mean stress om in logarithmic / 3 dsc 2
{do} = [29] {de} - — H} - 2
scale deviates from the one without stress, which \ 2g j=i
is represented by the function f(T), the kinetic N -\
equation of diffusion type is often applied to the {a}dT - 2 WÚ
variations of pearlite or ferrite structure in i= i /
quenching processes. Identification of the func­ "~l 3 1
tion//7) can be made possible by the use of some -2: KM^dd^is) + —
1L ¿o
experimental data of the structure change.
Transformation plasticity is known as the dT + Í d^{s} (Eq 25)
phenomenon of accelerated plastic deformation

Temperature-dependent Transformation stress and Nodes: 162

phase transformation transformation plasticity
F¡g "109 F'G'te-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 1 0 mm thick)
 Hardening by Reheating and Quenching / 289

C steel disk were employed to simulate the

quenching process. The diameter and thickness
of the disk are 30 and 10 mm, respectively. Then, h s\de

the finite-element model shown in Fig. 109 per­

tained to an axisymmetrical problem.
Figure 110 shows the heat-transfer coeffi­
cients used for the simulation. One of these co­
efficients was estimated using the lumped-heat-
capacity method program “LUMPPROB” (Ref
63) and the cooling-curve data of the JIS silver
probe. Another coefficient was estimated using
the inverse method program “InvProbe-2D” (Ref
64, 65) and the cooling-curve data of the ISO
Inconel 600 alloy probe. These coefficients were
modified by a trial-and-error method repeating hs\de
the calculation of cooling curve and the modifi­
cation of the surface-boundary condition. (^side = ^end)
Figure 111 shows the calculated volume frac­ Even
tion of martensite after water quenching of S45C
steel disk. The calculated volume fraction of
martensite depends largely on the accuracy of Fig 110 Heat-transfer coefficients used for the simulation. These coefficients were estimated by using the lumped-
the heat-transfer coefficients. Figure 112 illus­ 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 "lnvProbe-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 0.8
distribution of residual stress on the side surface
of the steel cylinder after polymer quenching. 0.7
The calculated residual stresses have good agree­
ment to measured results. Figures 116(a) and (b) 0.6
are simulated shape changes of S45C steel cyl­
inder during water and polymer quenching, re­ 0.5
spectively. These results clarify that nonuniform
cooling in water quenching causes larger distor­
0.4
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) b) ISO Probe + lnvProbe-2D
steel shaft with key way. 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 key way side in the beginning 1.7 s and bent c) Modified (Even on all surfaces)
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
290 / Residual Stress During Hardening Processes

nation of thermal stress, deformation, and trans­
formation-induced volume changes.
Prediction of Distortion during Carbu-
rized-Quenching of Chromium-Molybde­
num Steel Ring (Ref 98). Yamanaka et al. (Ref
98) carried out a coupled metallothermomechan-
ical analysis using heat treatment simulation
code “HEARTS” for a ring-shaped model (see
Fig. 119 and 120) of chromium-molybdenum
steel under the carburized-quenching process
shown in Fig. 121. Diffusion equation for carbon
content was solved and coupled with metallo-
theimomechanical analysis. The results were
compared with the experimental data to verify
and evaluate the influence of transformation
plasticity on simulation results.
Figure 122 shows the simulated distortion of
Radius (horizontal)(/s), mm
(Left side)
15 10
0.075
0.05
0.025
0
-0.025
-0.05 h- Measured
„ o Horizontal
-0.075 F.vertical
-0.1 J_________ L
15 10
(Upper)
cross section of the ring at final step. Experi­
mental results of distortion are plotted as solid
marks in the figure. Changes in the distortion
with time with and without transformation plas­
ticity are shown in Fig. 123. The most remark­
able difference between the two lies in the mode
of distortion. Transformation plasticity gives
convex shape on all surfaces, but concave with­
out the effect. Experimental data agree well with
simulated distortion with the effect of transfor­
mation plasticity in both carburized and normal
quenching.
Computer Simulation of Residual Stresses/
Distortion in Scanning Induction Hardening
(Ref 99). Ikuta et al. (Ref 99) carried out a cou­
pled metallothermomechanical analysis using
heat treatment simulation code “HEARTS” for a
(Right side)
5 0 5 10 15
T This article provides a detailed explanation of
5 0 5 10 15
Radius (vertical)(/s), mm (Lower)
23 mm diam cylindrical model of SAE 1055
steel under scanning induction hardening as
shown in Fig. 124. Figure 125 shows measured
hardness and simulated volume fraction of mar­
tensite for scanning velocity v = 10 mm/s. The
simulated effective case depth (defined as the re­
gion with 50% of martensite fraction) almost
corresponds to the measured effective case depth
(defined as the region over 500 HV).
Figure 126 shows the simulated residual stress
distribution along the surface of the cylinder
with the measured values by x-ray diffraction.
Both data of simulation and experiment for scan­
ning velocity v = 10 mm/s give higher values
than for v = 5 mm/s.
Summary
the contributing factors affecting residual stress
and dimensional control during quenching.
These factors include phase transformations dur­
ing heat treating, metallurgical sources of stress
z

(a) Calculated heat-transfer coefficients

-------- JIS probe + LUMPPROB
...... ISO probe + lnvProbe-2D
— — — Modified (even on all surfaces)

I| 11
5 ,
11
o *V"
■ 4. -
CD Cf
10 mm £ <J, 2.5 i
E« 0 d. -

2.5 I i
■
■ P* -
I \
5 if
•-
I___ I___ I___ J____1___
30 mm diam -0.1 0 0.1
Elements: 300
Nodes: 341
(b) Change of radius (Ar ) , mm
Finite difference mesh for steel cylinder spec­
Fig. 114
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

Calculated and measured residual stress distribution after water quenching of S45C steel disk, (a) Radial stress distribution on end surface, (b) Tangential stress distribution
Fig. 113
on end surface
 Hardening by Reheating and Quenching / 291

(a) 0.25 s 0.5 s 0.75 s 1.0 S 1.2 s

— 10mmdiam

(b)
1.7 s 2.0 s 2.4 s 3.2 s 3.9 s
Calculated and measured residual stress dis­
Fig. 115
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

Simulated shape change history of a S45C steel cyl inder (1/4 shape of cylinder, 20 mm diam by 60mm
Fig. 116 long) during water quenching (a) and polymer quenching (b). Quenchants were 30 °C city water and 30 °C Simulated quench distortion history during
Fig. 118
10% polymer (PAG) quenchant without agitation. Distortion is enlarged by 100 times. water quenching. Source: Ref 97
292 / Residual Stress During Hardening Processes
and distortion during reheating and quenching,
effect of materials and quench process design on
distortion, quenchant selection, measurement
and evaluation of quenching power, effect of
process variables (bath temperature, agitation,
and others) on cooling behavior and heat trans­
fer, effect of cooling characteristics on residual
stress and distortion, methods of minimizing dis­
tortion, and tempering. Although quenching is a
complex process, and although it exhibits one of
the largest contributing effects to overall residual
stress generation and dimensional control prob­
lems, an understanding of these effects allows
the engineer to bring and keep the heat treating
process under control.
j -| g Dimension of ring-shaped specimen of
F'g chromium-molybdenum steel
930 °C
—^ 850 °C
4h 1h 1h 30 min
1.2% 0.85%
Fig. 121 Heat cycle of carburized-quenching process
REFERENCES
1. S. Owaku, Quench Distortion of Steel Parts,
Netsu Shori (J. Jpn. Soc. Heat Treat.), Vol
32 (No. 4), 1992, p 198-202
2. S. Mocar ski, Carburizing and Its Control-1.
Basic Considerations, bid. Heat., Vol 41
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-------- Initial
• Experimental
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2400 s
With transformation plasticity
OQ
(130 °C) F¡g j 23 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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Metallo-Thermo-Mechanics—
Application to Quenching
T. Inoue, Kyoto University, Japan
COMPUTER SIMULATION i s indispensable
for research, development, and design in various
fields of industry. In particular, popularization of
general-purpose programs based on the finite-
element method enables engineers to execute
highly reliable analysis and design. However,
many open problems still remain to which the
general-purpose programs cannot be applied.
Heat treatment process associated with phase
transformation is one of the examples, and the
development of a program specialized for heat
treatment simulation is required from an engi­
neering point of view.
Owing to the fact that metallic structures, tem­
perature, and stresg/strain are strongly coupled
in the process incorporating phase transforma­
tion. metallo-thenno-mechanics for taking the
coupling effect into account was proposed and
applied to some problems by the authors (Ref 1 -
7).
In this article, the summary of the metallo-
thermo-mechanics is briefly introduced; govern­
ing equations identifying the fields of metallic
structure, temperature, and stress/distortion are
stated; and the correlation between the problems
of phase transformation and the theory is briefly
discussed. In the following sections, the devel­
oping strategy, methodology, and structure of
the developed system “HEARTS (HEAt tRea-
Tment Simulation system)” based on the theory
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 14-16). 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
phase changes, such as solid-solid transforma­
tion in quenching, tempering, and other heat
treatments of steels, and also solid-liquid trans­
formation in welding, casting, continuous cast­
ing, and so on. In such cases, three kinds of pa­
rameters are dominant: phases of metallic
structures, temperature field, and elastic or in
many cases, inelastic stress and strain. A vari­
ation in any of the three parameters will have an
effect on the others, and the interaction is prop­
erly termed a meudlo-thcrmo-mechanical cou­
pling (Ref 1- 7).
'Figure 1 depicts a schematic diagram for these
parameters and the effect of their interaction (Ref
1 -6). When the temperature distribution in a ma­
terial (and in some cases the heating and cooling
rate) is uniform, thermal stress:
• Is caused in the solid and the temperature-
dependent phase transformation
• Leads to alterations in metallic structure (i.e.,
austenite-pearlite and austenite-martensite
transformation in the solid phase and the
melting or solidification in solid-liquid tran­
sition); local dilation due to phase changes in
the solid brings about transformation stress
• Interrupts the stress or strain field of the body.
In addition, transformation plasticity effect is
sometimes considered to be important (Ref 17
21).
Fig. 1 Metal lo-thermo-mechanical coupl i ng
Contrary to these effects, which are taken into
account in ordinary stress analyses, arrows
pointing the opposite direction indicate the cou­
pling modes. Part of the mechanical work done
by existing stress in the material converts into
heat generation, thus disturbing the temperature.
The acceleration of phase transformation by
stress or strain, ealled stress- (or strain-(induced
transformation (Ref 22 28), has been discussed
and is sometimes applied to improve the me­
chanical properties of metallic materials. Arrow
corresponds to the latent heat generation due to
phase transformation, which affects the tempera­
ture distribution.
When distribution of chemical composition
occurs inside the material, say, in the case of
carburized quenching, the effect of diffused car­
bon content also changes the property of such
fields, as indicated by the dotted lines in the fig­
ure.
Since mechanical and thermophysical prop­
erties appearing in the analysis of such fields de­
pend on the material itself, the necessity of a
database for the materials is strongly recognized,
and some trials are ongoing.
The aim of this section is to formul ate the fun­
damental relationships governing these three in­
teracting parameters relevant to some problems
of heat treatment of steels, taking into account
the effects of coupling, and to formulate some

fundamental equations for the finite-element
method.
Kinetics of Phase Transformation
A material undergoing structural change due
to phase transformation is assumed to consist of
a mixture of N constituents (Ref 29), such as
pearlite, austenite, bainite, martensite, and liquid
phase, as schematically shown in Fig. 2. Liquid
phase is to be considered in welding, casting, or
so on, but this is not necessary in the usual case
of heat treatment. Denoting the volume fraction
of the 2th constituent as \ h the mechanical and
physical properties % of the material are assumed
to be expressed by the mixture law as a linear
combination of the properties %¡ of the constit­
uents:
N the fiinction/(7).
X = 2 Xr5r (Eq 1)
i=\
where
N
2$ / = i 0Eq2)
i= i
In the practice of heat treatment, mostly four
kinds of volume fraction are chosen: pearlite %P,
austenite (;A, bainite ^B, and martensite in the
case of quenching.
Diffusion-Type Transformation. Many rate
equations for diffusion-type transformation have
been proposed to depict pearlitic reaction from
austenite, including the form by Johnson and
Mehl (Ref 30):
= 1 - exp(-Re) (Eq 3)
where Ve = Jo f{T) it — x)3dx, are employed
as a basis. Here, Ve is the extended volume at
time, t (0 < t < /).
The existing stress, or sometimes strain, is
known to accelerate the reaction, as experimen­
tally observed by many authors (Ref 22-28).
Metallo-Thermo-Mechanics-Application to Quenching / 297
Figures 3 (Ref 26) and 4 (Ref 25) show examples by use of the function \|r(oJ) representing the ef­
of pearlitic reaction accelerated by applied stress. fect of stress in the form:
So, the volume fraction of pearlite may be ex­
pressed as: v|/(ay) = Ao m + £J 1 /2
= 1 - exp( - V e)
K = | f(T, oy) (/ - x)3 dx (Eq4)
The first term denotes the effect of mean stress
Grn ( = G kk / 3), and the second is that by devia-
by modifying theJohnson-Mehl relation (Eq 3). toric stress sy. The parameters A and B can be
For the fimction/(7, ay), one uses: identified if one has the data of martensite trans­
formation affected by stress as shown in Fig. 5
f(T, cu) = exp(pom)/(7) (Eq 5) (Ref 26).
since the time-temperature-transfomration Heat Conduction Equation and
(TTT) diagram under the applied mean stress am, Diffusion Equation of Carbon
with some extent p, on a logarithmic scale de­
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
terms of internal energy U[ = G + Tr\ +
The same type of kinetic equation (Eq 4) 1/pGySy] as (Ref 32):
might be adopted for the reaction of austenite
from pearlite during heating process, when nec­ pt> - oys5 + ^ = 0 (Eq 9)
essary.
Diffusionless Transformation. The other
type of phase transformation is the diffusionless with Gibbs free energy G, entropy q per unit
one, or martensite reaction. In this reaction, vol­ mass with density p, stress oy, and elastic strain
ume fraction of martensite is just the function a®. Applying the expressions for the specific heat
of temperature, but not of the history as seen in c = (T d r\/dT) and enthalpy 22 = (G + Th]),
diffusion-type reaction, and the equation pro­
posed by Magee (Ref 31).
= 1 - exp[(p(T - Ms)] (Eq 6)
is widely used with the material parameter cp,
which means that martensite generates as the
temperature changes from martensite start tem­
perature Ms.
Introducing thennodynamic considerations on
the effect of stress based on the experimental evi­
dence, the equation is modified to:
U = 1 - expfcpiT - Ms) - \|f(Oy)] (Eq 7)
Stress (a), MPa 0 500 1000 1500
Stress (c), MPa
Start and finish time of pearlite reaction depend­
Fig. 3
ing on stress Fig. 5 Martensite fraction depending on stress
298 / Residual Stress During Hardening Processes

Eq 9 is reduced to the general form of heat con­
duction equation:
Here, Fourier’s heat conduction law:
derive the constitutive equation. Readers are re­ based on the theory of isotropic function, leads
quested to refer to monographs on thermody­ to:
namics (Ref 32) for detailed discussion, but here
the authors simply utilize some results for the G?(c«, T) = — p[cj>;o +
application.
The Gibbs free energy G in the thermody­ + ^ni^kk) 2 + §nQM?kl +
namic state is assumed to be the function of - T0)ott + MT - r0) (Eq 23)
stress Gy, temperature T, and other internal vari­
ables related to inelastic deformation such as in­ where tp/0, cp71, cps, q>B and cp/4 are the polynomial
elastic strain s',, hardening parameter k, and function of stress invariants and temperature and
back stress a,-, as well as the volume fraction fi(T — T0) is the function of temperature rise.
of each constituent or phase: Then, Eq 22 reads:

N
G = G(oy, T, 4 %> K, & (Eq 16)
= (Eq 11) =24 (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 11 when producing the 7th constituent:
G(oij, T. s¿jy aij, k, 2:) S/y ~ 24>£50y + 24>J2
N
h= (Eq 12) + (T - T0)8y + 4>/i Sy (Eq 25)
= 2 GGjtOy, T, 4 %> K) (Eq 17)
i=i
Since the first two terms of Eq 25 mean the
is adopted.
It is already confirmed in the framework of in­ Hooke’s law, the third is thermal strain, and the
The third term on the left hand side of Eq 10
finitesimal strain theory that the Gibbs free en­ fourth corresponds to isotropic strain of the 7th
denotes the heat generated by inelastic dissipa­
ergy is divided into recoverable and inelastic constituent provided that the parameters are con­
tion, which is significant when compared with
parts: stant, one can put:
the elastic work represented by Hie second term,
and the fourth term arises from the latent heat by
phase change. Equation 10 is easily reduced to GXOy, T, 4 <*y> K)
the original equation of heat conduction, pro­
= GXOy, T) + Gff, 4, Oy, k) (Eq 18)
vided these terms are neglected.
As for the case of carburized quenching, one
Now the restriction of the second law of ther­ 24>i2 —
needs the distribution of carbon content diffused
modynamics, called Clausius-Duhem inequality
from the surface of the body. This process is gen­
is adopted, indicating that the internal dissipa­ 4>J4 = <
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): (Eq 26)
be considered. Then, the normal type of diffu­ 4>/i 3/
sion equation for carbon content C takes:
-p(G + t\T) - 4s' + ay4 when, Eh v7 and oq are Young’s modulus, Pois­
dC _ B2C 1 dT _ son’s ratio, and thermal expansion coefficient of
(Eq 13) —^0 (Eq 19) the constituent, respectively, and 3p; is volu­
dt dXidx¿ I ÓX¿
metric dilation due to phase change in this case.
with diffusivity D as the form, for example: Then, one has:
holds in every pr0Cess. Applying Eq 16 to Eq 19
one obtains:
D = exp[a(C — b)] (Eq 14) 1 + v7 V/
% 0a,
<T/i “ — 0**kkytj
dG'' ( dG' El J Ej
Stress-Strain Constitutive Relation P
)4 ~ T1 + If, + aff - r0)8y + pAy (Eq 27)

Stress/strain state in the process incorporating 1

..._ — 8T with the Kronecher’s delta 8y. Finally, elastic
T+ qt— §0 (Eq 20)
phase transformation is very complicated be­ dxt 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+vvc
stress and phase transformation stress. Such relation: E °y g °wkkytj
-ó‘
stress often exceeds the yield stress, and elastic- + a(T - r0)8y + p8y (Eq 28)
plastic stress analysis considering the tempera­
ture-dependent material parameters is needed. 4 = --- ---- (Eq 21)
<3 Oy with global material parameters:
Strain and the rate (or the increment) are gen­
erally assumed to be divided into recoverable 1
is to be satisfied, otherwise the inequality is not
elastic part e® and irrecoverable inelastic one E
satisfied for the change of stress Gy.
4 Substituting Eq 18 into Eq 21, one obtains: 2
k
/= ii E:
£y — £y + £y (Eq 15)
9GJ(Cy, T) N
= -pE^i (Eq 22) kzi
Elastic Strain. In the case of a complicated d 0(i 2 Ei
coupling of mechanical field with temperature
*£
and phase change, continuum thermodynamics Expansion of G®(Gy, T) around the natural state 7 hi
provides a tool for fundamental consideration to Gy = 0 and T = T0 (T0 is reference temperature), o Ei

N
a = 2 £/<*/
/=i
P = 2 $/P, (Eq29)
/= i
Yield Function and Plastic Strain Rate. Sub­
sequent yielding as well as initial yielding of ma­
terial with plastic strain s?, hardening parameter
k at temperature T under multiaxial stresses is
controlled by a criterion using the yield function
expressed in stress space as:
F = F(o¿j, sfj, K, T, Z,¡) = 0 (Eq 30)
with existing plastic strain s|, hardening param­
eter k, to be discussed later, temperature T, and
volume fraction of phases \¡.
The yield function F necessitates a simple
mathematical structure and is adequately capable
to fit the experimentally observed yield condi­
tion. One of the most widely used yield functions
in engineering practice is the von Mises type,
taking the form:
F = \ stfij ~ 5 °2(k> t> 5j) (Eq31)
where sy is the deviatoric stress such that:
% = Gy ~ j 8yott (Eq 32)
and oík, T, ^¿! stands for the flow stress of the
material with hardened state k at temperature T,
also depending on temperature T.
The other type of yield function widely used
for ductile metals is the Tresca type:
F = (°i - o3) - S(K, T, y (Eq 33)
Tensile stress (o), MPa
Fig. 6 Experimentally determined yield surfaces
Metallo-Thermo-Mechanics-Application to Quenching / 299
where a, and a3 denote the maximum and min­
imum principal stresses.
The hardening parameter k is identified de­
pending on loading history, and the evolution is
expressed either by plastic work as:
k - OySP (Eq 34)
or by equivalent plastic strain as:
ll
pi­
/ — ¿P. £?
ii
3
where £?■ is plastic (or inelastic) strain. The pa­
rameter defined by Eq 34 is sometimes called the
work-hardening parameter, while the one by Eq
35 is the strain-hardening parameter.
How the subsequent yield surface develops
during the course of successive plastic loading
is called the hardening rule. Experiments deter­
mining the surface show that the yield surface
expands its diameter accompanying the shift of
center position in stress space (see Fig. 6, Ref
33). For simplicity, however, two characteristic
types of hardening rule are used.
Isotropic-Hardening Hypothesis. The yield
surface is assumed to expand isotropically in
size, keeping the center by this hypothesis,
which gives the yield function in the form:
F = Fip t> k, Z ^ = /(%)
- o(k, Z, Q) (Eq 36)
This means that plastic strain s? does not affect
the shape of the yield surface. The solid line in
Fig. 7(a) illustrates the subsequent yield surface
represented inx plane, while the circle indicated
by a broken line is the initial surface. If the initial
yield point is denoted by Y on the stress-strain
curve in Fig. 7(b), unloaded stress AB from point
A is the same as the compressive yield stress BC
and is larger than initial yield stress. The concept
of this hypothesis is too simple to express the
generalized Bauschinger effect, but nevertheless
it is widely used for many kinds of analyses
when Hie direction of loading trajectory changes
slightly. Original meaning of Bauschinger effect
is such that yield stress with prior plastic strain
(a) (b)
Fig 7 RePresentati°n of yield hypothesis of isotropic-
® hardening type, (a) Yield surface, (b) Stress-strain
curve
(say, in compression) is lower than initial yield
stress in the opposite direction (in tension). The
concept is extended to the general case in mul­
tidimensional stress space, and the generalized
Bauschinger effect is stated as the change in
yield stress in the different direction from that in
prestrained direction.
Kinematic-Hardening Hypothesis. The model
assumes that the yield surface with unchanging
shape moves in stress space due to plastic de­
formation as illustrated in Fig. 8(a), and stress-
strain diagram is given under the condition YY'
= AC in Fig. 8(b). Qualitative representation of
Bauschinger effect is available by this model
since OY > BC.
Provided the center of the yield surface in
stress space, called back stress, is denoted by ay,
the mathematical description of the kinematic-
hardening hypothesis is now derived by substi­
tuting Gy — oty instead of oy as the initial yield
function in Eq 36 as:
F = F(o 0 - «y, Z Q) (Eq 37)
How can one identify the back stress ay in Eq
37? Two typical models can be used.
The Prager model (Ref 34) asserts that the
subsequent yield surface moves parallel to plas­
tic strain rate zy and is expressed in the form:
o v = Csfj (Eq 38)
with a parameter C. Since the plastic strain oc­
curs perpendicular to the normal of the yield sur­
face as is discussed later, the direction of oq, by
this model is parallel to the nonnal surface (see
Fig. 9).
The Ziegler model (Ref 35) to determine the
back stress rate is expressed as:
«y = É(<Aí - ay) (Eq 39)
which follows that the center moves in the di­
rection connecting the stress point and the back
stress as seen in Fig. 9.
Now, the nonnality of the plastic strain rate
vector induced at the regular point of the yield
surface leads to the flow mle for plastic strain
rate:
Fig 8 Representation of yield hypothesis of kinematic-
° hardening type, (a) Yield surface, (b) Stress-strain
curve
300 / Residual Stress During Hardening Processes

since the normal direction of the function F in one obtains tire expression for the total strain Here, the matrix [Z)ep] is given as (Ref 36):
stress space is represented by dFldair The pa­ rate:
rameter A is a function that depends on stress, [Dep] = [De] - [DP] (51)
stress rate, and strain and its history. Since the V ~ „_________ 1_ BF \
equation implies that the plastic strain rates de­ 2G(8tt8J£ +
1 - 2v °íFld S 0 dOy
rived from a potential F, the theory is known as with
the plastic potential theory. • 1 BF BF ■
(S/ri — 8 m T)-------------------- T
The next problem is how to identify the pa­ S 0 doy BT 1-v
(Eq 47) sym
rameter A in Eq 40. During plastic loading, the 1 - 2v
stress components always satisfy the yield corn V1-V
dition F = 0 at any moment, which implies F where 1 - 2v 1 - 2v
= 0. Then, one has the relation called the Pra- [D e]
ger’s consistency relation: 1 BF BF 1 - 2v 1 - 2v 1 - 2v
(Eq48)
2 GG 30 YflYl 0 0 0 Í/2
BF BF „ BF 0 0 0 0 1/2
+ —- sf, J-t- ----- K
Bo,, 3 sfi 3k For further application of the constitutive equa­ Lo

o
o
0 0
tion in the finite-element method, it is useful to (Eq 52)
BF ■
+—T+ 2^4/ (Eq 41) present the relation in the matrix form (Ref 36):
BT
and (see Eq 53).
{á} [IF] ({£} - fa}T) As an example of yield functions, consider
Substituting the expression in Eq 40 into Eq 41
as well as the definition of hardening parameters _ L\d3B±T (Eq49)
in Eq 34 and 35, the parameter A is easily de­ S¡¡ IdoJ BT
termined as:
where the components in matrices of stress and
i, BF . BF ■ strain in engineering notation and coefficient of
A= G ----- ú mft + — T linear expansion are, respectively:
"" BT

dF
+ 2V77- s.;
t (Eq 42) °z V V Xzx)
/=l °hl {sfy = {sx s2 yv y>2 yyx} (Eq 50)
and finally: {a}r = {a a a 0 0 0}

„ J BF BF
sf*
lJ
= G----- ów -\------
BT

T+ 2 ^ 4 / ) ^ (Eq 43)
1=1 / 30y

Here, G is termed as the hardening function and

takes the form:

1 _ _ BF BF BF
(Eq 44)
Q \34b 3k * BQyfín

for the work-hardening parameter in Eq 34, and:

1 BF BF
G 3ümri dejan
2 BF BF BF
(Eq 45)
3 B<3r„„ <3om. ic

for the strain-hardening parameter in Eq 35.

Rate Form of the Stress-Strain Relation.
The elastic strain rate s® is easily derived from
Eq 28:

+ 8vaT + 8yp (Eq 46)

Temperature (T ), °C
where G, v, and a stand for shear modulus, Pois­ (b)
son’s ratio, and linear expansion coefficient, re­ F jo j j Experimental data of the effect of applied stress
spectively, in the global forms in the sense of Stress-plastic strain curve and definition of on induced strain, (a) Pearlitic transformation,
Fig. 10
Eq. 29. Substituting Eq 44 and 47 into Eq 46, hardening coefficient (b) Martensitic transformation
 Metallo-Thermo-Mechanics-Application to Quenching / 301

2 _ da
3 ° dsp

dF\2 4 era
(Eq 55)
doj sym 3~
BF BF BF\2
Ba x BOy 8ayj Introducing Eq 55 into Eq 43 with T = 0 leads
to the so-called Prandtl-Reuss flow rule:
BF BF BF BF 3F\2
2G
SGr B<3? Bes» Bo? (Eq 53)
1 BF BF 1 BF BF 1 BF BF 1 (BF \2 3 sp
(Eq 56)
27
2 d<3 xBXyy 2 B°y dTxy 2 3oz dTxy 4 W xy)
1 BF BF 1 BF BF 1 BF BF 1 BF BF 1 W2
The hardening coefficient H' is defined as the
2 Bv x 2 dOy 2 Baz 4 dX xy 4 \teyz!
tangent modulus of the (equivalent) stress-
1 BF BF 1 BF BF 1 BF BF 1 BF BF 1 BF BF 1 1 Í3FY equivalent) plastic strain diagram in Fig. 10.
2 Ba x ^ZX 2 Bo y 2 3a z dtzx 4 dtxy BxZ x 4 BXyz 3xzx 4 4 (JO When employing FT', Eq 56 becomes:

3 o
(Eq 57)
the von Mises condition with isotropic harden­ Here, temperature dependence on flow stress a 2 oH 7
ing: is ignored for simplicity.
1 Bearing in mind that dF!doy = sy, the hard­ The matrix [Z)p] in Eq 53 is simplified in this
%% - T <?(?> (Eq 54) case (Ref 37) to the form:
ening function in Eq 45 is easily expressed as:
sym
SXSy 4
2 G ■S'x-S'z 4
m = 1r s x s X
x xy y xy*zxxy V 2
sxxyz SyXyz XxyXyz Xyz
■*zxyz
s x s x x
, x zx y zx *z zxTrvTrr T WT,.
(Eq 58)

with

2 J la
= - a 1 + — ■=•
3 \ 3G ¿P

"Hi + S) <Eti59
Creep Strain. When the quenching time is

Stress (0 ), MPa
(a) (a)

25 50 75 100
Stress (0 ), MPa
m
<b)
F|o "J 2 Transformation plastic strain versus applied
stress diagram, (a) Pearlitic transformation, (b) pig ^ Finite elements available in the system, (a)
Martensitic transformation Two-dimensional, (b) Three-dimensional Structure of HEARTS
Fig. 14
302 / Residual Stress During Hardening Processes
long in the case of machine component with
large dimension, effect of time on inelasticity is
not negligible, especially at elevated tempera­
ture. This effect in metals and alloys is due to
creep in most cases. Such time-dependent (or
rate dependent) inelasticity, sometimes termed
viscoplasticity, has been developed to formulate
sophisticated constitutive equations, under plas­
ticity-creep interaction condition.
The most simple and practically used consti­
tutive model is the so-called superposed type of
plasticity and creep, while the unified model
does not separate the inelastic strain into two
parts. In the superposed model, the inelastic
strain rate s', in Eq 15 is composed of plastic and
creep strain rates:
= Sy + fig (Eq 60)
Here, the plastic strain rate e| is given in Eq 43,
and the creep strain rate Sy- is given in the similar
form:
Sy = Ac (Eq 61)
°°y
by use of creep function, equivalent to the yield
function:
G = G(Oy> Sy, Kc, T, & (Eq 62)
with creep-hardening parameter kc.
Consistency relation held during creep load-
mg:
dG dG „ dG ■
G= — a.
7-1
+
+ ----
1
KJ or
4 dG
(Eq 63)
i-1
leads to the final form for creep constitutive
equation:
(Eq 64)
von Mises or Tresca type is also employed when
the creep function is similar' to the yield function.
Transformation Plastic Strain. Large inelas­
tic deformation is induced under relatively low
stress applied during phase transformation (Ref
17-21). As is observed in some alloys, such an
inelastic strain is sometimes very large, thus
called transformation superplastic strain. The
strain induced during quenching is, however,
mostly small since the operating time is rela­
tively short; this phenomenon is simply called
transformation plasticity.
Figure 11(a) (Ref 21) and (b) (Ref 19) show
examples of experimental data of the effect of
applied stress on the induced strain during pearl-
ite and martensite transformations, respectively.
The transformation plastic strain is plotted
against applied stress in Fig. 12 (Ref 21), which
is normally expressed as a linear function of ap­ Method of Numerical Simulation
plied stress, and the rate is expressed by:
A series of equations governing the heat treat­
ment process described previously are to be nu­
$=\ÍL
mtiXj
j=i merically solved, since the fundamental equa­
tions, Eq 4, 7, 10, and 15 are highly nonlinear.
K&) = 2(1 - y (Eq 66) There are some techniques for numerical calcu­
lation, but the finite-element method (FEM)
for N kinds of transformation in the fomi of would be most promising for engineering prac­
Greenwood-Johnson (Ref 38). This component tice.
of strain is also superimposed to inelastic strain Based on the theory available to the heat treat­
rate, if necessary. ment simulation, the authors developed some
programs for simple case of two-dimensional
and axisymmetric problems in then laboratory
to simulate the quenching process of a solid and
thick-walled cylinders, and gear wheels (Ref 39-
44).
In 1992, modification of the program was car­
ried out to develop the computer-aided engi­
neering (CAE) system HEARTS (HEAt tRea-
Tment Simulation code) by the cooperation with
CRC Research Institute Company, Japan, to de­
liver a commercial code, and it has been used by
many users.
After the development of the HEARTS, some
codes were independently released: DEFORM-
0 1.0 2.0 3.0 4.0
Distance from center (r ) , mm
Fig. 1 5 Distribution of diffused carbon
900
to
| 600
Distance from center (r), mm
Fig. 18 Residual stresses distribution
Fig. 16 Temperature variation on the surface
Pearlite
"""*_
\•
\/
y
Mart ensite Ay li
Austenite
O'------------ ------------ ------------ ------------
0 12 3 4
Distance from center (r), mm Distance from center (r), mm
Fig. 17 Distribution of volume fraction of martensite, F¡o "I q Effect of transformation plasticity on axial re-
pearlite, and retained austenite ° sidual stresses
 Metallo-Thermo-Mechanics-Application to Quenching / 303

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.
1000 — S45C out-top
— S45C out-mid Fig. 13(a) is also applied to axisymmetrical The heat-conduction analysis is carried out by
800 ■■ S45C in-mid problems. For stress/strain analysis, plane considering the latent heat generation calculated
600 SS ■>i —o— SUS304 out-top
¡i — o- SUS304 out-mid stress/strain problems and generalized plane by microstructural evolution analysis followed
400 y-"X, —a- SUS304 in-mid
200
0
1 5 10 20 SO 100 250
(a) Time (f), s

(b)

SCM440 SUS304
Fig. 22 Mode of distortion of cross section (central axis on the left)

FÍS 20 Variation of temperature, structures, and dis-

tortions, at typical locations of a ring forcarbon
steel and SUS304

36 38 40 42 44 46 48 50
Radius (r ), mm
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
 304 / Residual Stress During Hardening Processes

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 ofthree fields is
also possible. The time integration in the heat
conduction and diffusion analyses employ the 9-
method. which is reduced to the trapezoid and
Euler backward methods in the special cases.
Nonlinear equations in each analysis are made
by the Newton’s 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 PA TRAN and I-DEAS.
Data necessary for the simulation are created
by a pre/post-processor. These data are output
Distance from symmetric surface z , mm 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
ofthe 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 lo 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
Distance from surface d , mm a Japanese sword are illustrated by use of the
Fig. 25 I mtMiependent 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 (Z?^, W/(m 2• °C)

Temperature ( T ) , ° C 1 10 102 103 104 1 10 102 103 104

(a) Time (f), s (b) Time (f), s
pig 26 Temperature-dependent heat transfer coeffi-
dent on cadi face (Ref 46) Fig. 27 Variation of radial distortion. TP, transformation plasticity, (a) Carburized quenching, (b) Normal quench
 Metallo-Thermo-Mechanics-Application to Quenching / 305

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
perature gradient is imposed in axial direction,
the calculations are made for a series of elements -=M’

arrayed in the radial direction, and the general­ 100

ized plane-strain condition for the stress strain
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
s and diffused for 9000 s in vacuum. Calculation
of diffusion mode of carbon based on the diffu­
(= 30 s
60

50
N
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. f= 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
in Fig. 19.
------- With transformation plasticity
Induction Hardening and Carburized ------- Wthout transformation plasticity
Quenching of Ring ------- linitial
• Experimental
A ring-shaped body is widely used as a typical
Fig. 29 Comparison of distorted cross section with experiment, (a) Carburized quenching, (b) Normal quenching
example of fundamental quenching tests, since
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
axisymmetrie 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 (a) (b)
hardenability for comparison. Fig. 30 Comparison of residual stresses with experiment. (a) Carburized quenching, (b) Normal quenching
 306 / Residual Stress During Hardening Processes
The heat generation during induction heating
is assumed to occur in the area of 2.0 mm depth
from the outer surface. The heat-generation rate
is determined by trial and error so that the max­
imum temperature at the surface reaches the
measured value. All surfaces are regarded as adi­
abatic boundary during heating process, while in
cooling process the outer surface is defined as
the convection boundary with uniform and con­
stant convection coefficient20,000 W (nr • K).
To know the effect of hardenability. or phase
transformation, on some parameters, calculation
of temperature, structures and di stortion at typ­
ical locations of the ring are compared for typical
two steels of plain carbon steel and SUS304 in
Fig. 20, and the difference in plastic strain dis­
tributions for four steels is depicted in Fig. 21.
Such effect is characterized for distortion for
four steels as seen in Fig. 22 with triangles in­
dicating measured data; volumetric dilation due
to martensitic transformation is seen to give the
expansion of radius (see Fig. 22a, b, and c),
while contraction in diameter occurs for SÜS304
Fig 31 Additional magnetic field to metallo-thermo- (Fig. 22d). Figure 23 depicts the distributions of
mechanical coupling tangential and radial residual stresses on the top
surface where a wavy pattern of stress is ob­
served in SUS304 steel. Tangential and axial
y stresses on the outer surface are shown in Fig.
24.
Carburized Quenching of Ring
To investigate the more detailed behavior of
the influence of transformation plasticity on car­
(a) Workpiece and coil burized quenching, a ring of chromium-molyb-
(b) Workpiece
Fig. 32 Finite-element discretization of a gear and in­
duction coil
(c)
Fig. 34 Generated heat pattern, t = (a) 0.0 s. (b) 1.8 s.
Time ( t ) , s (a) t = 1.8s
Fig. 33 Simulated and measured temperature variation Fig. 35 Temperature pattern, f (a) ' .3 ■ (b) 2.83 s
denum steel (SCM420) with 25 and 75 mm inner
and outer diameter, respectively, with 10 mm in
height is employed for the simulation (Ref 12):.
Carburizing and diffusion were performed in
the atmosphere of controlled butane gas keeping
carbon potential Cp at 1.2% for 4 h and 0.85%
for 1 h at 930 °C, respectively, followed by in­
termediate period for 1 h and steady temperature
stage of 850 °C lor 30 min with Cp = 0.85"o.
Consequently, quenching was carried out with a
hot oil quenchant of 130 °C and specimen was
kept in oil bath for 10 min. Flat surface of the
specimen was held horizontally in both carbu­
rizing and quenching.
Figure 25 represents the calculated time-de­
pendent distribution of diffused carbon content
with the experimental data by means of electron
probe microanalysis (EPMA) from flat surface
to 2.5 mm in depth. Carbon seems to diffuse be­
neath the surface with carburizing time, and the
gradient becomes lower with diffusion time. Ex­
perimental data measured by EPMA after the
process of 23,400 s show good agreement with
calculated results.
Different values of heat transfer coefficient
(Fig. 26) are applied to each surface according
to the experimental data by Bodin and Segerberg
(Ref 46). After 10 min elapsed, air cooling was
executed until complete cooling with steady heat
transfer coefficient of 200 W/(nr * °C).
The simulated variation of radial distortion
with respect to time at the middle point on outer
and inner faces of quenched ring in both condi­
tions with and without consideration of transfor­
mation plasticity-' is depicted in Fig. 27(a) for car­
burized and normal quenching, respectively.
MAX 0.8915
(d)
id 2.7 s.(d) 2.88 s
xiO
MAX 09373
MIN 0.0399
(b) t = 2.88s
 Metallo-Thermo-Mechanics-Application to Quenching / 307

In the case of carburized quenching, radial dis­ proximately 8 s are similarly distorted to the bot­
MAX 0.9979
placement both at outer and inner faces is mod­ tom due to the difference of heat transfer coef­
1.0000 erate when considering the effect in comparison ficient among the surfaces. Since martensite
0.9000
with that without transformation plasticity. In the transformation starts around at 15 s from the cor­
I 0.8000
0.7000
0.8000
05000
0.4000
case of normal quenching, on the other hand, the
effect on radial displacement is smaller, as
ner for normal quenching (see Fig. 28b). the con­
cave shape of cross section takes place, w hile a
0.3000
0,2000
shown in Fig. 27(b). similar shape is Seen in the final stage for car­
0.1000 Variations of the simulated cross-sectional burized quenching without transformation plas­
0.0000
MIN O.OOOU 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
of cross section at final step under both condi­
tions. Solid lines in the figure represent the es­
timated pattern of distortion from initial shape
show n in thin dotted line when considering the
effect. Experimental results of distortion are
i plotted in solid marks in the figure to compare
with simulated patterns. The most remarkable
difference between surfaces w ith transformation
plasticity' and those without in carburized
quenching lies in the mode of distortion as de­
picted in Fig. 28 and 29. The transformation
plasticity gives a convex shape to all surfaces,
but surfaces without transformation plasticity are
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 (3 10 kHz) and a rapid
Fig. 40 Pattern of pasted clay subsequent heating by high frequency (100-250

Fig. 38 Distortion of a tooth, ¡ai Dual [raquunt-y. ¡Ia

Single frequency
(a)

Surface temperature T , °C
(b)
Fig. 39 Heat transfer coefficient depending on clay
thickness Fig. 41 Finite-element meshes, (a) Global view, (b) Near the tip
308 / Residual Stress During Hardening Processes

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

(a) With thick clay

(i) 1 s (i) 1 s

100 (iii) 3 s (iii) 3 s

Volume fraction i). S
Fig. 42 Effect of clay thickness on martensite distribu­
tion

(a) 0 s (iv) 4 s (iv) 4 s

(b) 1 s

¿7

(c) 2 s
(v)5s (v)5s
■3?
(d)3s

(vi) 10 s (vi) 10 s

(a) Martensite (b) Pearlite

(g)10s

40 Temperature T\ °C 850
o 100
Volume fraction (§,) %
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
ule 3), 66 mm in boss hole diameter, and20 mm
in tooth width with 40 teeth. A one-turn coil with
an inner diameter of 130 mm and a cross-sec­
tional area of 22 by 35 mm2 is equipped outside
of the gear wheel. Figure 32(a) shows finite-ele­
ment division of a gear and coil. The workpiece
is enlarged in Fig. 32(b).
The simulated and experimental temperature
variations at three typical locations such as the
tooth tip, PCD, and the bottom in dual-frequency
induction hardening are depicted in Fig. 33. The
simulated distribution of heat generation at the
beginning of heating f = 0.0 s and the end of
heating at t = 1.8 s during preheating are shown
in Fig. 34(a) and (b), respectively. Figures (c)
and (d) represent the distributions at the begin­
ning of heating t = 2.7 s and the end of heating
t = 2.88 s in the subsequent heating process.
The simulated temperature variation at the
tooth bottom is delayed, as seen in Fig. 33, but
the maximum temperature is higher compared to
the measured one in preheating. In the subse­
quent heating stage, the temperature variations
agree well with measured data except at the tooth
bottom saturating to around 800 °C. One of the
reasons for this disagreement may come from
rough mesh division in depth direction.
ta) 1 s
(b) 2 s
(c) 4 s
-750
Stress a, MPa
Fig. 45 Successive mode of longitudinal stress
Metallo-Thermo-Mechanics-Application to Quenching / 309
Simulated results of temperature distribution
at the end of the preheating and the subsequent
heating in the dual-frequency process are shown
in Fig. 35(a) and (b), respectively. Volume frac­
tion of martensite after quenching is also pre­
sented in Fig. 36, and Fig. 37 shows the distri­
bution of martensite fraction, the pattern of
which is similar to measured values of Vickers
hardness.
Figures 38(a) and (b) represent the compari­
son of simulated distortion for induction hard­
ening using dual frequency and conventional,
single frequency. Actual distortion of 5 pm is
expressed by 2.0 mm in the geometry scale.
When comparing the two cases, the distortion of
conventional induction hardening in the tooth
width direction is about two times as much as
that of dual-frequency induction hardening. The
typical characteristic of dual-frequency induc­
tion har dening that less distortion and deforma­
tion occur due to hardening only in the contour
zone is confirmed by these results.
Quenching of Japanese Sword
Quenching of a Japanese sword is one of the
typical examples of quenching processes. The
750
sword master controls the initial heating tem­
perature and that of water as well as the heat
transfer coefficient by pasting a kind of clay on
the surface. The blade pattern with martensite
structure, called hamon, and distortion or bent
shape, termed son, are evaluated from artistic
viewpoint.
Most Japanese swords with some exceptions
are made of steel called tamahagane, or tradi­
tional Japanese steel, specially prepared by the
tatara system using iron sand, not normal iron
ore. The hammering process is repeated to obtain
a block, where about 15 folds, calledorikaeshi,
are repeated to get laminated materials bonded
by the mechanism of mechanical alloying.
Before quenching, mixed clay with powders
of charcoal and whetstone, yakibatsuchi, is
pasted on the surface of the sword to control the
heat transfer coefficient depending on the thick­
ness (see Fig. 39). The thickness on the back is
about 1 mm and 0.1 mm on the blade, as shown
in Fig. 40. Then, the sword is heated up to about
800 °C in the furnace and quenched in water of
40 °C. During this process, the tip is severely
cooled to be the blade made of martensite struc­
ture, while the other part is transformed into
pearlite and troostite. Very complicated defor­
mation, or son, 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 har dened blade and ductile, pearlitic
main body are realized (Fig. 42 c). The border of
the martensite structure in white color is termed
hamon.
Figure 43 shows the temper ature 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 son, to the upper direction is ob­
served due to the volumetric dilation by marten­
site formation. Gyaku-sori again appears, be­
 310 / Residual Stress During Hardening Processes
Residual Stresses a, MPa
Residual Stresses a , MPa
Residual Stresses o, MPa
(c) Distance from Kissaki (z.) BO
F¡g- 40 Distribution of residual stress along typical
three portions, (a) Hasakij edge; (b) Shinogi,
ridge (e) Mimo, back surface
cause of the pearlitic transformation in the back
part.
in the successive stages, the back side shrinks
gradually because of thermal contraction, and fi­
nally normal bending can be obtained owing to
the difference of the coefficient of dilation by
martensite and pearlite transformation, as shown
in Fig. 44. The change in the longitudinal stress
distribution on the surface and the inside of the
sword is represented in Fig. 45. The calculated
residual stresses in the longitudinal direction on
typical three locations of the sword being equiv­
alent to the stress distribution at / = 30 s are
depicted in Fig. 46, and the data are compared
with experimental data denoted by solid circles
by x-ray diffraction technique.
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Control of Residual Stress Formation and
Steel Deformation during Rapid
Heating and Cooling
N.l. Kobasko, V.S. Morganyuk, and V.V. Dobrivecher, Ukraine National Academy of Science, Kiev
THE ADVANTAGES OF INTENSIVE
HEATING AND COOLING when quenching
alloy and high-alloy steels are discussed in this
article. Alloy steels are quenched in mineral oils
or high-concentration aqueous polymer solutions,
which can replace the oil. Mineral oils retard the
cooling process in the area of the transformation
of austenite into martensite. Proceeding from nu­
merous experimental data, it has been considered
a firmly established fact that intensive cooling in
the field of martensite transformations results in
the formation of quench cracks and, afterward,
extensive deformation of parts after their
quenching.
In the late 1990s, many papers appeared based
on experimental and calculating data that prove
that starting with definite intensity of cooling,
the heat-transfer intensification results in avoid­
ing the formation of quench cracks and reduction
of the deformation of quenched parts. This al­
lows a change in the technology of alloy steel
quenching in principle, because instead of ex­
pensive and fire-dangerous oils one can use wa­
ter (Ref 1, 2).
This article discusses the mathematical model
and gives the analysis of results of computer
simulation and physical grounds for the results
obtained. This article considers in detail two
steel-quenching methods: intensive and uniform
cooling of alloy steel parts during the entire cool­
ing interval and the influence of the growth of
intensity of cooling on distortion and crack for­
mation of quenched parts is studied.
Two-step quenching is investigated. It has
been shown that one can reach minimum distor­
tion at the first stage, which can be preserved
during intensive cooling at the second interval
of the transformation of austenite into marten­
site.
On the basis of the Pisarenko-Lebedev crite­
rion, it has been shown that one can prevent the
formation of quench cracks during intensive
quenching at both the first and second stages of
cooling (Ref 3). The criterion of Pisarenko-Le-
bedev establishes the conditions of the quench-
crack formation. If the strength factor is greater
than one, quench cracks will not form. If it is
less than or equal to one, quench cracks will
form.
It is emphasized that the reduction of distor­
tion and prevention of the formation of quench
cracks are due to the formation of hard marten­
site layer on the entire surface, which fixes the
initial sizes of the part and forms high residual
compressive stress on the surface quenched
parts. Examples of the application of intensive
steel-quenching methods for alloy steel parts are
given in practice.
Mathematical Model for the
Calculation of Thermal and Stress-
Strain State
The coupled equation of nonstationary ther­
mal conductivity, as known, is given as:
cp ^ - div(A, grad 7) - oyfe‘) + SpM/ = 0
with corresponding boundary conditions for film
boiling:
and initial conditions:
T(r, 0) = r0
The transition from film boiling to nucleate
boiling is made when the following is fulfilled:
<?cr2 = a/(rreg - rs)
where qa2 = 0.2 qcr].
At the stage of the nucleate boiling, the
boundary conditions appear as:
dT sm
-- + h-(T - Ts)ml = R= 0
dr
T(r, if) = <p(r)
Finally, at the area of convection heat transfer,
the boundary conditions are analogous to those
for film boiling, that is:
dT acn
— + (T - rc) = o
dr A
T(r, inb) = \{i(r)
The condition of transfer from nucleate boiling
to one-phase convection is given by qnh = gconv.
These equations determine boundary condi­
tions of the third kind and describe conditions of
the change of heat-transfer regimes. However, in
practice, one often uses boundary conditions of
the first kind, which can be obtained from ex­
periments. In this case, the main differential
equation of heat conductivity must be added
with the aforementioned conditions, that is:
T(rh = <p(Rb t)
where i is, in this case, the coordinate index, and
(pffi,, t) is a value of temperature at different
points of the surface, which is being cooled.
Plasticity theory equations are presented in
detail in Ref 4 and 5 and have the following
form:
s,j = £y + Sy + sjj + 6“ + efj
with relevant initial and boundary conditions,
where T is temperature, oy is stress, sy is total
strain rate, s| is elastic strain rate, g£. is plastic
strain rate, sy is thermal strain rate, sy is strain
rate for structural dilation due to phase transfor­
mations, ¿y is strain rate for structural dilation
due to transformation plasticity, k is thermal
conductivity, and c is specific heat. These equa­
tions are described in detail in the article
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 313
“Metallo-Thermo-Mechanics: Application
Quenching” in this Handbook.
Computation of Stress-Strain State
On the basis of numerous experimental stud­
ies, it has been established that with the cooling
rate increase within the martensite transforma­
tion range, the probability of quench-crack for­
mation grows to a maximum value and then low­
ers to zero (Ref 1) (Fig. 1).
Cooling rate, K/s Substantiation of regularity is of great practi­
cal and scientific importance. To that end, the
pjo j Effect of cooling rate in the martensite range on calculation was performed for the thermal and
0 the crack formation in cylinder-shaped samples
stress-strain states of steel parts on the basis of
of 6 mm diameter, of steel 40X (DIN 41 Cr4), which is
finite-element methods (FEM) (Ref 6). For
equivalent to AISI 51 35
mathematical simulation of part quenching, a
mathematical model was used that included a
nonlinear equation of nonstationary heat con­
duction, equations of the theory of thermal, elas­
tic, and plastic flow with kinematic strengthen­
ing under the appropriate boundary conditions of
the first and third kinds (Ref 5).
The calculation process is divided into time
steps. At each time step, a heat-conductivity
problem is solved. The resulting temperature
field determines mechanical characteristics and
temperature load for the thermal plasticity' prob­
lem. The initial conditions for thermal conduc­
tivity and thermal plasticity problems are taken
from results of solving the corresponding prob­
lems at previous steps. Besides, at each time step
the calculation results are compared with the
thermokinetic diagram of the supercooled aus­
tenite transformations, and new thermal, physi­
cal, and mechanical characteristics for the next
step are chosen depending on the structural com­
ponents (Ref 7). In every separate region of the
diagram a specific transformation law is estab­
lished, if necessary. The calculations are made
0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
Radius of the specimen, R, m
pjo 3 Stresses at the end of the specimen heating. or,
Chart describing the algorithm of the software 0 radial stress; a , circumferential stress; a , axial
Fig. 2 9 z
package stress
to until the part is cooled. These regularities are
described in detail in Ref 8. Joint consideration
of these issues (the selection of calculationmeth-
ods, scheme of the phase-transformation dia­
gram, boundary conditions, and physical and
mechanical properties of the material) is of great
practical and scientific interest.
The principal block diagram of the computing
complex developed at the Institute for Strength
Problems with the participation of Engineering
Thermophysics Institute, both part of the Na­
tional Academy of Sciences of Ukraine, is
shown in Fig. 2. The calculation results are: tem­
perature field, material phase composition, mi­
gration of points in the volume which is calcu­
lated, components of stress and strain tensors,
intensities of stress and strain, and the field of
the safety factor, that is, a relation of stresses at
which the material is destroyed. These values are
presented in the form of tables and isometric
lines that allow observation of the kinetics of
phase changes in the process of heating and cool­
ing (Ref 8-10). Using the potentialities of the
computing complex, the current and residual
stresses were determined, depending on the cool­
ing capacity of quenchants. Calculations were
also fulfilled for quenching parts of complex
configuration.
With the purpose of testing these computation
methods, a problem has been solved allowing
comparison of the computational data with ex­
perimental ones. A specimen for this purpose
was cylinder-shaped, made out of steel 45
(0.44% C), diameter of 65 mm, length of 130
mm. Quenching was made by induction, and
cooling was under intensive water shower. The
thermal plasticity problem at heating was solved
based on the assumption that the temperature
distribution is the same at time heat ends and
cooling starts and is known (in Fig. 6, this is a
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
ing the heating problem.
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
termined by results of solving tire heating prob­
lem. The temperature and time dependencies of
density p and linear expansion coefficient a have
been calculated with the use of Yuriev fonnulas
(Ref 11) and thermokinetic diagram (Fig. 4). The
other dependencies have been built on the basis
of experimental data for dependencies of mate­
rial properties on the temperatures with correc­
tions on the basis of continuous cooling trans­
formation (CCT) diagrams. Figure 5 shows
isochronous curves of dependencies of mechan­
ical properties on temperature at time, x = 1 s.
Results of solutions of problems of thermal
conductivity and thermal plasticity for cooling
process give the full picture of functions of tem­
perature field, structure, and stress-strain state
for part quenching. Figure 6 shows the change
in temperature field for cooling of the specimen.
The comparison of cooling data and CCT dia­
gram established that the depth of the layer con-
314 / Residual Stress During Hardening Processes
tabling more than 50% martensite was 5 mm; the
total depth of the hard layer was 7.5 mm. Figure
4 shows curves (1) of the change in temperature
on the surface of a specimen, (2) at a depth of 5
mm, and (3) at a depth of 7.5 mm.
Figure 7 shows circumferential stresses at
characteristic points versus time. At the begin­
ning of cooling, the stresses on the surface were
tensile because of the thermal reduction of the
material. From 0.15 s on the surface martensite
transformation started, and an abrupt extension
of the steel resulted, causing circumferential and
T, S
Fig. 4 Continuous cooling transformation diagram of
cooling austenite transformation for steel 45
0.5
0.4
0.3
0.2
300 500 700 900 1100
T, K
pig 5 Isochronous curves exhibiting dependencies of
” mechanical properties on temperature. Dashed
lines relate to handbook data; solid lines relate to data used
in experiments. ou/ ultimate strength; <jy/ yield strength;aT,
coefficient of linear expansion
axial stresses to become negative and remain ments have been made in the search for inten­
compressive until cooling was complete. Figure sively cooling quenchants, such as aqueous so­
8 shows calculated residual stresses compared lutions of salts with special admixtures
with experimental data. One can consider that preventing surface corrosion of quenched parts.
the results of calculations agree well with ex­ Optimal concentrations of aqueous polymer so­
perimental data. lutions have been found, which exhibit the in­
The most important results used for develop­ verse solubility. Such solutions provide inten­
ing the intensive methods of quenching are dis­ sive and unifonn cooling of parts to be
cussed next. It has been stated that with the quenched.
quench-intensity increase, the residual stresses Circular residual stresses on the surface of cy­
grow at first, then lower, with further increase in lindrical bodies versus generalized Biot number
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
streams of water, and aqueous solutions provid­
ing high critical heat flux densities. In the afore­
mentioned conditions, the boiling film is reduced
to the minimum or eliminated. The basic pro­
cesses are nucleate boiling and one-phase con­
vection heat transfer. In this case, it is important
to know conditions of the transfer from nucleate
boiling to one-phase convection heat transfer.
On the basis of this approach, a lot of experi-
Radius of the specimen, R, m
Fifi 6 Temperature field at the time of cooling of the
° specimen
Fig. 8 Residual stresses in the specimen. Solid lines re­
late to calculations; dotted lines relate to exper-
iment.
10-2 10~1 1 10 102 103
x, s
Fifi 7 Circumferential stresses for cooling of the spec-
” imen. 1, on the surface; 2, at 5 mm depth; 3, at
7.5 mm depth; 4, at the axis
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 315
face residual compressive stresses always appear
(when Bi, > 4.5). Working within the range
where Bi, >4.5, one can avoid cracking. Note
that between the generalized Biot number and
usual Biot number there is a link, which follows:
where Bi, is generalized Biot number, a is heat-
transfer coefficient, X is heat conductivity, K is
Kondratiev form coefficient, S is surface, and V
is volume.
Some results of calculation of current surface
stresses of parts to be quenched are shown in Fig.
10. During quenching, great compressive
stresses appear' on the surface, and then they dis­
appear. Maximum compressive surface stresses
correspond to the optimal depth of hard layer.
The technology to fix these stresses has been de­
veloped. Figure 10 shows current surface
stresses and inside the part at slow and intensive
cooling. As one can see from Fig. 10, the higher
the cooling intensity, the greater the value of
maximum compression stresses on the surface of
hard parts.
Possibility of Predicting Hardening
Cracks
It is well known that intensification of quench­
ing processes improves the hardening character­
istics and strength of steel articles, but in this
way it is possible for quench cracks to form. In
order to avoid damage to articles during hard­
ening, in practice one often uses oil cooling to­
gether with alloy steels. Small stresses arise dur­
ing oil cooling, and alloying promotes sufficient
tempering capacity under these conditions.
1CT1 1 10 102 10-2 10-1 1 10
Time (f), s
Fig. 10 Current stresses versus time
However, economically it is more suitable to use
simple carbon steels and water or an aqueous
solution as cooling agent. It is necessary to
achieve cooling methods that would provide suf­
ficient strength and the absence of quench
cracks. For example, this is possible with water
quenching under pressure and in aqueous solu­
tions of polymers, and so forth. Before starting
the manufacture of industrial equipment for re­
alizing such procedures, it is usefiil to carry out
numerical analysis of different cooling schedules
and to select the most effective of them. This
analysis is possible on the basis of calculating
the thermal and stress-strain state during hard­
ening.
Now consider developing a procedure of
strength calculation for engineering components
during hardening, taking account of phenomena
accompanying steel structural transformations
(Ref 7). On the basis of building a mathematical
model for the hardening process, a suggestion is
made about the dependence of steel thermal,
physical, and mechanical properties on tempera­
ture and cooling time, since temperature and
time govern the structural state of steel during
cooling. A complete set of equations for calcu­
lating the thermal stress state dming hardening
includes a nonlinear thermal conductivity equa­
tion and equations for plastic flow theory; these
are given in Ref 8 to 10 and 12.
All computational works have been made as
follows:
1. Computation of thermal and stress-strain
state during heating to the austenite formation
temperature.
2. Final results of heating to the austenite for­
mation temperature (distortions and changes
in sizes of parts) wrere initial data for cooling
process.
1200
800
400
Time (f), s
The results of computations after final heating
and cooling to the temperature of the environ­
ment are considered in this article.
Considering the dependence of physical and
mechanical properties on temperature and time
and in accordance with plastic flow theory with
kinematic strengthening, temperature fields and
stress distribution have been calculated.
Solution of the thermal conductivity and ther­
moplasticity problems gives a complete picture
of the change in temperature field. The thermo-
kinetic diagram for the transformation of super­
cooled austenite (Ref 7) allows one to follow the
kinetics of phase transformation and to deter­
mine the depth of hard layer. By evaluating the
stress-strain state of an article during hardening
using some failure criterion, it is possible to as­
sess the probability of hardening crack forma­
tion.
A generalized Pisarenko-Lebedev criterion
(Ref 3) was selected as a failure criterion during
hardening:
XT + (1 - x)°i ^ (Eq 1)
where % = af/ac, cf is ultimate tensile strength,
gc is ultimate compressive strength, o', is great­
est principal stress, and o, is stress intensity. For
an ideal plastic material % = 1, and for an ideal
elastic material % = 0.
The use of the general criterion (Eq 1) applied
to hardening requires the existence of experi­
mental dependencies of ultimate tensile strength
and ultimate compressive strength on tempera­
ture and time of = g/T/t) and oc = oc(T,x) in
accordance with the thermokinetic diagram of
supercooled austenite transformation. Equation
1, confirmed by numerous experiments of dif­
ferent workers, is one of the most widely used
criteria in strength calculations for machine and
structural components since its use requires the
minimum experimental data (only Gf and gc).
In order to prove the selected mathematical
model, the hardening process of an inner bearing
ring 7515/02 made of steel ShKhl5 (AISI
52100) (Fig. 11) with water cooling was studied.
The points on the surface indicated in Fig. 11
show places where the boundary conditions of
the first kind have been set. Thermocouples were
4)102
Fig 11 Drawing of bearing ring 751 5/02.Thermocou-
pie location is indicated by dots.
316 / Residual Stress During Hardening Processes

melted to the ¡surface of the ring, which allowed
boundary conditions of the first kind to be fixed
at many points. The temperature values at inter­
mediary points between thermocouples were
found through the extrapolation of temperature
values obtained through experiment. The exper­
imental and extrapolated values of temperatures
are given in Table 1.
However, methods of calculating temperature
fields and stresses in relation to intensive steel­
quenching methods with regard to their specifics
need to be developed. As known, the bearing
industry generally uses slowly cooling oils as
quenchants. These oils are very expensive and
can cause fire, but reduce distortion and prevent
the formation of quench cracks. However, there
is an alternative way: intensive cooling, which
must gain acceptance in the bearing industry.
Numerous experiments confirm this idea. Hie al-
ternati ve method has great prospects, since water
and aqueous solutions of polymers of optimal
concentration exhibit inverse solubility, are in­
expensive, do not cause or support fire, and al­
low the required values of Biot numbers to be
reached, so that high compression stresses al­
ways form on the surface to be quenched. In turn,
the compression stresses on the surface of
quenched parts make their service life longer.
Therefore, the control and determination of the
residual stresses on quenched metal surfaces is
of great practical value.
A record of changes in temperature at differ­
ent points on the surface and the moment of fail­
ure was made for hardening an actual model. Ten
specimens were tested, and all of them were
heated to 1100 K, then cooled in water at 300 K.
As a result of this quenching, cracks of the upper
flange occurred in the radial direction (Fig. 12).
Average time from the start of cooling to the
moment of failure was 4.3. s.
Experimental data (see Table 1) were used as
boundary conditions in calculating the first-kind
thermal conductivity problem. Since it is known
that for the selected brand of steel through-hard­
ening is specified over the entire cross section of
the bearing ring—that i s, only martensiti c trans­
formation occurs—then the dependence of ma­
terial characteristics on time may be ignored and
only the dependence of thermal, physical, and
mechanical properties of steel ShKhl5 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
ShKhl5 during hardening, some simplification
was used. It was assumed that in the austenitic
condition and partly in the region of martensite
transformation (510-480 K) the material is ide­
ally plastic (x = 1). Below 440 K, when more
than 50% of martensite forms in supercooled
austenite, the material becomes ideally brittle (x
= 0). In the range of 480 to 440 K it was as­
sumed that the dependence of value % on tem­
perature is linear. Consequently:

1 with T a 480 K
X = (F - 440)/40 with 480 K > T > 440 K
0 with T < 440 K
<Eq2)

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:

*&,*)
Gf
— with a t >0, oe = %Gi + (1 - z>a¡
oe
Fig. 13 Structural composition and shape of the bear- a> with Oe £ 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 quenching. Sizes of ring are given in Fig. 11.
hatching indicates the area up to 50% martensite, and cross
martensite layer is formed simultaneously on the
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
T, 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 1030 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
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 317
entire surface independently of the thickness of
the bearing ring, which is the main cause of the
reduction of bearing ring distortion. Thus, very
slow and very intensive cooling reduced the dis­
tortion of bearing rings. The advantages of in­
tensive cooling are as follows: the increase in the
hardenability of steel parts and improvement of
mechanical properties of the material.
Thus, as a result of this calculation a complete
picture was obtained for the change in thermal,
structural, stress-strain, and strength states of the
bearing ring during hardening.
In order to build up the shape of the profile
from the original cross section (cold condition),
values of calculated displacements for points on
the contour were plotted for capacity at a mag­
nification of 30 times. Figure 13(a) shows tire
profile of the bearing ring cut section in the cold
condition and heated to the austenitization tem­
perature (1130 K); Fig. 13(b) shows the bearing
ring profile after the start of cooling. This instant
corresponds to the set of phase transformation in
the coldest part of the bearing ring (lower
flange). In the time interval of 0 to 0.8 s, there
is only thermal contraction of supercooled aus­
tenite. Nonuniformity of temperature field con­
nected with more rapid cooling of thin parts of
the bearing ring leads to very large thermal
stresses exceeding even the yield point and to a
change in cross-section configuration, in partic­
ular to the occurrence of bearing ring tapering at
the inner surface. Mainly tension stresses act
over the entire surface of the bearing ring. Start­
ing from 0.8 s in the most highly cooled parts of
the bearing ring, martensite fonns which, having
a greater specific volume, leads to material ex­
pansion. This involves an increase in diameter
- 3 0 0 ------------------------- --------------
0 1 2 3
vs
Fifi. 14 Mature of change in principal stress a„ stress
intensity o„ equivalent stress oe, and ultimate
tensile strength a, with passage of time
of the lower part of bearing ring, whereas the
central and upper parts are essentially austenite,
which continues to contract (Fig. 13c). Marten­
site formation in the most highly cooled layers
at first causes a reduction in tensile stresses and
then a transition to compressive stresses. As long
as cooling continues, martensite transformation
proceeds within the cross section, which in­
creases the diameter of both the lower and cen­
tral part of the bearing ring. This is Hie reason
for the change in taper to an opposite sign (Fig.
13d). There is some concavity of the inner sur­
face adjacent to the hottest part of the bearing
ring, which is explained by further contraction
of austenite predominant in the area. In the most
highly cooled areas, martensite formation is es­
sentially finished, and therefore with a reduction
in temperature martensite starts to contract,
whereas in the inner layers there is expansion
due to rapid formation of martensite. This leads
to a reduction in compressive stresses in the cold
parts of the bearing ring and to the appearance
of tensile stresses.
The bearing ring profile at 3.2 s is shown in
Fig. 13(e) when the martensite transformation
covers the whole area. With further cooling, the
200
4 (c) (d)
Fifi 15 ^'e^s °1 isolines for temperature (a), axial (b),
and circumferential (c) stresses, and also the
reserve strength factor (d) at the instant for the start of failure
of a bearing ring 7515/02
diameter of the lower part increases slightly
since the main mass of austenite has been con­
verted to martensite. In the inner layers of the
upper part of the bearing ring there is rapid for­
mation of martensite, which leads to a site that
predominantly tends to contract thermally. Tins
leads to a marked increase in circumferential ten­
sile stresses. At 4 s in the area denoted in Fig.
13(f) by cross hatching circumferential tensile
stresses reach values exceeding the ultimate
strength. Typical changes in values of ob g„ oe,
and crf with the elapse of time in the center of
this region are shown in Fig. 14. In the time in­
terval of 0 to 1.8 s according to Eq 2, the equiv­
alent stress oe coincides with stress intensity of
o„ and starting from 3.2 s the value of oe coin­
cides with the principal stress ob which is the
circumferential stress (according to Eq 1, the lat­
ter stress at 4 s leads to material failure, that is,
the cross-hatched area in Fig. 13f).
Fields for isotherms, axial and circumferential
stresses, and also the reserve strength factor
(only the most critical zones are shown in Fig.
13d) at 4 s are shown in Fig. 15. At this point
the calculation was stopped since the reason, lo­
cation, and instant of failure have been revealed.
By comparing experimental and calculated
data it is possible to note that cracks form in the
bearing ring due to tensile circumferential
stresses since they spread into planes of men-
dianal cross sections. The location and time of
crack development coincide satisfactorily. It
should be noted that chipping at the upper sur­
face of the flange in the region of a crack (see
Fig. 12) indicates that the crack propagates from
within (from the area shown in Fig. 13f), branch­
ing at the surface.
Thus, the method proposed can be used to pre­
dict hardening cracks. This is very important for
intensive steel-quenching methods. As known,
in the case of intensive steel-quenching methods,
quenched compression stresses appear on the
surface of parts. Therefore, during intensive
quenching, quench cracks can appear inside the
part, which are invisible but can result in disrup­
tions. The above-mentioned forecast is espe­
cially important for quenching of bearing rings,
which are hardened thoroughly through inten­
sive cooling. On the other hand, in the work pro­
cess quenchants change their quenching prop­
erties. In this condition it is important to predict
the formation of quench cracks by criterion of
Pisarenko-Lebedev discussed previously.
Predicting the Deformation of
Bearing Rings during Hardening
Machining allowances should be made with
consideration of the real deformation of com­
ponents during heat treatment. In plant practice,
the change in the dimensions of components dur­
ing hardening is evaluated on the basis of ex­
perimental-statistical data. Theoretical compu­
tation of the change in dimensions makes it
possible to predict machining allowances and to
ascertain basic factors having the most signifi-
318 / Residual Stress During Hardening Processes

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 ShKhl5 (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 ShKhl 5 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 fim (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
and others).
It is known that the stress-strain state of a solid
subjected to hardening is dependent to a signifi­
cant degree not only on the temperature gradient
in this solid, but also on the variation of the spe­
cific volume of structural components during
phase transformations, as well as on the kinetics
of the variation in mechanical properties, for ex­
ample, the tendency to exhibit superplasticity
(Ref 14). The temperature dependence of the me­
chanical properties of steel ShKhl5 with allow­
ance for the effect of superplasticity, which
alises 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 1K
pute the thermoelastoplastic stress-strain state (a) (b)
(Fig. 17a). The change in the specific volume
p jo -J 7 Variation in strength properties, elastic modulus E, hardening modulus F (a), and coefficient of linear expan­
during the transformation of austenite into mar­ sion aT of steel ShKhl 5 (AISI 521 00) 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 ShKhl 5 were taken from
Ref 15.
The complete picture of the shape variation of
a bearing ring during hardening was obtained on

V
pjo Dependence of heat-transfer coefficient in Fig. 1 8 Lines of equal displacements (indicated near curves in nm) 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
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 319

5 presents this comparison, which shows that value of residual stresses and reduce the distor­ tion of the methods adopted for the heating and
there is good agreement betw een 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 ot, selected In the second ease, 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 *22 a33 <*i Conicity
low since the condition Bir —> 4.5 is satisfied In air -90+130 -130 + 165 70 0.044
In oil -110+130 -150 + 180 180 0.045
(Fig. 9). The decrease in conicity at intensive
In circulating water -75 + 200 -180 + 230 240 0.051
shower cooling can be explained by simultane­ Under intensive shower -70+130 -100 + 180 170 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 552252555
tion of the ring is cooled at first in which mar­ 51111111255
22222222?
511111111155
tensite transformations begin that cause dis­ 22222222222
111111111125
222222222222
placements and coning formation. By adjusting 222222222222
51111X1111122
2222222222222 51111111111115
the intensity of cooling, one can control the 511111111111115
22222222222222
222222222222222 511111111111112
222222222222222 5111111111111125
2212221222222222 5111111111111125
2211111111222222 55111111111111122
22211111111111122 521111111111111125
111111111111111112 511111111111111125
111111111111111112 5111111111111111115
liiimumiiiiui 551111111111111X1115
liiiiiiiiiiiiimiii 55X11111111111111112
iiiiiiiiiiuiiiiiiii 511111111111111111115
liiiiiiiiiiiiiiiiiin 511111111111111111115
liiiiiiiiiiuiiiiiiii 5511111111111111111111
uiiiiiiiiiiiiiiiiiiii 51111111111111111111115
liiiiiiniiiiiiiiiiiiii 51111111111111111111115
liiiniiiiiiiiiiiiiuii 511111111111111111111115
liiiiiiiiiiiiiiiiuiiiii 5111111111111111111111115
liiiiiiiiiiiiiiiniiiiiii 1111111111111111111111115
liiiiimiiiiiiuiiiiiin 51111111111111111111111155
liiiiiiiiiininuiiiiiiii 511111111111111111111111115
iiuiiiiiuiiiiiiiiiiiiiiii 5111111111111111111111111112
liiiiiiiiiiiiiiiiiiiiiiiiin 5511111111111111111111111122
uiiuiiiiiiiiiiiiiiiiiiim
511X1111111111111111111111112
liiiiiiiiiiiiiiiiiiiiiiiiiin
liiiiiiiiiiiiiiiiiiiiiiiiiin 21111111111111111111111111122
liiiiiiiiiiiiuiiiiiimuun 211111111111111111111111111112
liiiimiiuiiiiiiiimmiiin 2211111111111111111111111111122
liiiiniiiiiiiiiiiiiiiiiuiiiii 1111111111111111111111111111112
limiuiiiniiiiiiiiiimuim 21111111111111111111111111111112
liiimunimiiiiiiiuuiiiui 21111111111111111111111111111122
111111111111111111111111111111111 211111111111111111111111111111122
liiiiiiiiiiiiiiiiiiiiiiiiiiuiiiii 5111111111111111111111111111111112
Displacement, U, mm liuiuiniiiiuiniiiimiiimiu 55211111111111111111111111111111122
liiiiiiiiiiiiiiiiiiiiiniiiiiiiiiii 52211111111111111111111111111111115
Fit? 1 9 DispliCefflents of generatrix r.. f inner xijriare oí lim iiiiiiiiiiiiiiiiiiiiiiiiiiiiiii 552211111111111111111111111111112255
liiiiiiiiiiiiiiiiiiiiiiiiiuiiui 552252211121121121111112112115555
bearing ring during hardening (lineé denote
liiiiiiiiiiiiiiuiiiiiiiiiiiii 555552222222222222222222225555
computed data, and points experimental data). 1, .tiler u irn-
ing on lathe; 2, after heating to quenchingtemperature; i (a)
and 4, after 3.(1 and 39% respectively, of immersion in Oil; (b)
5r, after quenching" Fig. 20 Phases distribution at slow and intensive cooling. 1, austenite; 2 and 5, martensite
320 / Residual Stress During Hardening Processes
aqueous polymer solutions exhibiting properties
of inverse solubility. At the second cooling
stage, rings are simultaneously washed and in­
tensively cooled in accordance with results pre­
sented in Table 2. Thus, two-stage quenching of
bearing rings with the use of intensive cooling
at the second stage results in the reduction of
distortion. It is very important to solve the prob­
lem of the optimization of steel part heat treat­
ment processes for two-stage quenching.
Study of Thermal Stresses Formed
in Carburized Steel Products due to
High-Rate Quenching
Quenching of a carburized bushing with two-
step cooling was studied as a thermoplasticity
problem using FEM. Instantaneous and residual
stresses were analyzed in the component at vari­
ous cooling rates. It was shown that an increase
Fie. 22 Distribution of axial (a) and circumferential (b)
stresses in the carburized bushing at the end of
the first cooling stage. Deformation is enlarged by 25 X.
of cooling rate through the phase-transformation
range improves the distribution and lowers the
level of residual stresses in the as-quenched
components (Ref 16).
The carburized bushing (Fig. 21) made of
steel 14KhGSN2MA was heated in an electric
furnace to 850 °C and cooled initially for 20 s in
air and then in hot MS-20 oil at an optimal tem­
perature of 100 to 140 °C. On reaching a mean
temperature of 220 °C in the carburized part, the
first-stage cooling process was interrupted and
the part was transferred to another cooling me­
dium for cold treatment. Use of the optimal MS-
20 oil temperature led to better bushing round­
ness (Ref 16).
The second stage of multistage quenching
(when the carburized layer undergoes martensite
transformations) can be carried out at a slow
cooling rate (in air) or using higher-rate cooling,
for example, in a circulating fluid. It was noted
in Ref 16 that high-rate cooling through the mar­
tensitic range raises mechanical properties and
reduces the risk of quenching cracks. For this
reason, it was of practical and theoretical interest
to reveal the effect of second-stage high-rate
cooling on the strain and stress patterns in the
hardened part.
The simulation study of the quenching process
was based on a set of equations describing the
distribution of temperatures, stresses, and
strains, including a nonlinear unsteady-state
heat-conduction equation and plastic flow equa­
tions, as well as initial and boundary conditions.
It is assumed in the CCT diagram of super­
cooled austenite that all thermal and mechanical
characteristics of material are functions of tem­
perature and time. The iterative approach to solv­
ing such heat-conduction and high-temperature
plasticity problems on the basis of the FEM was
reported elsewhere (Ref 9, 15).
Solution of heat-conduction and thermoplas­
ticity problems gives a good picture of the var­
iations of temperature, stress, and strain distri­
butions in the product during quenching. The
variations of the temperature field in combina­
tion with a known CCT diagram of supercooled
austenite can be used to follow the kinetics of
phase transformations and to describe the
quenched layer depth (Ref 15).
To test the computer package, the authors
solved a problem for which theoretical results
could be compared to experimental data (Ref
17). In addition, FEM was used to solve the non­
linear unsteady-state heat-conduction problem
and thermoplasticity problem, both of which
have an analytical solution. The comparison
demonstrated a good agreement of analytical and
numeric data (Ref 6).
To analyze the first cooling stage, the authors
selected first-kind boundary' conditions that were
determined experimentally (see Fig. 21), and for
the second cooling stage they prescribed third-
kind boundary conditions.
During cooling in MS-20 oil, temperature gra­
dient over the bushing section was insignificant.
This was due to high thermal conductivity of
steel. The upper and lower bushing flanges cool
down slightly'' faster than the wall, and, in addi­
tion, the coefficient of thermal contraction for
carburized steel (a) is higher than for noncarbur-
ized. These two factors result in appreciable dis­
tortions. During the first cooling stage, the bush­
ing is barrel-shaped. The distribution of axial
and circumferential stresses at the end of stage
one is illustrated in Fig. 22.
In the second stage, the carburized layer be­
gins to undergo martensitic transformations.
During further cooling, the carburized layer ex­
pands because of the greater specific volume of
martensite compared to austenite, and the bush­
ing crown sags in.
The difference of the maximum and the min­
imum radii of the bushing inner diameter of cyl­
inder generatrix, Ar, as a function of second-
stage heat-transfer coefficient is shown in Table
3. Increase in the second-stage cooling rate re­
duces residual strain, which is in agreement with
earlier research (Ref 15).
The minimum value of Ar versus maximum
cooling rate at the second stage can be inter­
preted as follows. During high-rate cooling, the
martensitic transformations are completed al­
most simultaneously over the entire carburized
layer surface. The compliance of the surface ma­
terial in noncarburized steel also drops sharply
due to reduced temperature. Thus the surface
layers of the part form a rigid skin that resists
any further deformation of the bushing which
could result from cooling of the core section.
The difference Ar can be diminished by in­
creasing heat transfer at the first cooling stage.
An increase of the first-stage cooling rate will
raise the temperature gradient and enhance bush­
ing deformation. Since deformation at stage two
is opposite to stage one, the increase in the first-
Table 3 Difference of the radii with respect
to heat-transfer coefficient at the second
stage
Heat transfer coefficient Difference of radius
«, W/(m2 ■ K) A r, m
30 0.165
1000 0.162
5000 0.155
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 321
stage deformation can reduce residual strain. As
can be seen in Fig. 22, the first cooling stage
results in low bushing stresses. This suggests
that high-rate cooling at this stage does not lead
to material failure.
Note that the distribution of residual stresses
in the part is the same for second-stage heat-
transfer coefficient of 5000 and 300 W/(m2 • K)
as for a = 1000 W/(m2 • K). Figure 23 shows
that the highest compressive stresses occur in the
carburized layer. A comparison of results ob­
tained at various second-stage heat-transfer co­
efficients demonstrates that high-rate heat trans­
fer at this cooling stage does not increase
residual tensile stresses and even slightly re­
duces them. A similar favorable distribution of
residual stresses during high-rate cooling was
observed in multistage quenching of ShKhl5
steel bearing rings (Ref 17).
Thus it is possible to improve the efficiency
of carburized bushing cooling process (com­
pared to oil quenching) by raising the cooling
rate without risk of a quenching crack. Similar
computations can be done for heat treatment of
rolled steel and tubing. More information about
intensive quenching is given in Ref 14, 18,
and 19.
Generalization of Computational
and Experimental Results for
Heating and Cooling of Bodies of
Various Configurations
For bodies of a simple shape (plate, ball, cyl­
inder, parallelepiped), solving the heating prob­
lem for the medium with constant temperature
(boundary condition of third kind) one can state:
Jc T
2II-r1
Tc ~o n-1 i=l R,
• exp (Eq 3)
where Tc is the temperature of medium, T0 is
the initial temperature of the body, and T is the
temperature of the body at a point (x, y, z) and
attimex.A^, = (A„ UA„ 2, A„¿), which are initial
thermal amplitudes depending on the initial tem­
perature distribution and shape of the part.
<1>[p„ ,(Xj AR¿)] is a function regarding the change
in temperature on coordinates (x = xh y = x2,
z = x 3 );R u R2, and J?3 are the sizes of the part;
Rv is a generalized size of the part equal to the
part volume (V) divided by the surface area (5);
that is, Rv = VIS (for infinite plate Rv = R, for
infinite cylinder Rv = lAR, for ball Rv = AR);
ji.„ . are roots of characteristic equations, ordered
as:
Fu < M-2.Í < Hi <■■■ <Mni <•••
Fo.j = (ax/Ry) is the Fourier number, where the
determining size of the part is taken as a gener­
alized size.
According to the above inequality, each fol­
lowing term of Eq 3, when Fo.j grows, will be
negligibly small in comparison with the previous
term, and the sum of all roots will have very little
difference from the value of the first temí. There­
fore, beginning from a definite value of Fourier
number Fou the use of the first term of Eq 3,
can be restricted, that is:
Tc - T
Tc ~ T0
II h M h tt
exp Fr.i ~jp \T°\
when Fo v > Fo , (Eq 4)
Beginning from this value of Fox, the time func­
tion of (Tc — J) is described by a simple ex­
ponent.
Applying the logarithm to Eq 4, one obtains:
In A u ®[ iv, j (Eq 5)
Thus, the time function of ln(Fc - J) on the
graph is a straight line (see Fig. 24). In the case
of lengthy cooling, the temperature at all points
will be the same and equal to Tc (stationary
state).
Therefore, the entire cooling process can be
divided into three stages. The first stage of irreg­
ular conditions is characterized by the fact that
the biggest role is played by the initial tempera­
ture distribution. Any irregularity in the initial
distribution is reflected in the temperature distri­
bution at next moments of time. The dependence
between (Tc - T) and x is described by Eq 4.
The second stage is called regular conditions.
322 / Residual Stress During Hardening Processes
The dependence between (Tc — T) and x is de­
scribed by simple exponent (Fig. 24). The tem­
perature distribution inside the body is described
by function <I> and does not depend on the initial
temperature distribution, because the value of
Au is a factor; that is, it determines the scale and
not the essence of the phenomenon. The third
stage corresponds to the stationary state (Foy —
°°), when the temperature in all points of the
body equals the temperature of environment.
Figure 24 shows graphs of ln(Fc - T) as a
function of t for the surface and core of the body.
As is seen from Fig. 24, at the stage of regular
conditions these graphs are in the form of
straight lines. If the temperature at the initial
time is equal in all the points and equal to To,
then the curves must originate from one point.
Since the surface layers are cooled more
quickly than central ones, the curve ln(Fc - T)
= /(t) at the first stage for the central layer has
the convexity facing the ordinate and for the sur­
face layers facing the abscissa (Fig. 24). The
above-mentioned analysis is correct for bodies
of any shape.
It has been shown (Ref 20) that any heating
(cooling) problem for bodies of any shape can
be reduced to heating (cooling) problem for a
body of simple shape (plate, cylinder, ball) using
the criterion of approximate similarity.
The tangent of the angle of the line inclination
(for the stage of regular conditions) will be:
/g(180 — q/) = -/gy
ln(7c - Ti) - ln(Tc - T 2 )
= ----------------------------------------- = m = const
T2 “ T,
The constant m is the rate of the time function
of the logarithm of the superfluous temperature,
that is:
3[ln(rc - T)]
m (Eq 6)
dX
It is the same for every point of the body and
also for volume average temperature T and is
0 4 8 12
Biot number, Biy
Universal approximate function Kn = RBi^A ,
Fig. 25
for plate; 2, for ball; 3, for cylinder
called heating factor or cooling factor. Equation
5 is followed by equality:
m = 2 (Vu j;) jt (Eq 7>
Therefore, the value of m is determined by ther­
mal and physical factors, size, and shape of the
body. On the basis of Eq 6 and boundary con­
dition of the third kind, for body of any shape
one can state the following equation, which is
true at the stage of regular conditions of cooling
(heating):
df
cyV— = aS(Tc - rp) - cyV(Tc - Dm (Eq8)
From this it follows that:
_ T c -T n _ aa
(Eq 9)
cyV T c - T Uv Ry
where:
Kn = Biv¥ = £ RvV
is a Kondratiev number, T' = (Tc — Tn)!(Tc
— T) is a parametrical criterion characterizing
the unevenness of the temperature field, since it
is equal to the superfluous temperature of the
part surface divided by the volume-averaged su­
perfluous temperature. If the temperature distri­
bution in the body is even (Biv —» 0), then ¥ =
1. The greater the temperature unevenness, the
lesser fib When VF = 0, the unevenness of the
temperature distribution is the greatest (Biv —>
and Tu -> Tc). Thus, the Kondratiev number
characterizes not only the unevenness of the tem­
perature field, but also the intensity of interaction
of the part surface with the environment.
The theory of regular conditions is based
mainly on Eq 6; that is, the ratio of the local
cooling (heating) rate and superfluous tempera-
hue is a constant value:
dT
const
dx \T r
With regard to Eq 9, the important function of
the theory of regular conditions is determined:
mRi, X-, / Rv
Kn = "VBiy = ---- = 2 flu -z-
a i=i \ R,
Therefore, the Kn criterion is determined by the
shape of the part and characteristic numbers,
M-i.n i,2, flu, and therefore also by Biot crite­
rion, since the characteristic numbers are func­
tions of Biot criteria.
It has been proved that curves Kn = f(Biy)
for geometrically absolutely different bodies—a
16
ball, parallelepiped, cylinder, and so on—are so
close to each other that all of them can be re­
placed by one averaged curve (see Fig. 25). The
aforementioned formulas are tme for the steel
healing. They can be used for calculation of the
cooling process. In this case, one should use di­
mensionless formula: 0 = (Jj — TC)/(T0 —
Tc) instead of© = (Tc - T{)/(TC - T0). The
results of theoretical and experimental investi­
gations for determination of the heating and
cooling time for bodies of various configuration
have been generalized by author of Ref 10 and
presented in the form of Eq 10 convenient for
calculations.
Theory of the regular heat conditions de­
scribes the process of cooling for bodies of dif­
ferent shapes. The cooling time of such bodies
can be evaluated on the basis of the dimension­
less dependence:
kBiv
FoyKn + In©
2.095 + 3.8672?/v
or
}(Biv K
+ In
~ [2.095 + 3.8675/v aKn
(Eq 10)
where t is cooling time, Foy is generalized Fou­
rier number, Biv is generalized Biot number, k
= 1, 2, 3—corresponding to bodies of plate,
cylindrical, and spherical shape, K is Kondratiev
form factor, Kn is Kondratiev number, a is ther­
mal diffusivity coefficient, T0 is initial tempera­
ture of heated part, TV is temperature of the me­
dium, and T is current temperature.
According to patented technology, the process
of intensive cooling should be performed in such
a way that the martensite transformations begin
uniformly at the entire surface simultaneously,
forming high compressive stresses winch, as was
noted, achieve the maximum at a definite mo­
ment of time. This moment of time can be de­
termined by Eq 10. For bodies with different
configurations, temperatures are found at points
the furthest from the surface that correspond to
the maximum compressive stresses at the sur­
face. Using these data and Eq 10, one can easily
calculate time of achieving maximum compres­
sive stresses without making expensive and
complicated calculations. The proposed ap­
proach is also correct for bodies of complex con­
figurations.
The results of the above-stated generalization
have served as a base for the creation of new
technology' of steel part heat treatment. The es­
sence of the new technology is that alloy steel
parts are quenched in conditions of intensive
heat transfer until the moment when the maxi­
mum compressive stresses on the surface of the
part to be cooled are reached, and then intensive
cooling is interrupted and the part is kept at con­
stant temperature of martensite start until frill
transformation of the overcooled austenite in
central layers of the part (Ref 21). The moment
wrhen maximum compressive stresses on the sur­
face to be quenched are reached is determined
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 323
by generalized Eq 10. There is a database for the
determination of Kondratiev form coefficient K
and Kondratiev number Kn, which are present in
Eq 10. The values of Kondratiev number Kn for
simple bodies can be calculated by formulas pre­
sented in Table 4. The Kondratiev form coeffi­
cient characterizes the shape and size of parts to
be quenched, and Kn characterizes the cooling
capacity of the quenchant. There is an average
thermal conductivity a in the formula, which
characterizes thermal and physical properties of
the material. Thermal conductivity a of the ma­
terial is a linear function of temperature. For this
reason, one can use the average value of the ther­
mal conductivity and it will not add big errors
to calculations.
Knowing the temperature in the core of the
part when the compressive stresses are optimal
on the surface, one can calculate the time of in­
tensive cooling by the generalized Eq 10. The
generalized data given previously can be used
for the computerization of industrial processes.
Link between Usual and Generalized Biot
Criteria. In analytical solutions, a usual Biot
number generally is used, which is, as known,
dimensionless (Ref 22):
a The studies made have shown that the values
Bi — — R
X field nonsmoothness follows from the for­
where a is the heat-transfer coefficient, y is the
heat conductivity of the material, and R is the
radius of a cylinder, ball, or half thickness of a
plate.
It is noted in Ref 22 that the characteristic size
can be also determined as the volume of the body
divided by its surface area, that is:
where V is the volume of the body (m3) and 5 is
the surface area (m2).
Table 4 Functions for the analytical calcu­
lation of Kondratiev form factor
Kondratiev form
Body shape factor, K
Infinite plate, thickness of 2R 4 R2
%2
Infinite cylinder R2
5.783
Ball R2
%2
Finite plate, dimensions of sizes: 1 k)R] and generalized Biot number [Biv = (a/
WFH)
Cube L2
3rt2
Finite cylinder, height: Z 1
5.783 n2
R2 + Z2
In the theory' of regular heat conditions (Ref
23) the characteristic size is determined as value
L that includes three parameters S, V., and K, that
is:
L
where K is the Kondratiev form coefficient and
in this case the generalized Biot criterion is:
aaS
Biy —L—K—
XXV
This approach allowed establishment of the
universal fink between the Kondratiev number
Kn, criterion of temperature field nonsmoothness
VT, and generalized Biot number Biy.
Kn = T5/v
This universal relation remains true for bodies of
arbitrary shape and when the range of the gen­
eralized Biot number Biy is from 0 to <», the
Kondratiev number Kn changes from 0 to 1, and
the criterion of temperature field nonsmoothness
*T changes from 1 down to 0 (see Table 5). The
physical sense of the criterion of temperature
mula:
(Eq 11)
where T* is the average temperature on the sur­
face of tiie body, Tm is the temperature of quen­
chant, and T,j is the volume-average tempera­
ture.
On the other side, the criterion of temperature
field nonsmoothness VF for bodies of arbitrary
shape can be expressed through the generalized
Biot number (Biy) as follows (Ref 22, 23):
(Eq 12)
(Bi\ + 1.4375/v + l)05
The analysis of Eq 11 andJ2 shows that when
Bhj —> 0, then '•F —» 1 and Fsf » Fv that is, the
temperature field on the section of a body to be
cooled is even. If Biy —»<», then ¥ —» 0 and Ts f
** Tm, that is, the temperature of the body to be
cooled becomes equal to the temperature of en­
vironment at the time of its immersing into the
quenchant.
Since the above-stated dimensionless number
is very important in practice, let us find the link
between the generalized Biot number [Bi = (a/
X)K(SIV)].
For an infinite plate it is as follows:
a 4R2 ! 4 aqueous polymer solutions until the time of min­
Biy
X x2 R x2
since K = (4Rz/%2), where in this case R is the
half thickness of the plate.
For an infinite cylinder:
a R2 2 2
Biy =----------- • — = -------- Bi
3 X 5.783 R 5.783
since
R2 2
K=
5.783 R
For a ball:
a R2 4xR2 3
“ X ~ ’ 4/3 xR2 ~ x2 Bl
Since for the ball:
R2 , V 3
K = —=• and — =
x2 S R
Thus, there are the following finks for bodies that
are plate-shaped, cylinder-shaped, and ball­
shaped correspondingly:
Biy = 0.405Bi Biy = 0.3465/ Biy = 0.3045/
Discussion of Results
of the current and residual stresses can be con­
trolled by many methods. Making intensive and
uniform quenching, one can reach high com­
pression stresses on the surface (see Fig. 9). It is
very important that selecting heat-transfer coef­
ficient, one can reach even null residual stresses
on the surface, if necessary. Thus, increasing the
heat-transfer coefficient beginning from Biy =
4.5, one can obtain liigh residual compression
stresses on the surface. These residual compres­
sion stresses are compensated by tensile stresses
in the core. It should be noted that residual com­
pression stresses increase the sendee life of the
steel parts quenched.
It should be noted that intensive cooling has
the effect of not only the formation of high com­
pression stresses on the surface of parts
quenched, but also the simultaneous reduction of
distortion of quenched parts. The reduction of
distortions and prevention of the formation of the
quench cracks are due to the formation of hard
martensite layer on all the surface, which fixes
the initial sizes of parts and forms high com­
pressive residual stresses on the surface of
quenched parts. In addition, intensive heat trans­
fer in the area of martensite transformations re­
sults in the improvement of mechanical proper­
ties of the material and makes the service life of
the parts longer. The generalization of the above-
mentioned is given in Ref 24.
It is especially important to discuss the pro­
cess of two-stage quenching. This article consid­
ers the two-stage cooling process. During the
first stage, one arranges slow/ cooling in oils or
imum distortions is reached, and then, at the sec­
ond stage, one arranges intensive cooling and
washing of the parts. Intensive cooling at the sec­
ond stage fixes the attained minimum distortion
324 / Residual Stress During Hardening Processes

Table 5 Links between generalized Biot number (f?/v), criterion of temperature field nonsmoothness ('F), and Kondratiev number (Kn)

Biy 'V Kn Biy ¥ Kn Biv 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 0.985 74 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 0.843 85 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 0.85 027 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 0.85 329 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 0.85 760 40.0 0.02456 0.98221
0.88 0.14915 0.88744 4.65 0.18473 0.85 898 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 CD 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
0.87692
which fixes the shape of the part to be quenched.
1.45 0.43911 0.63672 5.40 0.16239
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
0.67553 5.65 0.15609 0.88193
mum compression stresses are reached on the
1.70 0.39737
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
0.70712 5.90 0.15026 0.88656
It should also be noted that the technology de­
1.95 0.36263
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
0.73328 6.30 0.14179 0.89325
cesses and selection of optimal ways of quench
2.20 0.33331
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
 Control of Residual Stress Formation and Steel Deformation during Rapid Heating and Cooling / 325
to the agreement between results of computa­
tions and results of experiments. The good
agreement between results of computations and
results of experiments is explained by physically
grounded selection of all parameters included in
the mathematical models and describing die
quenching process.
Thus, intensive steel-quenching methods have
great prospects; therefore the approach and cal­
culation methods developed can be used for the
implementation of intensive steel-quenching
methods in practice. In practice it is important to
select proper boundary conditions. In practice
cooling properties of quenchants are determined
by tests of specimens, and on this basis heat-
transfer coefficients are determined. Unfortu­
nately, one cannot always use these results when
the shapes and sizes of steel parts are changed,
that is, at the transition from specimen to real
parts (Ref 14).
The authors have suggested another approach
to the selection of boundary conditions based on
the conception of self-regulated thermal process.
The new approach lies in that it is possible to
forecast the character of changes in the tempera­
ture of parts that are to be quenched, in the pro­
cess of nucleate boiling, and also to determine
the time of this process (Ref 1, 14, 25).
Previous sections of this article discuss ways
to reduce distortion and eliminate cracking dur­
ing intensive heating and cooling of parts to be
quenched. This is highly important for techno­
logical processes, since the intensive heating fol­
lowed by intensive cooling results in the im­
provement of mechanical properties of steels and
improvement of the material plasticity.
The main regularities of intensive steel heat­
ing are presented in extensive work (Ref 26), and
they can be briefly described:
• When the heating rate increases, the critical
steel points Ac, and Ac3 grow continuously
proportionally to F¿/3, and the growth rate for
steel is significantly higher than for the iron.
• The higher the heating rate the lower the size
of the austenite grain. By further quenching
the austenite of such structure, one can reach
fine-grain martensite or high-dispersion prod­
ucts of intermediary dissociation.
• In the intensive heating the austenite grain is
less susceptible to the growth when the tem­
perature increases and during tempering at
such temperature.
The problem of obtaining the fine grain at
heating has been usually solved by the selection
of steel alloying elements. As a rule, natural fine-
grain steels are those deoxidized by aluminum.
Adding aluminum, which forms aluminum ni­
tride (AIN) and does not bind the carbon, does
not reduce the steel-strengthening capacity at
quenching. Heat treatment of steel deoxidized by
aluminum affects the dispersion values, distri­
bution, and the amount of AIN, and through this,
it affects the susceptibility of the austenite gr ain
to growth. The temperature above which heating
results in the growth of austenite grain is called
the rough-condition temperature (Ref 26). The
rough-condition temperature for steel with AIN
depends on temperature of its dissolution. Heat­
ing to 1000 °C (1830 °F) considerably reduces
the amount of AIN, and heating to 1150 °C (2100
°F) results in its frill dissolution. Maintaining the
temperature below that of full dissolution for a
long time causes the coagulation of isolations
resulting in the growth of austenite grain. There
exists a critical amount of AIN isolation; when
tliis amount is exceeded, the effect of stopping
is reduced.
The presence of AIN particles affects mainly
the rough-condition temperature for austenite
and m no other way is a factor contributing to
getting a fine grain of the austenite at phase
transfonnation a —> y. The optimal amount of
aluminum added to steel, in the case of deoxi­
dizing not reducing the rough-condition tem­
perature below 975 °C (1790 °F), should not ex­
ceed 0.03 to 0.04% (Ref 27, 28).
Making steel alloys with carbide-forming ele­
ments allows an increase in the rough-condition
temperature when carbides foimed have suffi­
ciently high dissolution temperature in the aus­
tenite. Compounds sufficiently resistant to dis­
solution are vanadium carbides (VC, in
particular, V4C2) and vanadium nitride (VN). Its
effect on the susceptibility of steel to austenite
grain growth is considered in Ref 26 and 29 to
31. The temperature of full dissolution for VC
in 30X2 steel is 1000 °C (1832 °F); for vanadium
nitride it is approximately 1100 °C (2010 °F).
The addition of vanadium allows slowing of aus­
tenite grain growth of the steel in the case of
heating to 980 °C (1800 °F) (Ref 31). Besides,
its critical amount is about 0.06%. The effect of
zirconium on the susceptibility to austenite grain
growth has been studied in Ref 32 to 36.
The effect of slowing down due to adding ti­
tanium and zirconium to steel is connected with
producing carbides, nitrides, and carbonitrides.
The critical amounts of titanium and zirconium,
which have great effect on the growth of austen­
ite grains, can be varied from 0.03 to 0.08%,
depending on the dispersion value of producing
phases containing titanium in steels with various
chemical composition. Adding titanium and zir­
conium to steel allows increase of the rough-con­
dition temperature to 1150 to 1200 °C (2100—
2200 °F) (Ref 26).
In practice, great interest is paid to steels al­
loyed by niobium (Ref 33, 36 -39), which is con­
nected with not only great resistance to over­
heating in comparison with steel alloyed with
titanium, zirconium, or aluminum (Ref 30), but
also with their good strengthening as a result of
dispersion hardening and their high resistance to
tempering (Ref 31).
Since the carbides and nitrides of niobium dis­
solve worse in austenite than vanadium carbides
and nitrides, steels with niobium have higher
rough-condition temperatures. Their high resis­
tance to overheating is due to the fact that nio­
bium, in contrast to vanadium, slows down the
process of recrystallization and increases its en­
ergy of activation by two times (Ref 40). The
critical amount of niobium in steel is approxi­
mately 0.02%.
Thus, one of the advantages of microalloying
is the possibility of preserving fine-grain austen­
ite in cases when steel, for some reason (great
weight of parts, danger of distortion, and so on),
undergoes slow heating, and the strict require­
ments for the preservation of the shape or ge­
ometry of the part do not allow use of other
methods of influence on the austenite structure.
The other advantage of this method is that it al­
lows regulation of the initial sizes of the austen­
ite grain with the use of the selection of the com­
plex of alloy elements of the compound, which
can serve as barriers for the growth of austenite
grain in steel heating at a wide range of tem­
peratures.
The determinative role of austenite grain size
on the formation of steel properties in intensive
thermal hardening is well known. One of the
most systematic studies has been described m
Ref 41 and 42. This study considers the role of
the kinetic factor in the formation of the austen­
ite grain. The experimental data received by this
approach are very convenient for Hie selection of
optimal temperature-time parameters of steel
austenite formation in the case of intensive heat
treatment, since they describe the dependence of
the size of austenite grain on the temperature and
heating rate.
Figure 26 shows medium diameter of the aus­
tenite grain in steels 40 (Ref 42) and
40KJh2NGSM versus temperature and heating
rate. Each of these steels exhibits different sus­
ceptibility of the austenite grain to the growth
while the heating rate increases. In the case of
the same percentage of carbon, they are also
characterized by different susceptibility to aus­
tenite grain growth, which is connected with not
only the degree of alloying, but also initial struc­
ture states before heating. The initial sizes of
austenite grains for both carbon steel 40 (Ref 42)
and complex-alloy construction steel
40Kh2NGSM are the same in the case of ferrite-
pearlite structure when heating to a —> y phase
transformation temperatures. However, as long
as the heating temperature increases, the differ­
ence in the susceptibility to austenite grain
growth is observed in these steels, and it is
greater when the heating rate is lower, which is
connected with not only kinetic characteristics
of the austenite fonnation process for steels with
different alloy composition in the case of inten­
sive heating, but also with barrier effect of barely
soluble carbides with the movement of the lead­
ing edge of the austenite grain in the alloy steel.
Figure 27 shows various techniques of steel
quenching, at wliich it is possible to prevent
quench-crack formation (Ref 43); intensive heat­
ing has the effect of finer austenite grain, which
improves the mechanical properties of the ma­
terial. Intensive cooling in the martensite range
is connected with additional strengthening of the
material, which can be explained as follows.
Martensite plates form in supercooled austenite,
which is in an extremely high compressive stress
state. The martensite has a larger specific volume
than the austenite. As a result, the austenite un­
dergoes extensive plastic deformation due to
326 / Residual Stress During Hardening Processes

Size of austenite grain versus temperature and heating rate, (a) Steel 40, the initial state is condition afterburning (Ref 42). 1,2, 3, and 4 are heating rates 0.03,8, 200, and
Fig. 26
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 % 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
ens the material being processed) (Ref 44, 45).
A high dislocation density is produced, and,
because of the very rapid cooling, the disloca­
tions are uniformly “frozen” in the quenched sur­
face layer. This is what is believed to produce
the additional strengthening or superstrengthen-
ing. Very rapid quenching (intensive quenching)
in the martensite range and the formation of very
high surface compressive stresses are prerequi­
sites. The superstrengthening effect produced by
intensive quenching has been used to enhance
the performance of punches and dies made of
high-speed steel (Fig. 28,29) and of small dies
made of bearing steel.
The R6M5 punches are used at high loads in
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 steel's 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.
Dies for growing artificial diamonds must sur­
vive repeated cycles of high pressure and high
temperature. Intensive quenching of high-speed
steel dies increased their service life by 1.5
times. These dies are intended for growing arti­
ficial diamonds and work with heavy cyclical
temperature and pressure loads. Despite this, the
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 CaCfe with spe­
cial admixtures preventing the corrosion on the
surface. The intensification took place due to the
Fifi. 28 P000*1 made of the molybdenum high-speed destruction of the steam film. Instead of aqueous
steel R6MS AIS I M20. Punch length, 126 mm;
maximum diameter, 15.3 mm solutions of salts, one can use aqueous solutions
 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
forming machine (machine capacity: 175
of Making Ftigh-Strength Materials
strokes/min)
Durability (a), No. of strokes
In 1967, it was established that a high cooling
Test Existing Intensive Increase in
rate within Hie martensite range results in not
No. technology technology tool life(b)
only the creation of high compressive surface
1 6,460 15,600 2.4 X
2 6,670 16,500 2.5 X
stresses, but also the additional strengthening of
3 3,200 5 pOO 1.65 X material (Ref 56). These investigations are dis­
4 4,000 12,075 3.OX cussed in more detail in Ref 14, 18, 57, and 58.
5 6,620 8,110 1.2 X A rapid induction heating and intensive cooling
6 2,890 10,500 3.6 X
7 2,340 7,300 3.1 X
of steel parts where the depth of the quenched
surface layer is controlled, which increases the
(a) Number of strokes until a tool wore out (b) Increase in tool life is service fife, is described in (Ref 2). Steel
due to intensive quenching quenched using this method generally has low
depth of hardened layer and fine grain with ar­
rested growth of austenite grains at high tem­
peratures. Due to limited hardenability, com­
pressive stresses appear on the surface of such
of polymers of optimal concentration exhibiting steel parts and the fine grain provides high
inverse solubility (Ref 19). During cooling in strength. In addition to providing an increase in
aqueous solutions of polymers exhibiting in­ the service life of such heat treated steel parts,
verse solubility, a polymer film forms on the sur­ there is an opportunity to replace relatively ex­
face of parts, and thus the duration of the fifil- pensive high-alloy steels with less expensive
film boiling is reduced to the minimum. The lower-alloy steels and replace fire and environ­
mechanism of the heat transfer in these condi­ mentally dangerous quench oils with water and
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
application (Fig. 30), the service life of dies tliis method is controlled by the chemical com­
made of ShKhl5 (AISI 52100) bearing steel position of the steel parts being hardened.
doubled when the tools were intensively Steel quenching where the depth of the hard­
quenched.
ened surface layer is controlled in accordance
Intensive heating and cooling have been
with tliis method is made in water jets. The ser­
widely used in practice. Some benefits of this
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
in Table 7. This technique, on the whole, pro­
trolled generally increases when compared to oil
duces good results at numerical experiments and quenching. However, it is often necessary to se­
design of technological conditions. lect or create an appropriate steel alloy for use
in steel parts having different configurations and
sizes to obtain the effect of high surface com­
pressive stresses.
In addition, with this quenching method no
criteria exist for calculating the rate of water flow
for steel parts having different configurations
and/or sizes. Thus, a relatively high water flow
rate is normally chosen for all steel parts that is
not always justified, results in unnecessary en­
ergy expenses, and makes the industrial process
more complicated than necessary. While the
high service life of steel parts where the depth
of the hardened surface layer is controlled is con­
sidered an advantage for certain steel grades,
other steel grades can also achieve the effect of
increased strength (as compared with steel
quenching methods known before) and high re­
sidual compressive surface stresses if the heat
treating parameters are properly controlled. The
intensively heat treating method described previously is en­
Table 7 Production applications of intensive-quenched limited-hardenability steels
New steel
Applications Former steel and process and process
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 X; steel cost decreases by
Truck leaf springs 60 C2KhG 45C Weight decreases by 15-20%; durability' increases by 3 X
Rings and races of bearings thicker than 12 mm ShKhl5CG and 20Kh2N4A ShKh4 No sudden brittle fracture in service; durability increases by 2 X; high production rate
tirely dependent on the composition of the steel
alloys available. As a practical matter, it may be
difficult to obtain steel alloys having a suitable
composition. Accordingly, in practice, the hard­
ening method should be adapted to those steel
alloys that are available.
Another known steel-quenching method is de­
scribed in Ref 59. Tliis steel-quenching method
involves “shell hardening,” which results in uni­
form quenching of the entire surface to a certain
depth until reaching high hardness using inten­
sive jet cooling. In this method, examples of the
application of medium carbon 1045 steel are
given. One advantage of tliis method is the op­
portunity to increase the service life of steel parts
using standard carbon steels, rather than alloy
steels where the depth of the hardened surface
layer is controlled by the composition of the
steel. As discussed in publications (Ref 60), no
consideration in this method is given to the pa­
rameters necessary to optimize the depth of the
hardened surface layer, and the following cor­
relation that the depth of the hardened surface
layer should be changed for steel parts having
different configurations and sizes should be
added:
AS
— = constant (Eq 13)
where A5 is the optimal hardened depth, and D
is the cross-sectional thickness. This correlation
was developed in Ref 60 and is considered to
provide a foundation for the quenching appara­
tus and method for hardening steel parts. In ad­
dition, tliis method does not have any criteria
allowing the calculation of the optimal cooling
solution quench flow, and the technological pro­
cess is not optimized.
Another steel-quenching method is described
in Ref 61. In this method, alloy steel parts are
quenched in such a manner that a hard surface
layer of a given depth and an arbitrarily hard
matrix are obtained. For given steel grades,
ranges for hardening regimes are found by ex­
perimentation to increase the sendee life of such
steel parts. One example of this method involves
an alloy steel specimen containing 0.65 to 0.85%
C, 0.23 to 0.32% Si, 0.4 to 0.9% Mn, approxi­
mately 2% Ni, 0.5 to 1.5% Cr, and O.lto 0.2%
Mo that is heated to 800 to 850 °C and spray
quenched with water fed under a 0.4 to 0.6 MPa
pressure for 0.2 to 0.8 s. The steel specimen is
then isothennally heated at 150 to 250 °C for 10
to 50 min. This method considers only high-car­
bon alloy steels. In this method, the depth of the
hard surface layer is not optimal for steel parts
Advantages
1.5 X
328 / Residual Stress During Hardening Processes
having different configurations and/or sizes and,
because of this, steel strengthening is not con­
sistently achieved in all parts. In addition, this
method does not consider the optimization of the
quenchant solution circulation rate.
Reference 62 describes a method of intensive
quenching steel parts using intensive jet cooling.
The author points out that the method of inten­
sive cooling is applied to superficial hardening
of small parts (shafts, axles, pins, etc.) made of
alloy steels. The author underlines that under the
condition of very intensive cooling, the defor­
mation reduction is observed.
Other authors (Ref 63) came to the conclusion
that it is possible to provide a method for pro­
ducing high-strength steel by heat treatment
within a short time. Steel having the composition
(wt%) 0.60 to 0.70% C, 0.35% Si, 0.60 to 0.80%
Mn, 12.50 to 13.50% Cr and the rest Fe with
inevitable impurities is heated to a quenching
temperature by induction heating, and this
heated steel is rapidly cooled (Ref 63). The au­
thors have considered only induction heating and
rapid cooling for alloy steel having 0.60 to
0.70% C.
The intensive steel-quenching method de­
scribed in Ukraine Patent (Ref 21) deals with
heating, cooling until the appearance of maxi­
mum compressive surface stresses, and then iso­
thermal heating (tempering). This method is
based on cooling in the range of 0.8 < Kn < 1,
where Kn is the Kondratiev number, until reach­
ing maximum compressive surface stresses, then
isothermally heating at martensite start (Ms) tem­
perature until the complete transformation of the
overcooled austenite of the matrix occurs, and
then tempering. At the time of the end of inten­
sive cooling, the optimal depth of the hard layer
is automatically reached, which meets the con­
dition in Eq 13.
The time of reaching maximum compressive
stresses on the surface can be calculated by Eq
12. In most cases, the time of the end of intensive
cooling can be tied with the end of nucleate boil­
ing. In this case the quenching process can be
controlled, since the noises connected with the
nucleate boiling are controlled with special de­
vices (Ref 64). More detailed information on
regularities of nonstationary nucleate boiling for
steel part quenching is given in Ref 65 and 66.
These works consider the so-called “self-regu­
lated” thermal process, which is based on the fact
that the surface temperature for the body to be
quenched during nucleate boiling is supported at
the level of the quenchant boiling temperature
and differs very little from this value.
The regularities of the nonstationary nucleate
boiling, which have been discovered, have been
used as a foundation of the new intensive steel­
quenching method, which provides the addi­
tional hardening (“superhardening”) of the ma­
terial and reduces the deformation; it guarantees
the absence of quench cracks during intensive
quenching (Ref 49). The intensive cooling in ac­
cordance with the specified method should be
terminated at the time of the end of the self-reg­
ulated thermal process, and then, after the tem­
perature field becomes equal at the cross sections
of steel parts, intensive cooling should be con­
tinued to room temperature or below (Ref 49).
That is why it is very important to elaborate a
quenching apparatus for hardening a multitude
of alloy steel parts used in, for example, metal­
lurgy, machine construction, bearing and tool in­
dustry, quenching of carburized parts, and parts
heated by induction, salt bath, the usual oven
heating, and vacuum furnaces. At the end of the
quench, some steel parts will benefit from iso­
thermal cooling in the air (self-tempering). This
process method results in additional strengthen­
ing of steel parts, and maximum compressive
surface stresses are achieved, resulting in in­
creased service life of the steel parts. Relatively
expensive alloy and high-alloy steels can be re­
placed with less expensive low-alloy or standard
carbon steels and instead of an oil-based quench­
ing material, water or a water-based solution is
used (Ref 49).
The developed intensive methods of steel part
heating and cooling have great prospects, since
because of them it is possible to save materials
and finances as well as increase the labor pro­
ductivity considerably. These technologies are
also ecologically clean.
Summary
• It has been established that one can control
the value of residual stresses on the surface
of quenched parts.
• It has been shown that one can forecast the
time and place of the formation of quench
cracks on the basis of criterion of Pisarenko-
Lebedev.
• It has been established that for quenching of
wedge-shaped bearing rings there is a definite
time at which the distortion becomes zero. It
is suggested that this state can be fixed by the
intensification of heat transfer at the second
stage within the range of martensite transfor­
mations.
• The intensive and uniform cooling within the
range of martensite transformations reduces
the distortion of quenched parts in connection
with the formation of a thin martensite layer
on the entire surface of a quenched part.
• Two-step quenching of carburized parts,
which lies in the moderate cooling at the first
stage and intensive cooling at the second
stage within the range of martensite transfor­
mations, also results in the reduction of dis­
tortion of quenched parts.
• A new approach has been developed for the
reduction of distortion and elimination of
crack formation by intensification of heat
transfer at the phase transformations.
• Basic results of the calculations of intensive
cooling have been proved by numerous ex­
periments made in recent years.
• The intensive heating of steel parts has the
effect of finer austenite grains and transition
to higher temperatures of critical points on the
iron-carbon diagram.
• In many cases, intensive heating to the aus­
tenite temperature is equivalent to slow
growth of austenite grains, which is reached
due to optimal addition of alloys such as ti­
tanium, zirconium, and vanadium.
• Intensive heating and intensive cooling im­
prove mechanical properties of the material
and reduce the distortion of quenched parts,
which is unexpected and explained by the for­
mation of the uniform martensite shell on the
entire surface of the part.
• The history of the development of intensive
heat steel treatment methods has been dis­
cussed, and the recent achievements in this
field, which have been patented in many
countries, have been considered.
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14
Effect of Cryogenic Cooling of Residual
Stresses, Structure, and Substructure
loan Alexandru and Vasile Bulancea, Technical University of Iasi, Romania
CRYOGENIC COOLING represents a useful
and efficient means that, if correctly applied
within the secondary heat treatment technologic
flow, may cause marked increases in the sendee
properties of steel parts and tools. The main pur­
pose of cryogenic cooling is the continuation of
the transformation to martensite of as much un­
dercooled retained austenite as possible. After
applying the cryogenic cooling to some steels
with martensite finish (Mf) critical temperature
below 273 K, such as plain-carbon steel with
more than 0.6% C as well as alloy and high-alloy
steels, important improvements were noticed in
some of the sendee properties, including dura­
bility, wear resistance, fatigue life, hardness, and
so on. To ascribe these marked improvements
exclusively to the increase of martensite and the
corresponding decrease of retained austenite
would be rather simplistic and nonscientific.
Recent research carried out at the “Gh. Asa-
chi” Technical University of Jassy, Romania
(Ref 1 -3) and the Technologic Institute of Loui­
siana has emphasized that besides the continua­
tion of the transformation of austenite to marten­
site, cryogenic cooling also provides:
• A favorable respreading of alloying elements
between martensite and the carbide phases
• The precipitation of a large amount of alloy­
ing carbide elements of very small size (under
1 pm)
• A favorable redistribution of residual stresses
As shown in Fig. 1, the transformation of aus­
tenite to martensite takes place at cryogenic tem­
peratures both during cooling and during sub­
sequent heating back to the ambient temperature.
The larger the cooling rate (curve B), tire more
intense the transformation of austenite to mar­
tensite, both during isothermal transformation
and during heating back to ambient temperature,
due to the thermal stresses induced during cool­
ing.
Cryogenic cooling proved to be effective only
in those cases where the retained amount of aus­
tenite is larger than 10%, at room temperature,
after classical (ordinary) quenching. Moreover,
cryogenic cooling has been especially effective
for some parts (gear wheels, ball bearings, ele­
ments of injection pumps) and tools (for plastic
deformation, for measuring and verifying) that
require high values for certain service properties
such as hardness, wear resistance, fatigue life,
and durability, as well as dimensional and shape
stability. For most of the alloy and plain-carbon
steels, cryogenic cooling must be immediately
applied after classical quenching, while for high­
speed steels (HSS) it may be applied also after
a previous tempering, particularly in the case of
complex shape tools.
The typical thermal range for cryogenic cool­
ing lies between 203 and 153 K. It should be
noted that cryogenic cooling cannot represent a
final heat treatment since subsequent tempering
heat treatment is absolutely necessary to achieve
thermal stress relieving, fine carbide precipita­
tion, and more favorable respreading of alloying
elements between martensite and austenite.
The possible heat treatment variants both with
and without cryogenic cooling applied to high­
speed steels are shown in Fig. 2, where the heat­
ing temperatures range between 1493 and 1563
K, the specific cryogenic temperatures are 203,
153, and 77 K, and the tempering temperatures
are from 813 to 853. The variants designated by
B and E are classical for high-speed steels and
for plain-carbon and low-alloy steels, respec­
tively. The variants A, C, and F are not practi­
cally applicable, being important only for re­
search purposes, while the variants E and D are
also applicable for plain-carbon and alloy steels,
after a suitable adjustment of the temperature.
Finally, the variants B, G, H, I, K, and M are
applied mostly to HSS.
Residual Stresses Induced by
Cryogenic Cooling and Their
Measuring Methods
Role of Internal Stresses within
Martensitic Transformation at
Cryogenic Temperatures
The accurate determination of residual
stresses within the cryogenically cooled metallic
materials constitutes a major factor for the
proper design, building, and operating of the ma­
chine parts and tools since these stresses strongly
influence the aforementioned sendee properties.
The residual stresses are those stresses that per­
sist in a solid body as a consequence of the treat­
ment and mechanical manufacturing in the ab­
sence of any external or internal loads (forces,
momenta, or accelerations). These stresses make
up a force system that in normal conditions
reaches local and global balance, which is thus
hardly detectable, unless this balance is altered.
According to the volume size at which they
manifest themselves, three types of residual
stresses are noticeable: first-order stress (mac­
roscopic), second-order stresses (microscopic),
and third-order stresses (ultramicroscopio), as il­
lustrated in Fig. 3. Quantitatively, the cumulated
residual stress in any point can be expressed as:
or = <b + °n+°ii (EqU
The residual stress state is typically determined
by the first-, second-, and third-order stresses
overlapping, as shown in Fig. 4. In a biphase
material (a + P) the residual stress state is also
the result of overlapping stresses, but Fig. 5
shows an even more complex stress distribution
compared to Fig. 4. The residual stresses induced
by cryogenic quenching heat treatments are es­
pecially of the second order, being the effect of
both shape and volume accommodation of mar­
tensite within the austenite matrix. Conse­
quently, as compared to classical quenching, it
follows that cryogenic cooling causes a decrease
of structural residual stresses, since it reduces the
amount of retained austenite.
In order to trigger the martensitic transfor­
mation it is necessary not only that martensite
becomes more stable than austenite, but also that
a certain critical value is reached for the differ­
ence between their corresponding free-energy
levels. This critical free-energy difference re­
quires austenite to be considerably undercooled,
below its thermodynamic equilibrium tempera­
ture. Thus, for an austenite undercooling of 200
K, the above difference reaches 350 cal/at. gr.
332 / Residual Stress During Hardening Processes

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 m order to overcome the energy banier 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 theory—G.V. given in Fig. 7, for an AISI HI2 steel quenched
occurs in the proximity of 0 K, the first of the Kurdjumov, G. Fisher, et al. [Ref 10-13]; stress from 1423 K, with Ms lower than 273 K. Thus,
additional energy sources must be excluded. theory—A. 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 dislocations—K.E. Easterling, A.R. Tholén and second-order residual stresses), while curve
Easterling and Tholén (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 poly crystalline specimen (curve 1).
■^tot = -^surf + ^strain + -^"chern (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, Estntm 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 £chern is the free-energy difference
that occurs at the formation of the martensite
volume (corresponding to a plastic deformation).
Calculations have emphasized that martensite
develops as a result of heterogeneous nucleation
and that this nucleation is enabled by a favorable
reaction between two stress fields: one caused by
the Bain distortion and the other clustered
around one or more dislocations from the un­
dercooled austenite. Therefore, the dislocations
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
accompanied by the occurrence of an internal
stress field (Ref 9). Such a stress field can be
generated by several sources such as: the tem­
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
different space orientation of crystals, the differ­

313 273 233 193 153 113 73

Temperature, K Third-order stresses
First-order stresses
(macrostresses) ' y
F¡o "I Transformation of austenite to martensite at cry- (microstresses and microstrains)
® ogenic temperatures. Curve A, iow 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
the lower the temperature within the cryogenic
field the weaker the residual stresses that actuate
the martensitic transformation, since martensitic
transformation develops with more and more
difficulty as the temperature drops closer to Mf.
Ox
Evaluation of Residual Stresses after
Cryogenic Cooling
There are a multitude of methods for deter­
mining residual stresses, yet x-ray diffractometry
is the only one that allows an estimation of the
“dynamics” of stresses up to atomic group level.
The quantitative determination of residual
stresses is based on Hooke’s law, which con­
nects stresses to strains, the latter being, in fact,
the very parameters that are actually measured.
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
lines. This enlargement can be determined by:
• The fonuation of crystallites and subgrains
with dimensions within the range of 10 “2 to
10'1 jum
• The elastic distortion of relatively large crys­
tals (1 pm)
• The fonuation of stacking faults
Evaluation of First-Order Residual
Stresses. In face-centered cubic (fee) materials,
residual-stress-induced faults cause both dis­
placements and asymmetries of the diffraction
maxima distribution; this effect is less intense in
body-centered cubic (bcc) materials, while in
hexagonal close-packed (hep) materials, only a
symmetrical enlargement of the above distribu­
tion is observed. In order to evaluate the residual
stress that has caused a certain strain, the inter-
planar spacings must be determined both for the
undeformed and the deformed material (riohkl and
dhkl, respectively), and the elastic constants
(Young’s modulus, or E, and Poisson’s ratio, or
u) must be known.
According to Bragg’s law, a relationship ex­
ists between the interplanar spacing (d) and the
diffraction angle (0) for the same wavelength
Ck). If the spacing is expressed as a function of
the diffraction angle and the relationship is dif­
ferentiated, it follows that:

Ad/d = [cot 0]A0 (Eq 3)

where the left terms (Ad/d) represents the strain.

Therefore, the stress (<r), expressed by the
Hooke’s law, becomes:

a = E(Ad/d) = T[cot 0]A0 (Eq 4)

where A0 is the angular displacement, caused by

stress on the diffractogram, of the diffraction line
corresponding to the 0 angle, as compared to the
same line obtained with a standard unstressed
specimen.
Surface stresses in the direction OX can be
determined with the relationship:

E r „, K
a —------- - [cot 0O] •-----
2(1 + u) 180
. 3(29> = K 3(29> (Eq 5)
3(sin2\g) d(sin2v|/)
300 250 200 150 100 50 0 313 273 233 193 153 113 73
Temperature, K Temperature, K where \\f is, according to Fig. 8(a), the angle be­
tween the normal of the reflecting planes and the
F¡o 5 Martensitic transformation curves of an alloy Fig. 7 Martensitic transformation in AISI H12 steel, normal at the surface of the specimen, and 0O is
steel 0.85% C, 14.8% Ni, 2.1% Mn, cooled ® quenched from 1423 K. Curve 1, ordinary poly­
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:
334 / Residual Stress During Hardening Processes
a = +K • B
where
E cot 0O 7U
2(1 + o) ' ISO
3(29)
5(sin2\|/)
The value of the coefficient K depends on the
specimen material and on Hie characteristic
wavelength corresponding to 0O. For several ma­
terials, the calculated K values are given in
Ref 17.
The value of the coefficient B from Eq 7 is
determined, according to Fig. 8(b), as the slope
of the straight line 20v = /(sin2 \|/). In fact, the
values of the 0 angle are measure for o group of
planes (with the same Miller indices), and a plot
similar' to Fig. 8(b) is drawn from which the
slope B is determined.
The group of planes is chosen to maximize the
measuring accuracy of 0. Table 1 lists both the
coefficient K and other parameters requested for
the evaluation of the first-order residual stresses
for several technical metallic materials.
Evaluation of Second-Order Residua)
Stresses. Second-order residual stresses are lo­
cated at microscopic scale at the level of mosaic
blocks or crystalline grains and cause an enlarge­
ment of the diffraction maxima. Since the en­
largement of the diffraction line can be corre­
lated with the average grain size, provided it is
less than 10 ~4 cm, it is expected that both heat
and mechanical treatments cause crystallite
breaking. If such a process occurs, then the en­
largement of the diffraction line should be pro­
portional to the ratio A/cos 0 in accordance with
the relationship:
0.94/1
zhkl~
|h cos 9
in which sh!d is the average size of the crystallite
(mosaic block) along the normal direction on the
(hid) plane, X is the wavelength of the applied x-
ray, f3j is the physical width of the diffraction
line on the diffractogram, and 0 is the corre­
sponding diffraction angle for the analyzed (hid)
line.
(a) Variation of interplanar spacing, ci, and the v|/ angle according to the orientation of the reflecting close-
Fig. 8
packed planes with respect to the stress direction, (b) Dependence of 20¥ diffraction angle on sin2 y. Source:
Ref 5
(Eq 6) However, experimental results have empha­
sized that the above enlargements are propor­
tional to tan 0 and are independent of X. This
disagreement could be explained if larger aver­
age crystallite sizes are taken into consideration
(about 10 ~4 cm) in order to avoid the enlarge­
ment of the diffraction lines and the deformation
(Eq 7) of each crystallite due to the presence of second-
order stresses.
Assuming the existence of second-order resid­
ual stresses within the lattice of a stressed mosaic
block, then certain close-packed planes should
exist with altered interplanar spacing, under the
form dhkl — a ± Aa.
The nonhomogeneity degree of the interplanar
spacing, designated by r)(r| = A did), can be de­
termined by three methods known as direct
method, approximation method, and harmonic
analysis method.
The direct method allows evaluation of sec­
ond-order residual stresses (ou) by means of the
nonhomogeneity degree of the interplanar spac­
ing expressed as:
T] = JB 2 - B¡/4aR tan 9
where B0 is the experimental width of the dif­
fraction line of the standard specimen, B is the
experimental width of the diffraction line of the
analyzed specimen, a is the photometer "‘param­
eter,” namely the ratio between the paper speed
and the counter speed, R is the radius of the cy­
lindrical chamber, and 0 is the diffraction angle
corresponding to the diffraction line imder study.
The approximation method considers that
both the second-order internal microstrains and
the breaking of mosaic blocks with dimension
Dhkl < 10 pm cause a supplementary enlarge­
ment of the diffraction lines. When the physical
width p,, corresponding to dimensions Dm <
0.1 pm, is influenced only by the microstresses
or only by the mosaic blocks, then one of the
(Eq 8)
following conditions must be hue: p2/Pi = tan
02/tan0! or p2/Pi = cos 0,/cos 02, respectively,
where 0! and 02 are angles and and p2 the
widths corresponding to the diffraction lines
originating from the same reflecting plane but
obviously with different reflection orders, that is,
the planes (hid) and (nh, nk, nl), respectively.
When the actual width of the diffraction tine
is influenced both by the small size of mosaic
blocks and the presence of second-order residual
microstresses, then the influences may take a
Gauss (G), a Cauchy (C), or a Lorentz (L) form.
For any combination imder the form G-G, C-C,
L-L, G-C, G-L, C-L, the physical width of the
diffraction line becomes:
P- (Eq 10)
j M(x)N(x)dx
where M and N are any of the distribution func­
tions associated with the widths rn and n (m is
the physical width of the line caused by the in­
fluence of mosaic blocks; n is the physical width
affected by second-order residual microstress).
Considering a combination of the type L-C,
the size of the mosaic blocks may be expressed
according to Eq 8, and the nonhomogeneity de­
gree of the interplanar spacing becomes q = Ad/
d = n2¡(4 tan 02), where 02 is the diffraction
angle corresponding to the large indices line (nh
nk nl). The determination of n2 is graphically
performed according to the constructive diagram
(Eq 9) in Fig. 9, by means of the curves N = f(P2/Pi)-
Second-order residual stresses are evaluated
according to Hooke’s law with the relationship:
on = q • E (in MPa) (Eqll)
where E is the longitudinal electricity modulus
of the material imder study.
The harmonic analysis method consists of
both the decomposition of the diffraction line
profile into Fourier series and the consideration
of the width influenced by microstrains. When
the mosaic blocks are large, the enlargement of
the diffraction line may represent a direct mi­
crostress evaluation. If besides the microstresses
small mosaic blocks also exist, then the Fourier
coefficient A„ corresponding to the physical
width of the diffraction line, p, will be:
An=A°dA? (Eq 12)
where A® andAJj are the Fourier coefficients re­
vealing the influence of the presence of mosaic
blocks and the second-order microstresses, re­
spectively, on the diffraction-line enlargement.
By the logarithmation of Eq 12, under the con­
dition AJ¡ = exp( — 2/2l2(Z2)), it follows that:
lo4„ = ln4° - 2tc21 2 (Zl) (Eq 13)
Knowing An for several tines that differ from
one another by the interference order, the rela­
tionship In A„ = f(H2 + K2 + L2) can be ob­
tained for n = 1,2, . . . , which leads to the fact
that the slope of both obtained straight lines
equals (Z2) and their intersection with the coor­
dinate axes is In A%. In the above relationship
(Z2) represents the average component of the de­
formation vector on the direction a3, from the
space ata2a3 (Ref 19).
If the indices (nh nk nl) designate a line of the
ripe (001), (002), (003),..., then the relationship
In An = f(l2j) represents a straight line, as shown
in Fig. 10. It should be noted that the dependen-
 Effect of Cryogenic Cooling of Residual Stresses, Structure, and Substructure / 335

cies in Fig. 10 have the tendency to curve toward
low or toward high values o f n , revealing the fact
that the shape of the diffraction line undergoes a
more intense influence of the mosaic blocks or
the second-order micro strains, respectively.
Evaluation of Third-Order Residual
Stresses. Heat and/or mechanical treatments can
cause a tliird stressing mode consisting of the
displacement of a restricted group of atoms from
their ideal positions. The change of the diffrac­
tion image due to the presence of third-order
stresses seems to be analogous to that deter­
mined by the thermal agitation of atoms within
crystals. For this mode of motion, a temperature
factor, e _2M, can be introduced as:
M = S tz 2 (UI) sin2 9/X2 mal oscillations of atoms within the crystals and/
or by the displacement of atoms from their ideal
(Ul) = >/3 (U 2 ), (U 2 ) positions, has dynamic character, having been
designated as dynamic deformation, character­
where (U2) is the average of the square displace­
ized by {Ul). Another kind of imperfection is
ments of atoms on a given direction and (IJ\) is
caused by the static displacements of atoms, Us,
the average of the square dynamic displacements
from their ideal position (due to the difference
of atoms from their ideal positions at the tem­
between the atomic sizes or to the instability in­
perature T, determined as:
duced by the heat and/or mechanical treat­
9 h2T ments).
(Eq 14) According to Hooke’s law, the above dis­
4tü2/z-»3-92
placements (considered microstrains) are asso­
where cp(0/7) is the Debye function and 0 is the ciated with the residual microstresses, also called
Debye temperature. third-order residual stresses. Both the third-order
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
nated by e-2k and analogous to the thermal dis­
placement, where:

sin 29
k= (Eq 15)
X2

The evaluation of the microstrain (Uf), in

solid solutions, is accomplished by eliminating
the influence of thermal oscillations, since a
1.1 1.3 1.5 1.7 1.9 2.1 2.3 2.5
standard pure annealed steel specimen is used.
0 10 20 30 40 50
Using recorded diffraction spectra, the intensi­
fyPi h 2 + k 2 +1 2 ties of the diffraction peaks can be measured
Fifi 9 DePer|dence of the distribution functions M(x) Fie. 10 Family of linear dependencies [In A„ - (nh nk both for the analyzed and the standard speci­
® and N(x) on the ratio of the physical widths of n/);(/f + k 2 + I 2 ); n = 1,2, 3, ...] for a brass mens, 7sp and I&, respectively. It follows that:
diffraction lines (110) and (220), recorded for high-speed with 30% Zn that underwent three deformation degrees,
steel by means of Mo Ka 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 In(/*//„) = 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 Young’s Poisson’s Characteristic Miller indices of the Diffraction Coefficient
(the matrix) type parameter, 10 mm modulus (5), GPa ratio v x-ray radiation diffraction planes khl angle, 20/ K(a) (Eq 7)
aFe (ferrite-martensite) bcc 2.8664 20.6-21.6 0.28-0.3 CrKa (211) 156.08 -30.33
Co Ka (310) 161.35 -23.51
yFe (austenitic) fee 3.656 19.22 0.28 Cr Kp (311) 149.6 -36.26
Mn Ka (311) 154.8 -29.87
Brass or aluminum fee 4.049 6.90 0.345 Cr Ka (222) 156.7 -9.40
Co Ka (420) 162.1 -7.18
Co Ka (331) 148.7 -12.78
Co Ka (333) 164.0 -6.41
Copper fee 3.6153 12.73 0.364 Cr K|) (311) 146.5 -25.00
Co Ka (400) 163.5 -12.04
Cu Ka (420) 144.7 -26.42
Brass 4-6 bcc 9.04-5.45 0.38-0.27 Co Ka (400) 150.0 -15.62
fee Co Kf) (331) 145.0 -18.38
Co Ka (321) 155.5 -8.30
Brass 7-3 fee 9.04 0.38 Co Ka (400) 151.0 -15.08
Co Ka (331) 146.0 -17.83
Copper-nickel fee 3.595 13.00 0.333 Co Ka (400) 15.84 -16.55
Tungsten carbide fee a = 2.91 52.42 0.22 Co Ka (121) 162.5 -58.84
hep b = 2.84
c = 0.976
Titanium hep 2.9504 11.35 0.321 Co Ka (114) 154.2 -17.51
bcc Co Ka (222) 142.2 -26.17
Nickel fee 3.5238 20.80 0.31 Cr KP (311) 157.7 -27.88
Cu Ka (420) 155.6 -29.53
Silver fee 4.0856 8.11 0.367 CrKa (222) 152.1 -13.11
Co Ka (331) 145.1 -16.60
Co Ka (420) 156.4 -11.03
Chromium bcc 2.8845 Cr Ka (211) 153.0
Co Ka (310) 157.5
Silicon Diamond 5.4282 Co Ka (531) 154.1

(a) K = [-5/2(1 + v)] ■ cot 0O ■ jc/180. Source: Ref 17

336 / Residual Stress During Hardening Processes
Thus, the microstrain U\ becomes:
2 4 k 2 2kk 2
(Eq 17)
3 3a2 sin20
where M' and M from Eq 16 are thennal coef­
ficients previously determined by means of the
evaluation of Debye temperature.
A cryogenically cooled steel would certainly
contain third- and second-order residual stresses,
and first-order stresses might also exist. In this
case, for the evaluation of third-order residual
stresses, a rather large number of diffraction
lines will be chosen, corresponding to the values
of the sin2 8/X2 parameter that are less than 0.36
A-2 in such a way that second-order residual
stresses are neglected.
Influence of Cryogenic Cooling on
Residual Stresses and Dimensional
Stability of Steels
As emphasized in the previous section of this
article, heat and/or mechanical treatments cause
“anomalies” within the fine structure of metallic
materials that are diffiactometrically noticeable
by both an enlargement and a displacement of
the maxima of the diffraction lines. These
“anomalies,” which are directly correlated with
the substructure elements, are usually located ei­
ther on the crystallite level or within the slip
planes that occur in the crystallite structure.
However, not all of the substructure elements are
pragmatically interesting from both technical
and scientific points of view. In practice, mostly
the density of dislocations, the size of the mosaic
groups, and the second-order strains (stresses)
are of particular interest.
Influence of Cryogenic Cooling on the
Residual Stresses
The quantitative evaluation of second-order
residual stresses is based on the enlargement ef­
Dynamics of second-order residual stresses as a function of the cooling temperature, for the heat treatment
Fig. 11
experimental variants from Fig. 2 applied to SEW 320 S 3.3.2 steel. Source: Ref 20
fect of the diffraction lines, caused by the si­
multaneous existence of both compression and
tension in either Hie crystalline lattice or in mo­
saic blocks.
As mentioned in the section “Evaluation of
Residual Stresses after Cryogenic Cooling,” the
temperature drop within the cryogenic range is
expected to reduce the residual stresses. This ef­
fect has been emphasized in the research per­
formed on high-speed steel SEW 320 S 3.3.2
(Fe-3Mo-2V-0.98C, wt%) (Ref 18), heat treated
according to the variants A to G shown in Fig.
2. Figure 11 shows the variation of second-order
residual stresses as a function of the cooling tem­
perature in the case of S 3.3.2 high-speed steel.
It is obvious that second-order residual stresses
decrease from about 300 to almost 100 MPa,
while the temperature drops deeper within the
cryogenic field. Therefore, cryogenic cooling re­
duces these residual stresses to less than one-half
of their initial value. In fact, cryogenic cooling
has the same effect on the level of residual
stresses as does tempering when applied after
classical quenching.
The number of tempering treatments signifi­
cantly reduces the magnitude of residual stresses
(compare, for instance, the variant B to the var­
iants E or A), and if the effect of cryogenic cool­
ing is also added, then the steel is almost com­
pletely stress relieved. The final stress value of
100 MPa is close to the usual value of the elastic
stresses within the equilibrium crystalline lattice.
The experimental values of the residual
stresses, evaluated in the steel that has been cry­
ogenically cooled at 153 and 77 K, are not sig­
nificantly different; therefore a cooling per­
formed at a temperature close to the industrial
heat treatment temperature (203 K) appears to be
sufficient. Thus, after a treatment performed at
203 K the stress decreased from 1.33 X (in the
case of variant Dj to 1.62 X (variant G,). These
decreases range from 1.40 X (variant D2) to
1.82 X (variant G2) after a cooling performed at
153 K and from 2.03X (variant D3) to 2.47X
(variant G3) after cooling to 77 K. It is obvious
that the heat treatment G variants, due to their
multiple tempering, have always caused a more
significant decrease with 18 to 23% of the stress
state, as compared to the D variants.
Since the stress-temperature dependence
shown in Fig. 11 is linear, the crystalline lattice
of Hie cryogenic ally treated steel undergoes elas­
tic relaxation with the decrease in cooling tem­
perature. In fact, it appears that the actual values
of the second-order residual stresses are a little
higher at 77 K than at the ambient temperature
(where the measurements have been perfonned
because in situ measurements were impossible)
because during the heating back up to the am­
bient temperature the martensite amount slightly
increases, as shown in Fig. 7.
Influence of Cryogenic Cooling on the
Dimensional Stability of Steels
The achievement and use of both high-preci­
sion mechanical equipment and tools for mea­
suring and verifying require obtaining parts and
tools with geometries that have extremely ac­
curate tolerance and that must be presewed un­
changed m time. Therefore, both parts and tools
require dimensional and shape stability; that is,
their structure must be as stable and as stress
relieved as possible.
The most common heat treatment applied to
the majority of parts and tools consists of
quenching and one or several subsequent tem­
pering treatments. The resulting structures con­
tain tempered martensite and, according to the
tempering conditions, a lower or higher amount
of retained austenite. However, both these
phases are metastable and, when held within a
thermal range close to ambient temperature, they
slowly evolve toward more stable conditions.
This natural evolution is accompanied by con­
traction and expansions that are the main causes
of dimensional and shape variations.
Cryogenic cooling affects dimensional stabil­
ity by acting on those defonnation sources that
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
amounts of carbon or alloying elements. Within
the negative temperature range that represents
only Vi to Zs of the total temperature drop during
ordinary quencliing, just a small amount of aus­
tenite transforms to martensite. The largest
amount of martensite was fonned after ordinary
quenching.
After extensive research, G. Murry (Ref 21)
introduced several heat treatment schemes in or­
der to ensure a fair dimensional stability, ac­
cording to two steel categories.
Steels for which Retained Austenite De­
composes at 473 to 673 K. In this case, the
retained austenite can be reduced by cryogenic
cooling, by tempering at 523 K, or by a combi-

nation of these treatments. The following pro­
cedures can be applied:
• Procedure A: Austenitizing and quenching to
ambient temperature, immediate cooling to
163 K, maintaining this temperature, and then
slow heating back to room temperature fol­
lowed by a stress-relieving tempering at 423
to 473 K
• Procedure B: Austenitizing and quenching to
ambient temperature, immediate cooling to
163 K, maintaining this temperature, slow
heating back to room temperature, and tem­
pering at 523 to 573 K, which achieves the
total decomposition of retained austenite.
• Procedure C: Austenitizing and quenching to
ambient temperature and tempering at 523 to
573 K with tire same effects as above
Procedure A obtains the maximum values for
hardness and wear resistance in steels, because
the very low retained austenite amount, which
has been observed within the microstructure, can
be neglected as long as the treated parts work at
ambient temperature or at temperatures lower
than 473 to 523 K. Procedures B and C cause
the complete disappearance of both retained aus-
0 400 800 1260 1600
Time, h
pig \ 2 Dimensional variation of an alloy steel, with
® I % C and 1.5% Cr, during a long period at 348
K, of a classically (A) and a cryogenically (B) heat treated
specimen. (The Mikus diagram). Source: Ref 21
Table 2 Applied heat treatment variants and the resulting Vickers hardness, in the case of
several low-alloy steels
Steel Heat treatment variant Austenitizing
02 SAE A 1098 K for 30 min
B 1098 K for 30 min
C 1098 K for 30 min
L2 AISI A 1123 K for 15 min
B 1123 K for 15 min
C 1123 K for 15 min
D 1123 K for 15 min
Source: Ref 21
Table 3 Applied heat treatment, with the aim of improving dimensional stability, in the
case of several supercarburized high-speed steels
Austenitizing Quenching Cryogenic cooling
1523 K for 10 min Oil Yes
1523 K for 10 min Oil Yes
1523 K for 10 min Oil No
1523 K for 10 min Oil No
Source: Ref 21
Effect of Cryogenic Cooling of Residual Stresses, Structure, and Substructure / 337
tenite and residual stresses. Consequently, a high temperature, slow heating back to room tem­
dimensional stability is achieved; however, both perature, and tempering to 823 K
hardness and wear resistance are reduced. It • Procedure D: Austenitizing and quenching to
should be noted that Procedure C is more eco­ ambient temperature, tempering at 873 to 923
nomical and productive compared with the other K, and subsequent tempering to 823 K
two. Procedure A can leave a very small amount of
Steels for which Retained Austenite De­ retained austenite that does not exist during Pro­
composes at 823 to 973 K. This category in­ cedures B, C, and D due to their high tempering
cludes alloy steels with elements that form stable temperatures. These tempers are performed at
carbides such as tungsten, molybdenum, and va­ 873 to 923 K, which is the maximum tempera­
nadium. They belong to the class of high-speed ture range applicable when fair hardness values
steels for which high amounts of retained aus­ are required. The service temperature for this
tenite (18-60% Aj.et) are obtained after classical category of steels can reach 673 to 723 K without
quenching. It should be noted that this retained causing dimensional stability problems, provid­
austenite is highly stable from a thermal point of ing two successive tempers have been applied.
view. The cryogenic treatment applied to this The cryogenic treatment followed by tempering
categoiy of steels has a high efficiency. It is usu­ represents an additional guarantee for obtaining
ally accompanied by one or two tempers meant high dimensional stability.
to achieve both the prescribed hardness and the In order to prove the effectiveness of cryo­
improvement of steels properties. The following genic treatment on dimensional and shape sta­
procedures are applicable: bility, Murry (Ref 22) analyzed several steels to
• Procedure A : Austenitizing and quenching to which both ordinary and cryogenic treatments
ambient temperature, immediate cooling to were applied. The applied treatments and the re­
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-
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
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
ambient temperature, immediate cooling to ing tempering temperature applied after
163 K, maintaining this temperature, slow quenching.
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
cryogenic cooling to 163 K, maintaining this cantly decreases after the cryogenic treatment
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
pering to 823 K variants B and C. Thus, the above heat treat­
• Procedure C: Austenitizing and quenching to ments can be classified according to their in­
ambient temperature, tempering to 873 to 923 fluence on the dimensional stability: D, the
K, cooling to room temperature followed by
lowest stability; A and C, average stability;
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 wrear
resistance over treatment C. The same aspects
are also revealed in the case of the supercar­
Quenching Cryogenic cooling Tempering Vickers hardness
burized high-speed steels under study.
Oil Yes 448 K for 1 h 861 In general, the results offered by Murry have
Oil Yes 523 K for 1 h 712 proved that by using cryogenic cooling it is pos­
Oil No 523 K for 1 h 969 sible to obtain a high dimensional stability with
Oil Yes 448 K for 1 h 826
Oil Yes 523 K for 1 h 715
out decreasing the hardness and wrear resis­
Oil No 523 K for 1.5 h 696 tance of steels.
Oil No 448 K for 1 h 802 Figure 12 shows the dimensional evaluation,
during a long period at 348 K, of two specimens
made from alloy steel (1% C, 1.5% Cr)—one
classically treated (A) and the other cryogeni­
cally treated (B). In this way, the transformations
occurring in both austenite and martensite can
Tempering K Cryogenic cooling Tempering, K Vickers hardness be analyzed and understood, especially during
823 Yes 823 888 the service regime of the parts.
873 Yes 823 897 Specimen A, subjected to a classical treat­
873 Yes 823 914 ment, continuously expands in time due to the
873 No 823 905
presence of a high-retained austenite amount at
ambient temperature. This expansion is caused
by the decomposition of the retained austenite
338 / Residual Stress During Hardening Processes

that is accompanied by an important volume in­
crease. Specimen B underwent a cryogenic heat
treatment immediately applied after quenching
and consequently contains an extremely low
amount of retained austenite. During the long pe­
riod at 348 K, the quenching martensite under­
goes the first stage of tempering, namely the de­
crease of the tetragonality degree that causes a
continuous contraction. This contraction contin­
ues to occur after 10 tempers at 348 K, since
there is still tetragonal martensite that did not
transform to cubic martensite. However, if spec­
imen b was subjected to the same tempering (10
h at 348 K) as specimen a, tempered martensite
Relative shrinkage, pm/m
Fig. 13 Dependence of hardness on the relative shrink­
age observed during tempering. Source: Ref 5
would occur and any contraction would no
longer be observed.
In conclusion, two phenomena were found re­
sponsible for the variation of dimensional sta­
bility of quenched steel parts: the transformation
to martensite of the retained austenite left after
quenching, which is accompanied by an increase
of volume, and the evolution of metastable te­
tragonal quenching martensite toward more sta­
ble cubic tempered martensite, which is accom­
panied by a contraction. In order to avoid both
the subsequent expansions and contractions, the
most effective procedure would be to eliminate
both the retained austenite by means of cryo­
genic cooling and the tetragonal martensite, re­
spectively, using low tempering. However, par­
ticular care is to be taken when choosing both
the temperature and the maintenance period for
tempering since the contraction, occurring dur­
ing the formation of tempered martensite in ei­
ther oil or cryogenically quenched steels, is al­
ways accompanied by a sensible decrease of
hardness. Such an effect is shown in Fig. 13,
which shows the Vickers hardness decreasing as
the relative shrinkage increases during the tem­
pering heat treatment applied to a full martensitic
steel part.
Table 4 lists several variants of heat treatment,
including cryogenic cooling, applied for the di­
mensional stabilization over time of AISI D2
steel.
A high-speed steel, grade AISI M1, was either
classically or cryogenically heat treated (Ref 10)
according to the same variants shown in Fig. 2
for high-speed steels (SEW 320) S 3.3.2. The
dimensional variation of heat treated AISI Ml
steel, after five different storage periods (i.e., 10,
20, 50, 80, and 110 days) proved to be propor­
tional to the retained austenite amount (A,^) and
therefore also to the residual stress decrease, as
listed in Table 5.
The dimensional variations as a function of
the storage periods described for AISI Ml steel
heat treated according to several variants (illus­
trated in Fig. 2) are shown in Fig. 14. After about
three months of storage, the relative dimensional
variations of the cryogenically treated specimens
are extremely low—less than 0.1 pm/mm, in
particular, 0.074 pm/mm for variant D3 and
0.085 pm/mm in the case of variant Gb as
shown in Fig. 14.
The usual procedure used for analyzing the
dimensional stability of different heat heated
steel grades is based on the so-called French
specimens. The typical geometry of a French
specimen is shown in Fig. 15. In order to point
out the superiority of the heat treatments applied
below room temperature compared with classi-

Table 4 Heat treatment variants applied for

the dimensional stabilization in time of AISI
D2 steel
Dimensional
variation after
He at tre atment var iant 3 months
1. Austenitizing 1283 K, water — 0.012 |tm/mm
([uenching
2. Cooling at 77 K
3. Stress relieving for 1 h at 593 K,
oil quenching (63 HRC)
1. Austenitizing 1283 K, water — 0.002 (tm/mm
quenching
2. Cooling at 77 K
3. Stress relieving for 1 h at 763 K,
oil quenching (63 HRC)
4. Resuming three times operations 2
and 3
5. Stress relieving for 1 h at 503 K,
air cooling (59.5 HRC)

Table 5 Variation of the h typical dimension of French specimens, made from AISI M1 heat
treated steel
Heat treatment Retained austenite (AA/*)0(a), (AA/fc)l(a), (Ah/h)2(a), (AA/7/)3(a), (Ah/h)4(a), (AA//05(a), Sf (A hfh)i0)
variant (Fig. 2) (A„t), % pm/mm pm/mm pm/mm pm/mm pm/mm pm/mm pm/mm

B 14.6 52 3.9 1.1 0.76 0.52 0.38 + 6.66

Di 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
Gl 5.1 81 0.36 0.26 0.12 -0.1 -0.085 0.555
o2 4.6 109 -0.25 -0.18 -0.2 0 -0.16 -0.75
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 [(Ah/H)0]; after 10 days [(Ah/H)\], after 20 days [(Ah/h)2], after 50 days [(Ah/
pjo -j 5 Schematic of a French specimen, with standard
K)3]; after 80 days [(Ah/K)4]; and after 110 days [(Ah/K)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
UNS K19667 ball-bearing steel (Fe-l.lMn-
0.55SÍ-1,6Cr-0.98C) were heat treated according
to the specific variants illustrated in Fig. 16.
The typical dimensions of the heat treated
French specimens—namely, D, d, and h—have
been measured after 20 days and after 30 days
of storage at room temperature as well as after a
short exposure at 373 K (in boiling water). The
results have been designated by the subscripts 2,
3, and 4, respectively, while subscript 1 corre­
sponds to the dimensions of heat treated speci­
mens. Therefore, the dimensional differences
have been designated as A2_ \ = (D2-Di); (dz-
d\)\ (J^2~hi)5 A3_! = (.D3-Di); (d3-d{); (h3-h}),
A4 _ j = (Da-Da)\ (d4-dx); (hA-hA) and are il­
lustrated in Fig. 17(a), (b), and (c), correspond­
ing to the 20 days storage, the 30 days storage,
and the 373 K exposure, respectively.
The data in Fig. 17 show that the narrowest
spreading of the dimensional differences occurs
in the case of specific heat treatment variant V,
which comprises cooling to 203 K followed by
tempering to 503 K. The largest variations are
noticed in the case of typical dimension h and
occurred in the French specimens tempered at
373 and 423 K (heat treatment variants III and
IV, respectively) both after 20 days of storage
(Fig. 17a) and after 30 days of storage (Fig. 17b).
The other variants are less significant, with the
lowest values shown in Fig. 17(c), correspond­
ing to a short 373 K heating.
In the case of the heat treatment variation II,
which includes no tempering after the cooling
performed at 203 K, it is noticeable that residual
stresses largely influence the dimensional stabil­
ity due to the stress-relieving phenomenon. As
the tempering temperature—applied after
quenching at 203 K—reaches the upper admis­
sible limit, the dimensional variation increases
during heat treatment. However, the dimensional
stability improves in time due to the stress re­
lieving that occurs in the ball-bearing heat
treated steel. From this viewpoint, the heat treat­
ment variants designated by IV and V led to the
best results in the case of UNS K19667 ball­
bearing steel.
If these phenomena are considered with re­
spect to residual stresses, which represent file
only driving force for direct martensitic trans­
formation, since the transformation becomes
more and more difficult as the temperature de­
creases, it follows that the stresses also diminish
with decreasing cooling temper atoe. A slight in­
Fig. 16 Specific heat treatment variants applied to French specimens made from UNS K1 9667 steel. Source: Ref 5
Effect of Cryogenic Cooling of Residual Stresses, Structure, and Substructure / 339
crease is noticed, however, during the heating
from cryogenic temperature back to ambient
temperature due to the small amount of retained
austenite that partially transforms to martensite.
These results and discussion have proved that
cryogenic cooling followed by low tempering (in
order to maintain a high hardness value) repre­
sents a safe and effective procedure for the in­
crease of dimensional and shape stability of pre­
cision parts and tools. Since cryogenic cooling
achieves both an increase of quenched marten­
site and a considerable quantitative decrease of
residual stresses, all international research car­
ried out to date has emphasized its opportunity
and advantages as an effective, practical heat
treatment.
Influence of Cryogenic Cooling on
the Structure and Substructure of
Steels
The structure, or in other words the phase
composition, represents an important feature of
the quality of metallic materials. The phase
amounts and mostly the phase ratio are respon­
sible for the values of several important prop­
erties of metallic materials, such as hardness,
toughness, dimensional and thermal stability,
durability, fatigue life, wear resistance, and so
on. Thus, it is well known that retained austenite
deteriorates the service properties of the tools
and machine parts manufactured from quenched
steel, due to its specific characteristics and
mostly to its high instability.
As previously pointed out, applying one or
more tempers might not always be the most ef­
fective way to reduce the am omit of retained aus­
tenite, because of the marked decrease of hard­
ness, mechanical strength, and wear resistance
that partially cancels the positive effect of re­
tained austenite transformation. For this reason,
a more effective method could be cryogenic
cooling. However, because of the rather low
amount of retained austenite (less than 15%) left
by classical quenching in the microstructoe of
plain-carbon and alloy steels it appeared that cry­
ogenic cooling would not cause marked addi­
tional microstructoe improvements compared to
ordinary quenching. However, the structure of
cryogenically cooled metallic materials proved
to be much more uniform and dense. In addition,
cryogenic cooling has induced the occurrence of
very fine carbides, with dimensions less than 1
pm, which occupy the microvoids and contribute
to the increase of both density and coherence
within the metallic material. The microcarbides
that have been identified and counted by quan­
titative electronic microscopy are mostly respon­
sible for the increase of wear resistance as w'ell
as other properties of cryogenically treated
steels.
Unlike surface treatments, the structural
change induced by cryogenic cooling is uniform
and takes place within the entire volume. Con­
sequently, a cryogenically treated tool will un­
dergo no sudden changes of structure until it is
completely worn out, no matter which mechan­
ical manufacturing operations (such as finishing,
sharpening, and so on) it subsequently under­
goes. Therefore, the cryogenic treatment causes
a permanent irreversible molecular change (Ref
24).
Two micrographs (Fig. 18) emphasize the mi-
crostructoal effects caused by cryogenic cooling
on the phase structure of classically quenched
SEW 320 S 3.3.2 steel. Figure 18(a) is a micro­
graph of S 3.3.2 steel after a classical heat treat­
ment (oil hardening followed by 2 to 3 tempers)
corresponding to the variant B in Fig. 2. It is a
usual microstructoe comprising primary and
secondary carbides embedded into a matrix com­
posed by tempered martensite and retained aus­
tenite representing 10% of the phase amount.
The microstructoe in Fig. 18(b) is the same
steel, but it underwent a cryogenic cooling and
a subsequent stress-relieving tempering, in ac­
cordance with the variant D3, illustrated in Fig. 2.
Besides stress relieving, file tempering heat
treatment enables both microcarbide precipita­
tion and alloying element respreading. For fins
reason, the observed structure has become more
uniform, revealing a regular distribution of fine
microcarbides with sizes less than 1 jrm within
a matrix formed mostly of tempered austenite,
since the retained austenite amount is about
1.1 %, detectable only by x-ray diffraction. In ad­
dition, the lowrer both cooling and maintaining
temperature within the cryogenic range (203-77
K), the more uniform and refined the structure,
compared to Fig. 18(a).
For those tools made of high-speed steel that
exhibit complex configurations as well as abrupt
passes of the cross section, cryogenic cooling
can be applied between two tempers, according
to file heat treatment variant designated by G in
Fig. 2. The final tempering has a special part
consisting on one hand of the distr ibution 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.
By twice repeating the cryogenic cooling-tem­
pering sequence, according to the variants des­
ignated by H and I in Fig. 2, as well as by in­
creasing the number of tempers, according to the
variants K and M, the precipitated carbides dur­
ing the first tempering would coagulate, thus
causing a structural nonuniformity, as depicted
in Fig. 19. In fact, among the heat treatment var­
iants for high-speed steels shown in Fig. 2, the
340 / Residual Stress During Hardening Processes
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
Fig. 19 Microstmcture of T1 heat treated high-speed
® steel after a double cryogen ic cool ing temper­
ing sequence according to the variant H from Fig. 2. Mi­
cron bars = 10 pm. Source: Ref 25
Temperature, K
variants designated by D, and under certain cir­
cumstances also the variants G, proved to have
the most homogeneous and uniform microstruc­
tures.
Similar microstructural aspects have been ob­
served after the cryogenic cooling of plastic de­
formation tools manufactured from chromium
steels, plain-carbon tool steel s, carburized or car-
bonitrided steels, or from ball-bearing steels. For
these steels, only the variants designated by D,
I, and K in Fig. 2 are applicable, for which cry­
ogenic cooling is a continuation of ordinaiy
quenching.
The influence of cryogenic cooling on the
amount of retained austenite, after several heat
treatment variants (Fig. 2) applied to some tool
steel grades, such as SEW 320 S 3.3.2, AISIT1,
Ml, M2, D2 is described in Table 6. Tempering
at 813 to 853 K, after cryogenic cooling, causes
martensite stress relieving as well as a slight in­
crease of the martensite to the detriment of aus­
Temperature, K
tenite. Thus, the retained austenite amount can
reach 3.9% for Ml steel and 1.1% for S 3.3.2
steel.
As previously pointed out, for those tools and
machine parts that exhibit abnipt 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
Ml steels the variant G did not cause spectacular
de«eases 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 ofhigh-allqy steels
also contains a carbide phase. The carbide pre­
cipitates are particularly influenced by cryogenic
cooling regarding their development, quantity,
dimensions, and distribution.
A ctiffractometric study (Ref 23) performed on
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
genic heat treatment variants reveals an increase
of the amount of carbide in alloying elements.
At the same time, it was noticed that the sum of
the carbide-forming elements that take part in
carbide formation decreases after cryogenic
cooling. This means that the martensitic matrix
grows rich in alloying elements after cryogenic
cooling, and this might explain the observed im­
provements of hardness and cutting perfor­
mances at the tools made from cryogenically
cooled high-speed steels.
Chemical analysis of the carbide extracts, ob­
tained from several heat treated high-speed
steels, revealed much different structures and re­
distribution of alloying elements among the ma­
trix and the carbide phase, at the variants that
include cryogenic cooling compared with the
classic heat treatment variant. This fact is em­
phasized in Fig. 20, which shows the repartition
of the most important carbide-forming alloying
elements (Cr, Mo, W, and V) among the matrix

and the carbide phase as a function of the cryo­
genic cooling temperature in the case of M2
steel. The curves illustrated in Fig. 20 delineate
the two domains among which the carbide-form­
ing alloying elements are distributed: the matrix
(the upper field) and the carbide phase (the lower
field, under the curves). From Fig. 20 it is ob­
vious that the lower the cryogenic cooling tem­
perature the richer the matrix, in carbide-forming
elements, and therefore the higher the hardness
and the cutting characteristics of high-speed
steel.
Other researchers (Ref 21, 23) have empha­
sized that the increase in the iron amount within
the carbides might be an argument for the for­
mation of the (MFe) C-type complex carbide
6 cubic lattice and very stable. Their amount de­
with high iron content and eventually for the de­
Table 6 Influence of the heat treatment
alloy tool steels
Heat treatment Cryogenic
variant Quenching cooling to 203 K
AISI T1 steel
B 27
G 27
H 27
I 27 12
K 27 12
M 27
AISI M2 steel
B 21
D 21 7.5
H 21
G 21
SEW 320 S 3.3.2 steel
B 29
D 29 8.2-3.3(a)
G 29
AISI Ml steel
B 20.1
D 20.1 7.2-5.4(a)
G 20.1
AISI D2 steel
E 10.1
D 10.1 6 4.2
I 00.1 6 4.2
(a) Values determined after cryogenic cooling to 77 K.
Matrix
V.
V (Jm) has the same or lower magnitude order and
\N
\--------
Carbid BS
i i
273 223 203 173 153 123
Temperature, K
F¡o 20 Dynamics of the repartition of the most impor-
® tant carbide-forming alloying elements among
matrix and carbides as a function of the cryogenic cooling
temperature, in the case of M2 steel, heat treated according
to the variants D (open circles) and G (X data points).
Source: Ref 20
Effect of Cryogenic Cooling of Residual Stresses, Structure, and Substructure / 341
composition of (MFe) C-type complex carbide
2 The other carbides, such as trigonal Cr C and 7 3
with low iron content (where M is metal). This orthorhombic Cr C 2 ,
3 are slightly increasing,
fact is expressed by the increase of the ratio of which compensates for the decrease of the
those carbides that contain high iron amounts, Cr C amount. All chromium carbides have a
23 6
and this increase leads to a quantitative augmen­ rather low iron content (Ref 20).
tation of the carbide phase within the steel. In the case of S 3.3.2 steel, the decrease in the
The qualitative and quantitative determination cryogenic cooling temperature also determines a
of carbides has been accomplished using diffrac- reduction in the total amount of vanadium car­
tometric analyses performed on carbide pow­ bides (VC and V C), which usually undergo sec­
2
ders, extracted by electrolytic decomposition of ondary precipitation due to the decrease in the
the high-speed steel matrix. number of tempers. It can be seen in Fig. 21 that
The diagram illustrated in Fig. 21 presents a the decrease of cryogenic cooling temperature
decrease of the total chromium carbide amount, induces an increase of tungsten carbide. Tung­
as much as 30%. Chromium can form carbides sten carbide can be cubic WC, hexagonal W C, 2
of the Cr C 6 -type that are primary, coarse, with
23 and complex cubic Fe W C. Disregarding the
3 3
evolution of the amount of WC and W 2 C car­
creases with the cryogenic cooling temperature. bides, cryogenic cooling determines an increase
in the amount of Fe W 3 C carbide with high iron
3
content. With regard to hexagonal Mo 2 C car­
variant on the retained austenite in several high- bide, Fig. 21 shows that after cryogenic cooling
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.
First Cryogenic cooling Second Cryogenic Third Besides the increase in both martensite and
tempering to 203 K tempering cooling to 203 K tempering
carbide, the improvement of cutting character­
istics of the tools made from liigh-alloy steel,
24 16 10
after cryogenic cooling, can be also ascribed to
23 19 9
24 18 10 5 3 the changes produced in the size and distribution
9 7 0 of the carbide phase.
9 5 The values of the qualitative and quantitative
24 16 8 0
parameters of the carbide phase are listed in Ta­
17 11 8 ble 7 for some liigh-alloy steels. The measure­
2.25 ments were performed by means of a Quantimet
17 13 3.64 1.65 0 720 quantitative microscope equipped with a
17 13 3.6 3.6
computer interface. The determined parameters
23 17 10 are: A, the total surface occupied by the carbide
6.25-1.1(a) phase (%); I, Hie total sum of carbide dimensions
23 8.3-3.5 (a) 5.2-1.9(a) on surface unit (mm/mm 2 ); Irn, the average size
of carbides (mm); Nc, the total average number
16.7 15 14.6
7-3.9(a) (density) of carbides on square millimeter
16.7 8.5-4.8(a) 5.1-3.8(a) (mm -2 ), and the carbide density is distributed
according to the dimensional ranges: 0 to 0.5
7.2
jmi, 0.5 to 1 jim, 1 to 2 jim, 2 to 4 jim, 4 to 8
3.9 3.3 jun, 8 to 16 jim, 16 to 32 jim, and above 32 jim.
Table 7 reveals the net superiority of cryogenic
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
(except M 1 steel for which three cryogenic var­
iants, D2, G2, and G3 induce smaller surfaces)
compared with the classical heat treatment var­
iant.
Considering that the average size of carbides
that the total sum of carbides average dimensions
on surface unit (2 ) is always larger, it follows that
cryogenic cooling should cause an increase in
the average number of carbides observed on
77 73 square millimeter (Nc) compared with the clas­
sical heat treatment variant (B). This assumption
is confirmed in Fig. 22, particularly in the case
of smaller-dimensional carbides.
It is obvious from these results that cryogenic
Fie. 21 Variation tendency of the amount of chro­ cooling causes the occurrence of a large number
mium, tungsten, vanadium, and molybdenum
carbides as a function of the cryogenic cooling tempera­ of small-size carbides, coherent with the matrix,
ture, in the case of SEW 320 S 3.3.2 steel. Source: Ref 20 and that this could explain the improvement of
342 / Residual Stress During Hardening Processes

the cutting characteristics of the tools made from
high-alloy steel. In addition, due to cryogenic
cooling a refinement of the carbide phase occurs
by means of the increase of carbide density with
sizes less than 1 pm. For instance, this increase
reached 151% (for variant G,) in the case of S
3.3.2 steel and 146% (variant D 2 ) in the case of
Ml steel.
The improvement of the quality of high-pre­
cision tools made from AISI D2 steel (for die
forging, thread rolling, and so on) can also prob­
ably be ascribed to—besides the increase of
small-size carbide density—the precipitation of
fine T] carbides instead of s carbides (Ref 26).
This fine carbide contributes to the increase of
hardness within the martensite matrix that finally
causes an improvement of both the durability
and wear resistance of the tool. Another essential
element for determining the quality of a steel is
the substructure that can be defined as a detail of
the structure, observable within the crystalline
grains.
The study, control, and evaluation by x-ray
diffraction of the substructure parameters (dis­
location density, second-order stresses, average
size of the mosaic blocks, texture, short-range
order, etc.) also enable, among other prognoses,
the optimization of heat treatment procedures.
For the evaluation of the substructure elements,
a special part is played by the real physical width
of the diffraction line ((3). As pointed out by Eq
10, the real physical width p of the diffraction
line depends both on the mosaic blocks and on
the second-order residual stresses.
The “boundaries” of the mosaic blocks, with
the dimensions determined using Eq 14, are
formed by dislocation walls. At the beginning of
the transformations, these walls are grouped in
such a way as to create bidimensional dislocation
networks (monolayer). As the transformation or
the plastic deformation develops further, the
boundaries of the mosaic blocks acquire an as­
pect of dense network with a rather large thick­
ness. In this way, the dislocation density in­
creases up to 1 0 cm -2 .
12

If both the real size srhk¡ of the mosaic blocks

and the second-order residual stresses are
known, the dislocation density can be deter­
mined according to the relationship introduced
by Williamson and Smallman (Ref 19):

p = 3«/(sy2 (Eq 18)

where n is the number of dislocations located on

0 0.5 1 2 4 8 16 32 64 the boundary of the mosaic blocks.
Dimensional range, pm Considering a chaotic distribution of disloca­
tions along the mosaic blocks boundary in = 1 ),
Fifi 22 Variation tendency of the average number of pjo 23 Variation tendency of the average size of the
it follows that p = 3/(4y ) In order to empha­
2
carbides on square millimeter (Nc) as a func­ mosaic blocks as a function of the final cooling
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, mm-2
Heat treatment variant A, % /, mm/mm2 Im, mm Nc, mm 2 0-0.5 0.5-1 1-2 2-4 4-8 8-16 16-32 >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 Ml 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 1335 735 543 46 0
D2 8.21 68.08 0.0012 55,071 28,537 14,231 8,706 2381 907 296 13 0
D3 7.34 58.16 0.0012 47,068 25,042 11,439 6,614 2302 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 2384 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)
two high-speed steels, S 3.3.2 and Ml, were sub­
jected to the heat treatment variants illustrated in
Fig. 2.
For S 3.3.2 steel, Fig. 23 shows that the av­
erage size of the mosaic blocks increases with
313 273 233 193 153 113 73
Temperature, K
pig 24 Variation tendency of the dislocation density
® as a function of the final cooling temperature
in the case of SEW 320 S 3.3.2 steel subjected to the same
heat treatment variants as in Fig. 23. Source: Ref 3
12
0 100 1 20 140 160 1 80 200 220 240
Second-order stress, MPa
F¡g 25 Dynamics of the dimensional stability as a
function of the stress state, in the case of SEW
320 S 3.3.2 steel, heat treated according to the variants D
(solid line) and G (dashed line). Source: Ref 20
%
°0 100 120 140 160 180 200 220
Second-order stress, MPa
Fifi. 26 Variation tendency of the retained austenite
amount as a function of the second-order re­
sidual stresses, in the case of SEW 320 S 3.3.2 steel. Source:
Ref 20
Effect of Cryogenic Cooling of Residual Stresses, Structure, and Substructure / 343
the decrease in the cryogenic cooling tempera­
ture, as in the case of the variants F, C, D, and
G. Figure 23 also shows that the largest values
of the average sizes of the mosaic blocks have
been obtained in the case of the variants E and
F, which include tempering heat treatments after
ordinary quenching. The increase in the number
of tempers causes the decrease in the mosaic
block size due to the martensite refinement. Ac­
tually, the blocks are broken and their crystalline
lattice becomes stress relieved, as illustrated in
Fig. 23 for the variants B, D, and G, causing the
smallest sizes of the mosaic blocks. The deep
cooling of steel enables the coagulation of the
mosaic blocks, which therefore increase in size.
The linear aspect of the variation shown in Fig.
23 proves that the coagulation phenomenon is of
elastic type.
The last aspect of the cryogenic cooling ef­
fects on the substructure of the S 3.3.2 heat
treated steel is emphasized in Fig. 24, which
shows the variation tendency of the dislocation
density as a function of the final cooling tem­
perature. After the first temper, a decrease of the
dislocation density is noticed, and this decrease
becomes more important after the subsequent
tempering due to the breaking of the mosaic
blocks. After cryogenic cooling, a marked de­
crease is noticed in the dislocation density,
which proves that the crystalline lattice becomes
more relaxed and the stress field diminishes, thus
coming closer to the normal state. Since a linear
variation is also noticeable in this figure, it is
obvious that the dislocation density decrease can
be related to the elastic phenomena produced
within the crystalline lattice.
Properties—Residual Stresses—
Structure and Substructure
Correlation for Cryogenically
Cooled Steels
The increase in the transformation degree of
retained austenite to martensite causes the de­
Second-order stress, MPa
Fjg 27 Dependence of durability on the relaxation of
the elastic stress field in the case of two high­
speed steels subjected to intensive service regimes (cutting
speed: 32.67 m/min; cutting advance: 0.25 mm/rotation;
cutting depth: 2.5 mm). Source: Ref 20
crease of second-order stresses that become fa­
vorably redistributed among the two phases.
Moreover, the structure becomes harder and
more uniform and finally durability increases.
The influence of cryogenic cooling on the for­
mation, the amount, and the distribution of the
carbide phase is first revealed by the emergence
of the fine carbides, which usually have smaller
sizes compared with those occurring after clas­
sical heat treatments. The large number of ex­
tremely fine carbides, which has been experi­
mentally determined after the cryogenic
treatment, represents an argument for the con­
clusions discussed previously. The increase in
both the surface occupied by the carbides and
the carbide density as well as the large number
of fine carbides measured after the cryogenic
cooling lead to the development of a hard, uni­
form, homogeneous structure that induces a
marked improvement of the properties of heat
treated steels.
As previously mentioned, cryogenic cooling
contributes as well to the decrease in the stress
state that largely assists the improvement in
properties. Thus, in the case of the tools and parts
made from S 3.3.2 steel, the decrease in the
stress state leads to a fair dimensional stability,
as shown in Fig. 25, where three heat treatment
variants (B, D, and G in Fig. 2) are considered.
Another effect of decreasing the stress state due
to the cryogenic cooling is shown in Fig. 26,
which shows the variation of the amount of re­
tained austenite with the value of the second-
order stresses, for the same heat treatment vari­
ants. It is obvious that the lower the value of the
stress state the more reduced the amount of re­
tained austenite.
It is well known that durability, which is the
basic criterion for the effectiveness assessment
of any heat treatment, is conditioned by the con­
nection between the strength intrinsic character­
istic of the material and the actual service con­
ditions of the tools. Besides hardness and wear
resistance, the most important characteristic that
determines the durability is the structure quality.
40 I------- -----------------------------------------------
3 4 5 6 7 8 9 1
Alloying elements sum, %
Fifi 28 Dependence of durability on the total amount
of alloying elements dissolved in martensite in
the case of two high-speed steels. Source: Ref 20
344 / Residual Stress During Hardening Processes
Thus, the phase composition (namely, the re­
tained austenite amount), the phase distribution,
the uniformity and refinement degrees of the
phases, the distribution of the alloying elements
among the martensite matrix and the carbides,
the repartition of the carbides on dimensional
ranges, the average size of the mosaic blocks,
the dislocation density, and the second-order
stress state represent the influencing elements of
the durability of cutting tools made from high-
alloy tool steels. For instance, a low stress state,
namely a relaxation of the elastic stress field, in­
volves an increase in the martensitic transfor­
mation degree that causes an augmentation of the
durability of cutting tools made from several
high-speed steels, such as S 3.3.2 and Ml, ac­
cording to Fig. 27.
On the other hand, Fig. 28 shows the influence
of the matrix alloying degree on the durability
of cutting tools. The figure illustrates an increase
in durability of the tools made from two high­
speed steels with the increase of the total amount
of the alloying elements dissolved in the marten­
site matrix.
In conclusion, the discussion in this article has
brought evidence that the residual stresses play
a very important part both during and after the
cryogenic cooling. These stresses constitute the
main cause for the continuation of the transfor­
mation of the retained austenite to martensite,
within the cryogenic field. Surprising but true is
the fact that after cryogenic cooling the value of
the residual stresses becomes even lower com­
pared with classical quenching, either in water
or in oil, to the ambient temperature.
REFERENCES
1. I. Alexandra, Gh. Ailincai, and C. Baciu,
Influence de traitements thermique á basse
température sur la durée de vie des aciers á
outils á coupe rapide tres alliés, Rev. Mé-
tall., Vol 6 , 1990, p 383-388
2. V. Bulancea, I. Alexandra, and D. Bulancea,
Carburic Phase in Cryogenically Treated
Tools Steels, MÁTEHN 94, First Int. Conf.
Materials and Manufacturing Technology,
18-20 May 1994 (Cluj-Napoca, Romania),
p 377-380
3. V. Bulancea, I. Alexandra, andD. Bulancea,
The Substructure Elements Modification by
Cryogenically Treated Fe-3W-3Mo-2V-C
Highly Alloyed Steel Tools, Bull. Polytech.
Inst. Jassy, Romania, Vol XLII (No. XL VI),
1996, p 167-174; ASM International Sec­
ond Int. Congress Mater. Sci. Eng., (Jassy,
Romania), 1997
4. A.P. Guleaev, Heat Treatment of Steel,
MASHGIZ, Moscow, 1960, 438 pages
5. V. Bulancea, I. Alexandra, D. Bulancea,and
D.G. Galusca, Advanced Heat Treatment
Technologies. Cryogenic Cooling of Steels,
Cermi, Jassy, Romania, 1998, 196 pages
6. N. Skalli and J.F. Flavenot, Prise en compte
des contraintes résiduelles dans un calcul
prévisionnel de tenue en fatigue, CETIM-
Informations, No. 90, 1985, p 35-47
7. V. Hauk, Micro Residual Stresses, Evalua­
tion by X-Rays, Results, Assessment, Proc.
of the Ninth Int. Conf. on Experimental Me­
chanics, 20-24 Aug 1990 (Copenhagen,
Denmark), Technical University of Den­
mark, Vol 3, p 1227-1236
8 . K.E. Easterling and A.R. Thólén, The Nu-
cleation of Martensite in Steel, ActaMetall.,
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9. I. Alexandra, Gh. Ailincai, C. Picos, A.
Dima, and V. Bulancea, Aspects of the In­
fluence of Cryogenic Thermal Treatments
on the Redistribution of Alloying Constitu­
ents between the Matrix and Carbides, Bull.
Poly tech. Inst. Jassy, Romania, Vol XXIX,
1983, p 7-12
10. G.V. Kurdjumov, Non-Diffusion (marten­
sitic) Transformation in Alloys, J. Technol.
Phys., Vol XVIII (No. 8 ), 1948 (in Russian)
11. G.V. Kurdjumov and O.P. Maksimova, Low
Temperature Martensitic Transition, Metal­
lurgical and Metal Physics Problems, Tome
2, Metalurgizdat, 1951 (in Russian)
12. G. Fisher and D. Turnbull, J. Appl. Phys.,
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13. G. Fisher and D. Turnbull, Austenite-Mar­
tensite Transition Kinetics, J. Met., Vol 19,
1949
14. S. Crassard, Comptes Rendues de
l Academie des Sciences, Vol 24, 1955
15. F.L. Lokshyne, Dynamical Theory of Mar­
tensitic Transformation, 5m//. ofPolytech. of
Novotcherkask, Vol 71 (No. 85), 1957 (in
Russian)
16. K.E. Easterling and A.R. Tholén, On the
Growth of Martensite in Steel, Acta Metall,
G.B., Vol 28 (No. 9), 1980, p 1229-1234
17. I. Alexandra, V. Bulancea, D. Pop, F. Pop,
and A. Alexandra, Phase Analyses of Me­
tallic Alloys, Cermi, Jassy, Romania, 1998,
233 pages
18. V. Bulancea, I. Alexandra, andD. Bulancea,
The Stress State Modification by Cryogen­
ically Treated Fe-3W-3Mo-2V-C High Al­
loyed Steel Tools, Bull. Polytech. Inst.
Jassy, Romania, Vol XLII (No. XLVI),
1996) p 161-166; ASH Int. Second Int.
Congress Materials Science and Engineer­
ing, 1997 (Jassy, Romania)
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with X Radiation, Tehnica, Bucharest, Ro­
mania, 1990, 272 pages
20. V. Bulancea, ‘The Influence of the Cryo­
genic Treatments on the Aspects Connected
with the Substructure of the Highly Alloyed
Steels and the Functional Characteristics of
the Cutting Tools,” Ph.D. thesis, “Gh. As-
achi” Technical University of Jassy, Jassy,
Romania, 1992
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aciers aprés traitements thermique. Aspects
métallurgiques, Trait. Them., France, No.
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tenite, Trait. Them., No. 81, France, 1974,
p 40-42
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The Dimensional Stability of the Frozen
HSS Cutting Tools, Bull. Poly tech. Inst.
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Nov 1994 (Jassy, Romania)
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ence of Thermal Treatments at Tempera-
hires below 273 K of High-Alloyed Steels
on their Cutting Properties,” Ph.D. thesis,
“Gh. Asachi” Polytech. Institute of Jassy,
Jassy, Romania, 1980
26. F. Meng, K. Tagashira, R. Azuma, and H.
Sohma, Role of Eta-Carbide Precipitations
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Treatment, ISIJ Int., Vol 34 (No. 2), 1994,
p205-210
Inducing Compressive Stresses through
Controlled Shot Peening
J. Kritzler and W. Wübbenhorst, Metal Improvement Company, lncv Germany
WITH MOST VEHICLES—whether for land
or air transport—the level of stress increases
during the production cycle. The increased start­
ing weights of planes, the higher load on the ax­
les of trucks, and the mounting of stronger and
heavier engines in cars can be named as exam­
ples. In other cases, extreme foims of reduced
weight construction must be attempted, for ex­
ample, in aircraft construction or when unex­
pected damage occurs during trials. If the in­
creased stress, as in the case of most
components, is oscillating, the fatigue resistance
must be increased. This is possible—apart from
the trivial solution of increasing cross sections
with their disadvantage of increasing weight—
by measures relating to the materials, to the con­
struction, or to the manufacturing process.
The use of a so-called “better” material does
less than generally expected, especially if one
considers that increases of the tensile strength of
the material is subject to strict limits due to
manufacturing as well as cost considerations.
An improvement of the construction in detail
is in many cases the most elegant solution; how­
ever, especially in mass production such as car
manufacture or high-cost light engineering, for
example, aircraft construction, such possibilities
are often already exhausted. Notches, and sharp
notches at that, are frequently needed for func­
tional reasons if one considers the threading of
bolts or the radii of slots for fittings keys.
In such cases andlately in increasing volumes,
shot peening is used (Fig. 1). Apart from im­
proving fatigue strength, shot peening is also
used
• In cases of corrosive fatigue, stress corrosion,
hydrogen embrittlement, friction corrosion,
and wear by cavitation
• In surface texturing
• To close off porosity
• To test adherence of layers as well as peen
forming
Historic Development of Shot
Peening
Sandblasting as an example for cleaning cast­
ings can be regarded as a predecessor of shot
peening. Literature on this dates from the 1800s
(Ref 1,2). Shot peening was introduced by Zim-
merli (Ref 3, 4) and Almen (Ref 5 -9) in their
respective companies Associated Spring Com­
pany and General Motors prior to 1930. In 1934,
patents were granted for the shot peening ma­
chines (Ref 10), and during the years 1935 to
1945 Almen carried out the fundamental work
(Ref 11-14), for example, development of the
“Almen” strip.
Shot peening was also investigated in Ger­
many prior to World Warn at the Technical Uni­
versities of Darmstadt and Braunschweig (Ref
15-18). Opel used shot peened valve springs
from 1935. In about 1940 it was clear that shot
peening increases the fatigue strength primarily
by improved residual compressive stress and not
by increasing the hardness of the material sur­
face.
World War n precipitated the industrial ap­
plication on a large scale in the United States
(Ref 19-21). An American Society for Metals
conference about peening was heldin 1944 (Ref
22,23). One gets the impression that in contrast,
the industrial application in Germany was lag­
ging behind. All the same, a report (Ref 24) ap­
peared about the optimizing peening depending
on the type of machine, impact time, and shot
size.
In 1946, the measurement of the resi dual com­
pressive stress of peened torsion springs was de­
scribed for the first time (Ref 25). In 1949, a
report appeared on “stress peening” (Ref 26) in
which leaf springs were peened under prestress
to achieve a particularly high level of fatigue
strength. The Society for Automotive Engineers
(SAE) published its Manual on Shot Peening in
1952 (Ref 27). During the years 1951 to 1954,
there were two conferences in the Soviet Union
in which broad attention was dedicated to shot
peening (Ref28-38).
Since 1954 (Ref 39) peen forming has been
used for the manufacture of complex curved sur­
faces. The first norm, the MEL specification
MEL-S-13165 (Ref 40), came into existence in
1956 and still applies today in a developed form
(Ref 41, 42). Soon after, practically all aircraft
(Ref 43-48) and automobile companies, and so
forth, joined with their own regulations and
norms. The norms named in the references rep­
resent merely a selection of the total available
(Ref 49-5 8 ).
A general industrial application of shot peen­
ing in the Federal Republic of Germany can be
recorded from approximately 1955, and in this
context especially the automobile industry
should be named in which all springs (valve and
suspension) are peened since this time. A report
by W. Schütz (Ref 59), stemming fr om the same
period, reports about shot peening for improving
the vibratory fatigue properties of components
for tracked and road vehicles. The same author
later covered the special requirements of drive
technology (Ref 60).
Elementary Shot Peening Processes
The elementary procedure in shot peening is
an elastic-plastic impact process between the
peening material and the workpiece. In this pro­
cess, a transformation of the kinetic energy to
work aimed at the el asti c and plastic deformation
of the work material depending on the mass of
the peening material and the shot velocity takes
place. The residual compressive stresses in the
wake of shot peening are a result of the locally
occurring plastic deformation on the surface of
the workpiece and are caused by the impact of
346 / Residual Stress During Hardening Processes
the individual peening material particles. The
distribution of the residual compressive stresses
varies widely due to the variety of the working
and peening materials and possesses significant
differences (see Fig. 2, 3).
The deformation processes or the generation
of residual compressive stresses may be funda­
mentally explained according to Wohlfahrt (Ref
61, 62) in terms of two elementary processes:
plastic stretching of the immediate workpiece
surface and Hertz’s compression.
Plastic Stretching of the Immediate Work-
piece Surface. In Fig. 4(a) the stretching pro­
cess of the area near the surface and its plastifi-
cation is recognizable, declining wtith increasing
distance to the edge layer. The only plastically
deformed edge layer is impaired by the only
elastically deformed layers below. After the im­
Depth, mm
Fig. 3 Typical stress profiles of "hard" metallic material.
Courtesy of Metal Improvement Company, Inc.
pact of the peening material passes, this leads to
residual compressive stresses at the surface and
internal tensile stresses.
Hertz's Compression. In the process of the
Hertz’s compression, the maximal plastic defor­
mations occur below the place of impact of the
spherical peening material and the flat workpiece
(Fig. 4b). Here, a residual compressive state is
formed that has its maximal values below the
wmrkpiece surface. Both elementary processes
occur always, as already stated, side by side and
are influenced by both the wmrkpiece material
properties and the parameter of shot peening.
The characterization and the key data of a
compressive stress process caused by shot peen­
ing can be seen in Fig. 5 (taken from Ref 63).
Detailed examples relating to this are shown in
Ref 64.
(a)
Fig. 4 Residual stress formation, (a) Stretching surface layer, (b) Hertzian pressure. Courtesy of Metal Improvement
Company, Inc.
The advantages of the residual stress caused
by shot peening in a workpiece are shown in
Fig. 6 .
The fatigue failure in most components is
caused by tensile stresses on the surface. These
tensile stresses probably arise when the compo­
nents are newly installed. As each bending cycle
or rotation puts the workload on the component
and removes it, the component becomes increas­
ingly susceptible to fatigue cracking until finally
it cracks or a crack from stress corrosion be­
comes manifest, and the component fails. In­
cluding shot peening in the original design of the
critical components prolongs its life span under
fatigue.
Figure 6 (a) shows a component that has not
been shot peened and has tensile stresses on the
surface. The second component (Fig. 6 b) 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.
Workpiece Material and Process
Parameters
Workpiece material and process parameters
exert different effects on the residual compres­
sive stresses generated by shot peening (Ref 65).
The key parameters are shown in Fig. 7.
Changing the parameters shifts the distribu­
tion of the generated residual compressive
stresses into the respective direction shown. It is
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
on the other hand influence to a much greater
extent the depth of the maximal residual stress
below the surface.
The hardness of the shot peening material in­
fluences the extent and the depth of the com­
pressive stresses. For tins reason, the peening
(b)

material should be at least as hard or harder tiran
the working material subjected to the process,
unless the surface gradient is a decisive factor.
For a large number of ferrous and nonferrous
working materials, this can be achieved with a
peening material of the normal hardness of 45 to
52 HRC (Rockwell C).
The increasing use of high-tensile steel (50
HRC and above) demonstrates that the use of
especially hard peening material (55-62 HRC)
is required. The compressive stress profiles
Ultimate tensile strength, %
(+) (-)
Tension Compression
+100 +50 -50 -100
*2
pig 5 Example of residual stress profile created by shot
® peening. 5S, surface stress, which is the stress
measured at the surface. Qlmax)' maximum compressive
stress, which is the maximum value of the compressive
stress is induced, which normally is highest just below the
surface, d, depth of the compressive stress is the point at
which the compressive stress crosses over the neutral axis
and becomes tensile. Ts(mSi), maximum tensile stress, which
is the maximum value of the tensile stress induced. The
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
mains in equilibrium; Ts(max) must not be allowed to become
large enough to create early internal failures. Courtesy of
Metal Improvement Company, Inc.
Tension 0 Compression
Tension
(c) Shot peened beam under load
F¡o Comparison of stress distributions, (a) Typical stress distribution in surface of metal beam, unloaded by exhibiting
° 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
compressive stress at surface. Courtesy of Metal Improvement Company, Inc.
Inducing Compressive Stresses through Controlled Shot Peening / 347
shown in Fig. 8 and 9 confirm the advantages of terial (see Fig. 10). Coverage at less than 100%
using hard peening material on high-tensile steel. is only admissible in the case of peen fonning.
Similar reports about the results of shot peening Despite the fact that compressive stress layers
using specially hard peening materials are con­ are formed—in an incomplete and uneven dis­
tained in Ref 6 6 and 67. tribution—with shot peening at less than 1 0 0 %
A change in shot size influences the distribu­ coverage the danger of a potential crack in an
tion of residual compressive stresses and the unpeened area remains. Especially in conjunc­
roughness. tion with liigh-tensile gear-wheel materials, it is
In the case of high-tensile working materials,
an increase in the shot size leads to a substantial
increase in the size of the compressive layer. The
surface tension remains nearly identical; how­
ever, tlie maximum residual compressive stress,
as well as the positioning of the maximum in
depth, increases.
In “soft” working materials, such as alumi­
num, the depth of the compressive layer and the
roughness are influenced. A larger shot size al­
ways leaves—given the same intensity—a
smoother surface. Reference 6 8 contains a report
about peening with two differently sized peening
materials, known as dual shot peening.
The shot velocity is probably the most impor­
tant parameter, as it can be easily varied by the
air pressure and the revolutions per minute of
peening wheel. As is the case with the shot size,
the depth of the maximum compressive layer is
primarily influenced and the surface tension is
influenced to a lesser extent. Extremely high shot
velocities may, however, lead to “overpeening F¡g 7 Shot peening parameters versus residual stress
effects,” that is, damage to the surfaces. Such * distribution, v, velocity of shot, m/s; d, shot size,
mm; C, coverage, %; Hs, hardness of shot, HRC, Hm, hard­
effects coincide with reduced surface stresses. ness of material, HRC. Courtesy of Metal Improvement
Depending on the material hardness and consol­ Company, Inc.
idation condition of the workpiece, such effects
may lead, for example, to surface mptures.
A proper shot peening process must be carried Depth, in.
out in such a manner that the processed surface 0 0.004 0.008 0.012
nal state after processing should no longer be
visible. The entire shot peened area must display
spherical indentations caused by the peening ma­
Tension 0 Compression
Tension
stress \ / Compression
Residual \ / stress pig 3 Peening 1045 steel at 48 HRC with 330 shot.
stress ® Courtesy of Metal Improvement Company, Inc.
V__________
Peened surface
(b) Shot peened beam Depth, in.
0 0.004 0.008 0.012
0 Compression
Depth, mm
F¡g 9 Peening 1045 steel at 62 HRC with 330 shot.
® Courtesy of Metal Improvement Company, Inc.
348 / Residual Stress During Hardening Processes
proved to be advantageous to apply degrees of
coverage at 2 0 0 % and more, as it results in an
increase of the subsurface residual stress.
The shot impact angle and the resulting inten­
sity or consolidation in the proximity of the edge
layer is an additional important parameter for
shot peening. The optimal peening angle for jet
shot peening emerged at 85°. At this angle, the
maximum power transference occurs withoutthe
following peening material being impeded by
ricocheting peening material. It can be seen in
Fig. 11 at 30° that peening tangentially reduces
the possible power transfer by 50%. The shot
Fie. 10 Visual examination using a ten-power magni-
fying glass. Courtesy of Metal Improvement impact angle becomes important in the peening
Company, Inc. of boreholes and workpieces that have roundings
and notches of different sizes in need of pro­
cessing.
0.010" A
0.0087" A
0.007" A
0.005" A
ifi. 11 Impingement angle versus intensity. Courtesy
Fig of Metal Improvement Company, Inc.
I 1.
(a) Shaded area
Indicates
o o o o
(a) Acceptable shapes
CP©o^
(b) Unacceptable “deformed" shapes
e aging to the surface of the component. Examples
(b) Unacceptable "broken" shapes
Fifi. 12 Shot Peening of bores, (a) Internal shot deflec-
tor. (b) Lance method. Courtesy of Metal Im­ -|4 Peening media. Courtesy of Metal Improve­
provement Company, Inc. ment Company, Inc.
If the depth of a borehole exceeds the bore
diameter of the part, an external processing of
the borehole wall cannot be properly shot
peened. A peening lance with deflecting nozzle
or the internal deflection method must be applied
under controlled conditions.
Boreholes with diameters up to 2.4 mm are
peened in production by applying the internal
deflection method (Fig. 12a). Using the deflect­
ing nozzle (Fig. 12b), the internal surfaces of
long pipes, oil drilling gear, helicopter rotor
blades, hydraulic cylinders, and turbine blades
are shot peened.
Figures 2 and 3 show the residual stress pro­
files of different working materials depending on
the special shot peening parameters. The figures
cl arify the potenti al vari ation in breadth in form­
ing residual compressive stresses. Zinn listed the
compressive stresses from peening with respect
to welded aluminum alloys (Ref 69).
For workpieces that are load bearing in one
direction only and that require a durability in ex­
cess of that which can be reached by conven­
tional shot peening. the peening is applied under
prestressed condition. The workpiece is peened
in a prestressed or expanded state. Stress peening
generates a much liigher residual compressive
stress than is possible by conventional shot peen­
ing. The residual stress values generated under
prestressed conditions can be as high as the yield
strength of the working material. Residual
stresses resulting from stress peening are shown
in Fig. 13.
Process Monitoring
There is no nondestructive testing method to
determine the proper shot peening of a compo­
nent. To obtain optimal shot peening results it is
necessary to optimize the shot peening parame­
ters applied and ensure that all par ameters are
controlled during the peening process. For an ef­
fective control of the shot peening process the
parameters must be addressed in the following
order:
2.
Shot (media) control
Intensity control
3. Coverage control
4. Equipment control
The most important shot peening parameter re­
lates to the microstructure, chemistry, shape,
size, material, and hardness of the peening ma­
terial “shot.” All these variables are described in
Ref 4 2 as well as by the condition of the peening
material.
The peening material must be uniform in size
and fundamentally spherical in shape without
sharp edges or broken particles. Broken or sharp-
edged peening material can be potentially dam­
of this are shown in Fig. 14 to 16. During the
automatic shot peening process, the peening ma­
terial must be sieved and sorted continuously
(Ref 42).
Cast steel shot is available in two hardness

ranges, namely 45 to 55 HRC and 55 to 65 HRC.
For steel components exceeding 200 ksi (1375
MPa) in tensile strength hard shot with a hard­
ness range 55 to 65 HRC or ceramic shot with
comparable hardness at 57 to 63 HRC should be
used (Ref 42).
For nonferritic materials, shot peening is car­
ried out with stainless steel shot or using ceramic
or glass beads. The decontamination of nonfer­
ritic components after shot peening with ferritic
shot by using glass is a common practice to ex­
clude cathodic corrosion.
The shot peening intensity is controlled by the
“Almen” strip. This is a strip of cold-rolled
spring steel—SAE 1070—square-edged and
uniformly hardened and tempered to 44 to 50
HRC. The Almen strip is fixed on a specified
holding fixture. During the peening process, the
Almen strip will be exposed to the peening ma­
terial from one side. The plastic deformation on
the strip surface facilitates a bending of the strip.
The height of the curvature on being measured
in a standard Almen gage is referred to as the arc
height and is a dimension for measuring shot
peening intensity.
(a)
Fig. 15 Shot peening media, (a) Unacceptable, (b) Acceptable. Courtesy of Metal Improvement Company, Inc.
(a) Surface damage caused by poor shot control, (b) Acceptable surface. Courtesy of Metal Improvement
Fig. 16 Company, Inc.
Inducing Compressive Stresses through Controlled Shot Peening / 349
The Almen block(s) with the strip can be
mounted on an actual component and inserted at
the critical angles of the part to be shot peened
(Fig. 17).
Frequently, there are no actual components
available for cost reasons. A dummy represent­
ing the surfaces to be shot peened is used instead.
The mounted Almen strips have to be placed in
the same positions as they would be on the actual
component. Also the distance between the actual
surface and the reference surface incorporating
the Almen strip to the nozzle must be identical
(Fig. 18).
There are three different types of Almen
strips, namely, N, A, and C. These Almen strips
are selected after determining the proper depth
of compression required on the part to be shot
peened and the energy level necessary to obtain
that depth of compression. The details of the
measurement referenced by the specification
AMS-S-13165 (Ref 42) are shown in Fig. 19.
Another important shot peening parameter is
the coverage. The effect of controlled shot peen­
ing is considered achieved if the entire compo­
nent surface is uniformly dimpled or obliterated.
(b)
The visual inspection of large areas of steel parts,
fillets, cavities, grooves, or internal bores with a
tenfold magnifying glass to determine a full cov­
erage is extremely difficult, if not impossible.
There are two methods to execute the second
parameter of coverage control (Ref 42):
• Visual inspection using a magnifying glass
with a tenfold magnification
• Inspection using an approved liquid tracer
system.
Since 1976 the Dyescan fluorescent tracer liq­
uids have been available as they are used in the
Peenscan process, an approved liquid tracer sys­
tem.
The working principle of this process is simi­
lar to the dye penetration method to determine
cracks.
Prior to shot peening, an approved fluorescent
tracer liquid is brushed, sprayed, or dipped on
the component, and it is allowed to dry. This
forms a fluorescent elastic coating that is sub­
sequently removed at a proportional rate to the
shot peening coverage. The fluorescent tracer
system reacts to deviations in shot peening in­
tensity, incomplete coverage, and an excessively
low angle of impact. By inspection under ultra­
violet (UV) fight the Peenscan process provides
a practical method of determining the peening
coverage in terms of quantity and the uniformity
Fig. 17 Almen fixture (strapped turbine disk). Courtesy
of Metal Improvement Company, Inc.
Fig. 18 Almen fixture (dummy). Courtesy of Metal Im­
provement Company, Inc.
350 / Residual Stress During Hardening Processes
of tracer removal. This process has been estab­
lished to be clearly superior for determining the
peening coverage to visual inspection using a
tenfold magnifying glass. The process is dem­
onstrated in Fig. 20 and 21.
Only automatic shot peening plants facilitate
the repeatability of the shot peening parameter
and are therefore mandatory.
These shot peening plants offer the possibility
to monitor, control, and record all the important
parameters for accurately verifying the shot
peening process. Such characteristic peening pa­
rameters are the air pressure in every' nozzle of
the peening wheel, material flow of every nozzle
or speed of every peening wheel, revolution or
forward speed of the workpiece, oscillation of
the nozzles, distance of the nozzles, peening time
of every nozzle, and the total processing time.
In the set intervals, the process parameters are
compared with the maximum and minimum
threshold values. On exceeding or falling below
the threshold values, the machine stops itself and
indicates the deviation to the operator and the
qualify assurance department. The mistake must
be eliminated prior to the machine resuming the
working process precisely from the point of stop­
(a) (b)
Fig. 19 The Almen strip system. Courtesy of Metal Improvement Company, Inc.
Fig. 20 Shot peening coverage, (a) Partial coverage, (b) Full coverage. Courtesy of Metal Improvement Company, Inc.
page. Figure 22 shows a sketch of a computer-
controlled shot peening plant. A typical opera­
tional chart of a computer-controlled MIC shot
peening plant is shown in Fig. 23. Every working
step is completed by the printout as proof and
documentation. An interruption of the shot peen­
ing process and its causes are recorded on the
printout (“ABORT’ in Fig. 24). The computer
printout provides the data which document that
every component was treated with the same shot
peening parameters as the sample component.
The shot peening plants are equipped with im­
portant additional functions, such as peeningma-
terial sorting by size as well as by shape in order
to eliminate irregular or inadmissible particles.
Process Optimization
Optimization of the effects of shot peening is
achieved by a careful selection of the composi­
tion, har dness, and size of the peening material;
the transferred energy at impact (which controls
the depth of the compressive layer); and the per­
centage of coverage, in addition to component
material and geometry. The mam' possible com­
(c)
binations of these factors make the correct
choice a difficult one.
Peen stress Software
Peenstress (Ref 70) is a computer program
that is capable of modeling the residual com­
pressive stresses that are introduced by con­
trolled shot peening in most of the engineering
metals, mild and high-strength steels, stainless
steels, carburized and carbonitrided steels, alu­
minum alloys, titanium allovs, and nickel alloys
(Fig. 25).
The Peenstress program will print out a stress
curve that shows both the magnitude of the re­
sidual stress distribution and the depth profile
beneath the surface, for the material and the pa­
rameters of shot peening that were selected (Fig.
26). One can use the curve to read the magnitude
of the compressive stress at the surface and at
depth and use that magnitude in load calcula­
tions. One can see very graphically what would
be the resultant residual tensile stress on the op­
posite unpeened surface or in the core of a part
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
done on a computer screen without having to
resort to very' expensive and time consuming x-
ray diffraction (XRD) measurements or even
laboratory and field testing of many variables.
Testing is still recommended, but can be reduced
to a few selected data points.
C.A.S.E. Process
Frequently, when the bending fatigue life of
gears has been increased by shot peening the
tooth roots, surface fatigue or pitting of the con­
tact faces became the next mode of failure. There
has been a need, particularly for automotive and
aircraft transmissions, to extend the surface fa­
tigue life beyond that provided by shot peening
alone and smoothing the surface after peening
has been found to be very effective (Ref 67).
Unfortunately, the processes to accomplish this
have been time consuming and therefore costly.
The C.A.S.E. process (Ref 71) can reduce the
relative finishing time and costs, after shot peen­
ing, and provide a surface which, in addition to
having the compressive stresses from the shot
peening, can have fisk 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 requiresthat
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
this profile is;
 Inducing Compressive Stresses through Controlled Shot Peening / 351

= 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 R ñ value. The meaningfulness
lies in 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 w as 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
<d)
native applications. The first employs coupons
21 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
(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

22 Computer-controlled shot peeping machine.

Courtesy Of Metal Improvement Company, Inc. Fig. 23 Software path flow diagram. Courtesy of Metal Improvement Company, Inc.
352 / Residual Stress During Hardening Processes

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 2:00:00 A
Specification : AMS-S-13165 Speed change 5 Sec start 24.0 4.0 12 19.0 21.0 2:00:00 A
operation Max shot flow 25 Lbs 23.5 8.0 13 18.5 22.0 2:00:00 A
Turntable RPM 16.0 RPB 23.0 12.0 14 18.023.0 2:00:00 A
Mic procedure 21-8592 22.5 14.0 15 17.524.0 4:00:00 A
Shot size MI-170R Mode Horz 22.0 15.0 16 17.025.0 4:00:00 A
Intensity 6-10A Cycle count NA 21.5 16.0 17 12.025.0 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 Osclll. Osclll.
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
Axial Tangential Axial Tangential
ture. In this way, the Milam coupons are placed
Parameter Axial T angential
to represent the critical areas of the part to be
0.36 1.52 0.68 0.69 0.57 0.66
0.04 0.21 0.10 0.12 0.07 0.07 peened. The Milam coupons are made from the
«1 0.59 1.96 0.87 0.85 0.85 0.96 same material (or even at the same temperature
ft¡k 0.83 0.23 0.19 0.18 -1.22 -1.35 at Hie customer’s 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: AI/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
k factor (MPa) ---------- ► As has already been explained, components
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 ENSAM—MIC can be utilized for host peening and, thus, for
creating a compressive residual stress in the
Fie. 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
a relatively low strength, slight surface faults
the strain-hardening coefficient, n’, which define the true monotonic stress strain curve and the cyclic stress strain curve,
respectively. Also shown are the ultimate and yield strengths, elongation, Young's modulus, and Poisson's 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
 Inducing Compressive Stresses through Controlled Shot Peening / 353

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 ENSAM-MIC distribution of stress under applied load. Figure
d = 0,092 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
distribution of stress resulting from the addition
S 400 Shot
V = 29 m/s of load stress and residual stress. Figure 31(d)
-100
AI/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 2s, MPa -310 shows a well-advanced stage in the formation of
2m, MPa -332 a crack as far as point (I). In the surrounding area
0.005
there is a change in the stress. Figure 31 (f) shows
P2m, mm
that the crack no longer extends within the area
-300 P20, 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,
pjg 26 Res'dual stress profile. Peenstress software calculates and displays the stress profile and the calculated shot extends to its use in the manufacture of large
velocity. The separate panel indicates the surface stress 2s, the maximum stress 2m, the minimum depth of gears used in marine engines, as well as for min­
the maximum stress P2m, and the depth of compression P20. 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
~1--------------
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
The increase in the size of fatigue cracks de­ duced, and tine running temperature will drop.
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.
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
pjo 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
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
Metal Improvement Company, Inc.

pjg 28 Comparison of Rvalues for different profiles

in C.A.S.E. processing. Courtesy of Metal Im­
provement Company, Inc.
354 / Residual Stress During Hardening Processes
increasing of the resistance against stress-cor­
rosion cracking. This mechanism eliminates sur­
face tensile stress. Stress-corrosion cracking can­
not occur in an area of compressive stress.
Figures 35 and 36 show the measured residual
stress of a welded StE 460 (P 460 N) steel plate.
This material is used for manufacturing railway
tank cars for ammonia. The residual stresses
were measured to document the suitability of
shot peening. Stresses were measured in the un­
treated semifinished material on the untreated
welding seams as well as on the shot peened ar­
eas. During 1989 and 1990, about 60 railway
tank cars used for transporting ammonia were
Fig. 30 Stress profile (17 CrNiMo 6). Courtesy of Metal Improvement Company, Inc.
Fie. 31 Crack arrest by compressive self stress, (a) Load stress, (b) Self stress, (c) Sum of (a) and (b). (d) Crack starts.
(e) Crack progressed to edge of former compressive zone, (f) Crack arrested. Courtesy of Metal Improvement
Company, Inc.
restored, shoving no sign of stress corrosion
even after ten years of operation.
Shot peening is also successfully applied to
chemical process vessels made of austenitic
steel. The results of the laboratory tests for stress
corrosion are shown in Table 2. In these tests,
samples were exposed to a 42% MgCl2 solution
at 145 °C.
In the absence of stress-corrosion cracks, the
investigations into the shot peened specimens in
line with exposure were discontinued at 1000 h.
The respective production costs of a 5000 L tank
container in different materials are compared in
Fig. 37.
On the basis of the corrosion test results and
the production cost considerations, tanks and
other constituent parts of the plant could be man­
ufactured from a less corrosion-resistant and
therefore less expensive material. Overall costs
can be reduced by 50% after allowing for the
cost of shot peening.
Also the resistance against corrosion fatigue
will be improved by shot peening, caused by the
beneficial effect of the compressive stress. Fret­
ting fatigue can occur when a rotating compo­
nent is press fitted onto a shaft. A slight relative
movement of the mating surfaces caused by vi­
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
of fretted steel. This very hard debris tends to
build up in one area, abrading the surface and
creating stress risers that can propagate into fa­
tigue cracks.
In industry, the piston rod bushes of large die­
sel engines, joint faces of machine components,
bearing pins, and threads are shot peened.
Lasershot Peening
Lasershot peening, also a surface treatment,
employs laser-induced shocks to create deep
compressive stresses beyond a 0.040 in. (1 mm)
depth with magnitudes comparable to that pro­
duced by shot peening. Lasershot peening has
proven to significantly enhance the damage tol­
erance of components and has generated suffi­
ciently impressive results to move it from a lab­
oratory-demonstration phase into a significant
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
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
of horns.
With the invention of the laser, it was rapidly
recognized that the intense shocks required for
peening could be achieved by means of tamped
plasmas that were generated at metal surfaces by
means of high-energy density (~200 J/cm2) la­
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.
Laser intensities of 100 to 300 J/cm2 with a
pulse duration of about 30 ns can generate shock
pressure of 104 to 105 atm when absorbed on a
metal surface. A thin layer of black paint on the
 Inducing Compressive Stresses through Controlled Shot Peening / 355

surface provides an excellent absorber that pro­
duces a plasma burst that is inertially confined
with a surface layer (tamp) such as water (Fig.
38). These shocks impart compressive stresses
to depths greater than 0.040 in. (1 mm).
Special techniques for controlling the tempo­
ral and spatial shape of the pulse are used to
prevent the high-intensity laser from breaking
down the water column or generating stimulated
processes that reflect the laser energy before
reaching the paint surface. With appropriate care
given to the setup, impressive results can be
achieved from Lasershot peening.
In order to use the high throughput capability
of the laser, it is important to have manipulation
hardware to rapidly and precisely move surfaces
to be treated through the rapidly pulsing laser
beam. The authors have designed a five-axis,
computer-controlled robotics system with mo­
tion synchronized to the laser pulses.
As an example of the laser process, Fig. 39
shows the residual stress induced in Inconel by
Lasershot peening and contrasts it with typical
results achieved by shot peening. Laser-gener­
ated shock can be tailored to develop compres­
sive stresses deeper into the material with mag­
nitudes similar to those generated by shot
peening. Additionally, corrosion takes more time
to penetrate the compressive layer induced by
Lasershot peening.
Deep compressive stress is important for criti­
cal areas of components such as turbine blades
because it prevents the foreign object damage
caused by debris being sucked up into a turbine
engine from becoming a crack initiation site.
Most metals can be successfully Lasershot
peened to very deep depths of compression (Ref
79-82).

REFERENCES

Compressive stress, ksi 1. W.E. Newton, Sand Blast and Its Adaption
to Industrial Purposes, J. Soc. Arts, Vol 23,
1875, p 257-260
2. F.C. Brooksbank, Sand Blast Apparatus for
Cleaning Castings, Iron Age, Vol 57, 1896,
p 640-642
3. F.P. Zimmerli, Shot Blasting and Its Effects
on Fatigue Life, Surface Treatment of Met­
als, American Society for Metals, 1941, p
261-278
4. F.P. Zimmerli, How Shot Blasting Increases
Fatigue Life, Mach. Des., Vol 12, Nov
1940, p 62
5. J.O. Almen, Peened Surfaces Improve En­
durance of Machine Parts, Met. Prog, Vol
43 (No. 2), 1943, p 209-315
6 . J.O. Almen, Peened Surfaces Improve En­
durance of Machine Parts, Met. Prog, Vol
43 (No. 5), p 737-740
7. J.O. Almen, Peened Surfaces Improve En­
durance of Machine Parts, Met. Prog, Vol
Compressive stress, MPa 43 (No. 8 ), p 254-261
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
durance of Machine Parts, Met. Prog, Vol
Metal Improvement Company, Inc.
43 (No. 9)
9. J.O. Almen, Shot Blasting to Increase Fa­
tigue Resistance, SAE Trans., Vol 51 (No.
6000 7), 1943, p 248-268
10. Minich, “Abrasive Wheel Throwing Ma­
chine,” U.S. Patent 2077636, 1934
5000 11. R.L. Mattson and J.O. Almen, “Effect of
Shot Blasting on the Mechanical Properties
- 1000 of Steel,” Final Report, OSRD, 3274, 4825,
6647, (NA-115), Ofrice of Scientific Re­
.= 4000
search and Development, Washington D.C.,
1945
12. R.L. Mattson, H.E. Fonda, and J.O. Almen,
3000 “Final Report on Effect of Shot Blasting on
Spiral bevel gear the Mechanical Properties of Steel,” (NA-
3,625 D.P. - 500 ü 115) (OD-177), National Defense Research
2000 Material: 8620H bar stock Committee of the Ofrice of Scientific Re­
Heat treatment: carburized and hardened, 61 HRC search and Development, War Metallurgy
Load transmitted: 135 hp, 5000 rpm
Division, 1944
Shot peening specifications:
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
the Ofrice 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
356 / Residual Stress During Hardening Processes

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., 4-8 Feb 1946, p 33-84 19. H.F. Moore, Effect of Surface Stressing (5 ®'\
15. W. Bautz, Überblick über die Untersuchun-
gen über die Dauerhaltbarkeit von Fedem.
Metals on Endurance under Repeated Load­
ings, Surface Stressing of Metals, H.F. ____ i
i
— Í
-1 60
Interner Untersuchungsbericht, 28.3, 1938 Moore, W.M. Murray, J.O Almen, O.J. Hor­ i Hr— pC J
Tr
(in German) ger, and P.R. Kosting, Ed., 4-8 Feb 1946, ii__ _ ...
16. H. Wiegand, Oberfláche und Dauerfestig- p 1-18 135
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, Oberfláchendrücken zum Zweck Moore, W.M. Murray, J.O Almen, O.J. Hor­
der Steigerung der Dauerhaltbarkeit mit ger, and P.R. Kosting, Ed., 4-8 Feb 1946,
320
Hilfe des Strahlkugelgebláses, Mitteilungen p19-32
des Wohler-Instituts, Braunschweig, 1939, 21. O.J. Horger, Mechanical and Metallurgical 380 1
p 44-59 (in German) Advantages of Shot Peening, Iron Age, 29 F ia't 1 Stress data of v /elded StE 460 (P 460 N). Stress
18. R. Z. von Manteuffel, Dauerhaltbarkeit von March/5 April 1945 8 location 1,-4 84 MPa; location 2, —51 5 MPa,

Kraftfahrzeugfedem 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, —3 89 MPa. Courtesy of Metal Im-
provement Company, Inc.

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 18-10 (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 Cn
if : 9 C> : N
/i i
X 6 CrNiTi 17-12-2 (1.4571) / i__________
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 22-5-3 (1.4462)

Not shot peened 5.3 3.3 1.3
320
SSCW 0.8, 5 A, 100%
>1000 >1000 2
F¡„ 3^ Stress data of repair welded StE 460 (P 460 N).
SSCW 0.8, 12 A, 100%
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% MgCk medium at 145 °C and at a load of 50 to 9C% of the 0.2% yield point

Material

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.
 Inducing Compressive Stresses through Controlled Shot Peening / 357

Mechanical Properties,” Symposium on 26. J.C. Straub and D. May, Stress Peening, 30. B.G. Gurewitsch and S.F. Jurjew, EinfluB
Shot Peening, American Society for Metals, Iron Age, 21 April 1949, p 66-70 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, Hóhere Gestalt­
Leaf Springs,” Symposium on Shot Peen­ 28. S.W. Serensen, Zusammenhange zwischen festigkeit durch Oberflachenverfestigung,
der Schwingfestigkeit, der Ober- fláchen- Vortrage auf der Tagung der Wnitomasch,
ing, American Society for Metals, 1944
verfestigung und der konstruktiven Gestal- Moscow, April 1954, p 56-78
24. K. Walz, “Federfragen- insbesondere aus
tung, Hóhere Gestaltfestigkeit durch Ober­ 31. B.F. Balaschow, Festigkeitserhóhung durch
dem Gebiet der Zeitfestigkeit bei sinusfór-
flachenverfestigung, V ortráge auf der Nitrieren von Maschinenteilen, Hóhere
miger und schlagartiger Beanspruchung,” Gestaltfestigkeit durch Oberflachenverfes­
Tagung der Wnitomasch, Moscow, April
Broschure der Mauser-Werke, Obemdorf, 1954, p 13-39 tigung, Vortrage auf der Tagung der Wni­
1943 29. N.P. Stschapow, Oberflachenverfestigung tomasch, Moscow, April 1954, p 79-99
25. H.O. Fuchs and R.L. Mattson, Measurement im Eisenbahnwesen, Hóhere Gestaltfestig­ 32. I.W. Kudrawzew, EinfluB der Restspannun­
of Residual Stresses in Torsion Bar Springs, keit durch Oberflachenverfestigung, Vor- gen auf die Schwingfestigkeit geschweiBter
Proc. Soc. Exp. Stress Anal., Vol 4 (No. 1), tráge auf der Tagung der Wnitomasch, Mos­ Werkstiicke Hóhere Gestaltfestigkeit durch
1946, p 64 cow, April 1954, p 40-55 Oberflachenverfestigung, Vortrage auf der
Tagung der Wnitomasch, Moscow, April
1954, p 100-118
33. M.M. Kobrin, Festigkeit der
PreBverbindungen mit oberflachengewalz-
Laser beam
ten Sitzfláchen Hóhere Gestaltfestigkeit
durch Oberflachenverfestigung, Vortrage
Pressure auf der Tagung der Wnitomasch, Moscow,
Tamping material April 1954, p 119-130
34. A.W. Rabtschenkow, Oberflachenbehan-
Protective overlay dlung zur Erhohung der Schwingfestigkeit
for light absorption ‘ i::: — - ^- von Stahl unter Korrosionswirkungen Hóh­
ere Gestaltfestigkeit durch Oberflachenver­
Part to be y
processed Shock waves festigung, Vortrage auf der Tagung der
Wnitomasch, Moscow, April 1954, p 131 —
152
35. I.S. Koslowski, Festigkeitserhóhung durch
einsatzgehartete Zahnrader im Kraftfahr-
zeugbau Hóhere Gestaltfestigkeit durch Ob­
erflachenverfestigung, Vortrage auf der Ta­
gung der Wnitomasch, Moscow, April
1954, p 153-169
36. W.T. Tschirikow, Erhohung der Festigkeit
und Lebensdauer einsatzgehárteter Kraft-
fahrzeugzahnráder, Hóhere Gestaltfestigkeit
durch Oberflachenverfestigung, Vortrage
auf der Tagung der Wnitomasch, Moscow,
Fig. 38 Lasershot process. Courtesy of Metal Improvement Company, Inc.
April 1954, p 170-180
37. N.A. Karasjew, Erhohung der Dauerfestig-
keit von Maschinenteilen durch Kugelstrah-
Depth, mm len, Hóhere Gestaltfestigkeit durch Ober­
0.25 0.5 0.75 1.25 flachenverfestigung, Vortrage auf der
Tagung der Wnitomasch, Moscow, April
1954, p 181-194
38. D.S. Listgarten, EinfluB von Oberflachen-
giite und Warmbehandlung auf die
Schwingfestigkeit von Federstahl, Hóhere
Gestaltfestigkeit durch Oberflachenverfes­
tigung, Vortrage auf der Tagung der Wni­
tomasch, Moscow, April 1954, p 195-217
39. Shot Peen Forming, Steel, Metalwork.
Week., 7 July 1958
40. “Shot Peening of Metal Parts,” Military
Specification No. MIL-S-13165, 1956
41. “Shot Peening of Metal Parts,” Military
Specification MIL-S-13165 B Amendment-
2, 25 June 1979
42. “Shot Peening of Metal Part,” AMS-S-
13165
43. Werkstofftechnische Verfahr en. Techn. Be-
triebshandbuch der DLH Nr. TBH-90-K,
15. April 1965
F'g- 39 Stress profile of Inconel 718. Courtesy of Metal Improvement Company, Inc. 44. “Spezifikation fur Kugelstrahlen von Metal-
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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 Gear—Technical Infor­ stánde. InMacherau, Hauck: Eigenspannun- 72. L. Mummery, Surface Texture Analysis,
mation for Implementing Main Parts Repair gen—Entstehung, Messung, Bewertung, Hommelwerke GmbH, VS-Schwenningen/
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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,
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MIL-STD-1587 (USAF), 31 July 1976 pany 75. J.B. Seabrook and D.W. Dudley, “Results
48. “Shot Peening,” Report No. 20-10-03, 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-
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51. “Peening Media,” AMS-2431 tung. DGM Informationsgesellschaft, Phys., Vol 43, 1972, p 3893
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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
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54. “Cast Shot and Grit Size Specifications for tional Aeronautics and Space Administra­ ‘Thermal Residual Stress Relaxation and
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55. “Metallic Shot and Grit Mechanical Test­ Life of Hardened Gears by High-Intensity Materials Week (Indianapolis, IN), 15-18
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56. “Cast Steel Shot,” SAE J 827, Society of Space Administration McDaniel, ‘The Effects of Laser Shock
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58. “Procedures for Using Standard Shot Peen­ 69. W. Zinn, Untersuchungen zum Dauerschwi- 81. C. Brent Dane, J. Wintemute, B. Bhachu,
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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
ings that flew into pieces with a bang when being
machined, or even when simply standing on the
floor. It is easy to dismiss such stories, but they
should be viewed as warnings. They warn that,
in certain conditions, castings can have such high
stresses locked inside that they are dangerous and
unfit for sendee—even though they look perfect
(Ref 1). More than $50 million is attributed to ther­
mal stress-generated casting defects. Such defects
can be essentially eliminated through the applica­
tion of computer predictions.
If a casting were to be cooled at a uniform rate
and with a uniform constraint acting at all points
over its surface, then it would reach room tem­
perature perfectly in proportion—perhaps a little
large, or a little small, but not distorted. In prac­
tice, of course, the casting generally is somewhat
large, or somewhat small, and not quite accurate
in shape. Occasionally, it may be very seriously
distorted. Again, in an ideal world, if the con­
straint by the mold were either zero or infinite,
in both cases the casting would be of predictable
size and correct shape.
F¡2 1 ^ Thick/thin-section casting showing tensile stress in the thick section, (b) Even-walled casting showing internal
tensile stresses
Even if a casting were subjected to no mold
constraint at all, it would certainly suffer inter­
nally generated constraints as a result of uneven
cooling. The famous example of this effect is the
mixed-section casting shown in Fig. 1(a). If a
failure occurs, it always happens in the thicker
section. The explanation of this behavior re­
quires careful reasoning. First, the thin section
solidifies and cools. Its contraction along its
length is easily accommodated by the heavier
section, which simply contracts under the com­
pressive load since it is hot, and therefore plastic,
if not actually still molten. Later, however, when
the thin section has practically finished contract­
ing, the heavier section starts to contract. It is
now unable to compress the thin section, which
has become rigid and strong. Thus, the heavy
section goes into tension. Depending on its tem­
perature it will either stretch plastically, hot tear,
or cold crack.
The example shown in Fig. 1(b) is another
common failure mode. The internal walls of the
castings remain hot longest, even though the
casting may have been designed with even wall
sections. This is, of course, simply the result of
the internal sections being surrounded by other
hot sections. The reasoning is therefore the same
as for the thick/thin-section casting in Fig. 1(a).
The internal walls suffer tension at a late stage
of cooling. Tills tension may be retained as a
residual stress in the finished casting, or may
lead to catastrophic failure by tearing or crack­
ing. The same reasoning applies to the case of a
single-component heavy-section casting such as
an ingot, billet, or slab—especially when cast in
steel, which has poor thermal conductivity. The
inner parts of the casting solidify and contract
last, putting them into tension. Because of the
low yield point of the hot metal, extensive plastic
yielding occurs.
There is a further type of internal constraint
that appears to be universal in castings of all
sizes and shapes. It is rarely recognized, but was
investigated by Weiner and Boley (Ref 2) in a
theoretical study of a simple slab casting. They
assumed elastic-plastic behavior of the solid, and
that the yield point of the solid was zero at the
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
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
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.
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
tic range; and (3) a zone at the surface of the
casting where there is a plastic flow in compres­
sion. The overall scheme is illustrated in Fig. 2.
362 / Residual Stress Formation During Manufacturing Processes
Plastic Elastic
Compression
Tensile
stress
Compressive
stress
Fig. 2 Elastic-plastic regimes in a simple slab casting
0 1 2 4 8 16 32
Time in mold before stripping
Residual stresses in aluminum alloy and gray
Fig. 3 iron castings as a function of stripping time
The model probably would be improved, but not
fundamentally altered, by using creep flow be­
havior instead of the elastic-plastic flow behavior
with yield stress a function of temperature.
Richmond and Tien (Ref 3, 4) criticize this
model on the grounds that it does not account
for the friction at the casting/mold interface.
When Richmond and Tien included this, they
found that the casting/mold interface is no
longer in compression but in tension. This is al­
most certainly true for large castings in metal
molds, such as steel ingots in cast iron ingot
molds, where the pressure between the mold and
casting is high, the friction is liigh, and the mold
is rigid. These authors explain the occurrence of
surface cracks in steel ingots in this way. How­
a center bar of more than twice the diameter of
the outer bars would suffer a residual stress of
more than 200 MPa (30 ksi), which was suffi­
cient to fracture the bar dining cooling.
The stress analysis of castings poses several
problems not seen in more traditional problems
in mechanics. Residual stress formation during
casting is a consequence of various regions of a
geometrically complicated component cooling at
Distance »
different rates. The stress response is file result
of coupled thermal, microthennal, and stress his­
tories. Stress predictions are strongly influenced
Plastic ) Liquid by the thermal and microstructural lustories. The
Tension j\ 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
ing process (Ref 7). An overall architecture of a
comprehensive solidification modeling system is
shown in Fig. 5, which depicts the various mod­
ules available in the current state-of-the-art so­
lidification simulation of casting processes, the
information available from each module, and the
interconnection between each module (Ref 8).
The primary and most obvious phenomenon
controlling casting is the transfer of heat from
the cooling metal to the mold. The early models
of casting cooling were straightforward he at con­
duction analyses. However, the mechanics of
fluid flow are important for both mold-filling ef­
fects and physics-based models of interdendritic
ever, Weiner and Boley (Ref 2) are likely to be
porosity formation. Buoyancy effects after the
more nearly correct for smaller castings in sand
mold is frill exert varying degrees of influence
molds. Here, the interfacial pressure will be less,
during the cooling cycle, depending on the thick­
and the surface more accommodating, reducing
ness of the casting being produced. In addition,
the restraint due to friction. Thus, their analysis
analysis of the flow of various chemical species
probably remains the most appropriate for me­
is very important for crystal growth, and many
dium-size shaped castings.
thermofluid models today incorporate species
As in cases where the casting is constrained
flow.
by the mold, removing the casting from the mold
The heat-transfer processes occurring are
at an early stage would be expected to be normally
complex, the cooling rates employed range from
beneficial in reducing residual stress. Figure 3
10 ~5 to 1010 K/s, and the corresponding solidi­
shows the result for iron and a high-strength alu­
fication systems extend from several meters to a
minum alloy (Ref 5). All the observations made
64
thus far appear to be explainable assuming that few micrometers. These various cooling rates
produce different microstructures and hence a
the cause of the development of residual stress
variety of thermomechanical properties. Yu et al.
is the interaction of different members of the
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
tions vary locally from the original mixture as
Prediction of Residual Stresses in material may be preferentially incoiporated or
Castings rejected at the solidification front. The material
between the solidus and the liquidus tempera­
The strain ALiL due to differential contraction tures is partly solid and partly liquid (resembling
is determined by the temperature difference, AT, a porous medium) and is referred to as the
and the coefficient of thermal expansion of the “mushy zone.” Lewis et al. (Ref 10) have given
alloy, a. Since s = AL/L = a AT, a = sE, an account of several aspects of modeling of heat
results in a = cl EAT. The stress therefore de­ transfer, fluid flow, and thermodynamics in cast­
pends on the temperature difference between ings.
members. It is also worth noting that the stress Solidification kinetics, including phase selec­
is independent of casting length L. tion, nucleation, and growth, are now being in­
Further influence of the geometry of Hie three- vestigated in several laboratories. Incoiporation
bar frame casting was found by Von Steiger (Ref of these principles into file more traditional ther­
6), who measured the increase of the stress in the mofluid models promises to enable quantitative
center bar of gray iron castings by increasing the microstructural predictions in the near future
rigidity of the end cross-members. He found that (Ref 9), and predictions of engineering proper­
 Residual Stress Formation During Casting / 363

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 earn,' 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. Tills 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 12-14) and elasto- ¥ Macroporosity (isolated hot spots)
viscoplastic (Ref 15-17) behaviors have been ¥ Microporosity (empirical criteria; e.g., Niyama)
considered with thermo-dependent material prop­ ¥ 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 field during and after mold filling
propriate to model the development of strain and ¥ 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
and growth laws
ings of complex-shape parts (Ref 19, 20). ¥ 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 ¥ Prediction of microsegregation
¥ Enhanced representation ofthe 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 ¥ Hot tearing from yield criteria
since not only thermal and mechanical properties ¥ Prediction of air gap with modification
must be accurately known, but the way the cou­ of heat transfer
¥ 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
commercial and research finite-element codes
are also reviewed. Drezet et al. (Ref 23) predict
the deformation and temperature field evolution
during direct chill (DC) and electromagnetic
(EM) casting of aluminum alloy slabs using a
transient thermomechanical model based on vis­
coplastic law. The model, validated on the basis
of the measurements presented earlier in this ar­
ticle, enables prediction of the influence of cast­
ing parameters on butt curl and swell, rolling
faces pulling, and residual stress state for DC and
EM cast ingots.
Stefanescu (Ref 24) has made an attempt to
predict features such as microsegregation, mi­
crostructure length scale, fraction of phases,
structural transitions, hardness, microhardness,
and tensile properties. Distribution of residual
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
364 / Residual Stress Formation During Manufacturing Processes
MARC. A good idea of product quality and per­
formance can often be obtained at the initial
stage of the product development cycle through
prediction of filling, solidification, stresses, and
shrinkage (Ref 31). Examples of simulations
conducted using an experimental die, an auto­
motive housing, and a wheel in an aluminum
alloy are given.
Finite Element Analysis
An experimental on-site study of the influence
of operating parameters on the quality of castings
produced in a working steel mill would be very
costly and time consuming. It is far more prac­
tical to simulate the entire complex process nu­
merically. Any acceptable mathematical model
should be capable of accommodating variations
in the operating parameters as they arise in prac­
tice so that their effects on the final product can
be predicted. Another requirement placed on the
model is that it be suitable for designing molds
so that the optimum mold type may be used for
given casting conditions and steel qualities.
Since the entire process is dependent on heat
flow from the ingot to the mold and subsequently
to the surroundings, it is logical to detennine the
temperature field at various stages of the process.
From this temperature field, initial strains can be
calculated and the resulting thermal stresses de­
termined.
Since the appearance of the pioneering paper
by Sarjant and Slack (Ref 32), a number of au­
thors have published studies on the development
of mathematical models for calculation of the
solidification process in steel ingots. Although
the solidification of an ingot is a three-dimen­
sional process, it appears to be possible to obtain
an adequate picture of the process using a two-
dimensional model. It has been demonstrated
(Ref 33) that for the ingot dimensions used in
actual practice, a true picture of the solidification
process can be obtained by calculation in a hor­
izontal section at midheight through the ingot.
The thermal model used here uses the Galer-
kin method (Ref 34) and eight-noded quadr atic
isoparametric elements and possesses the novel
feature of using elements with time-varying con­
ductivity to model the heat transfer in the air-gap
that forms between ingot and mold. Calculated
temperature fields may be used to evaluate the
loading stresses, and in this way the thermal
stress development may be determined using ei­
ther an elastic formulation (Ref 35) or an elas-
toplastic formulation (Ref 36). The elastoplastic
formulations have the disadvantage of being un­
able to model any time-dependent creep effects.
The mathematical stress model in this article
embodies a general solution procedure for deter­
mining the development of thermal stresses in
an elastoviscoplastic multiphase body and is ca­
pable of accounting for time-dependent proper­
ties. The constitutive model used is of the type
proposed by Perzyna (Ref 37) and first imple­
mented numerically by Zienkiewicz and Cor-
meau (Ref 38). In this model the behavior of the
material is elastic if a certain function of the
yield condition has a value of less than zero,
while time-dependent viscoplastic flow occurs
when the value of this function is positive. The
model can also be used to give the purely plastic
solution, in which time and viscous effects do
not have real meaning but are used merely as
means for attaining steady-state condition.
The temperature field and the development of
the thermal stress in a section at the midheight
of an ingot casting are calculated and shown.
Finite-Element Formulation of the
Fleat-Flow Problem (Ref 39)
The variation of temperature T with time in a
two-dimensional region Q bounded by a curve
r, for both ingot and the mold, is given by:
where pc is the thennal capacity, and kx, and ky
are the thermal conductivities in the v and y di­
rections, respectively.
The boundary conditions for this partial dif­
ferential equation are the expressions for the heat
fluxes between the ingot and mold and between
the mold and the surroundings. These boundaries
occur- in two regions:
(1) Between the ingot and inner wall of the
mold:
*12 = *12(T, - T2) = ^ Oi - T2) (Eq2)
«12
where 7) is the surface temperature of the ingot
and T2 is the temper atine of the inner wall of the
mold.
(2) Between the outer wall of the mold and
the surroundings:
= h3m (T3 - rj (Eq 3)
where 77 is the temperature of the outer wall of
the mold and 7T is the ambient temperature.
The heat-transfer coefficient/?^ changes when
the air gap between the ingot and the mold
forms. To take this phenomenon into account,
/? 12 is regarded as a function of position on the
ingot perimeter and of time. Oeters et al. (Ref
40) have observed that the calculations are in
good agreement with the actually measured heat-
flow densities in tire gap if the breadth of the gap
is taken to be of the order of 0.5 mm (0.02 in.).
Thus, in the present model, the heat transfer
across the gap is modeled as a conduction mode,
with the conductivity being a function of time
and position on the perimeter. This approach al­
lows the effect of the lubrication used on the
inner wall of the mold (Ref 40) to be modeled
by using a suitable value of the thermal conduc­
tivity in the air-gap region. The heat-transfer co­
efficient between the outer wall of the mold and
the surrounding air takes into account heat trans­
fer by radiation and by free convection. The vari­
ation of density and specific heat with tempera­
ture is handled as discussed by Comini et al. (Ref
41) , and any phase change that occurs is treated
by the method discussed by Morgan et al. (Ref
42) . The thermal conductivities of the ingot and
mold are also allowed to vary with temperature.
The temperature fields in the ingot and the mold
are computed simultaneously using a finite-
element formulation. The region of interest is di­
vided into a number of eight-noded isopara­
metric elements O e, with boundary T e with
quadratic shape functions Nt associated with
each node i. In the isoparametric elements, the
shape fiinctions are used to transform the coor­
dinates (Ref 34), and this enables better repre­
sentation of any curved boundaries that may be
present in tire problem. The unknown tempera­
ture T is approximated in the solution domain at
any time by:
7 = 2 Ntm (Eq4)
i= 1
where 7) is the time-dependent value at node i.
The substitution of Eq 4 into Eq 1 and the appli­
cation of the Galerkin method (Ref 34) results in
KT + CT = F (Eq 5)
in which typical matrix elements are
e j£i‘ \ dx dx dy dy /
dQ, + 2 f hNtNjdr (Eq 6)
e
Cy = 2 JQ . pcNfljdQ (Eq 7)
F, = 2 f N.hTJT (Eq 8)
where the summations are carried out over each
element e.
The coupled system of ordinary differential
equations represented by Eq 5 is solved by a fi­
nite-difference two-stage Crank-Nicolson pre­
dictor-corrector method, and in this way the
complete thermal liistory of the region can be
determined. The change in temperature in a cer­
tain time can then be used to calculate incre­
mental initial node strains 8 £ i via
i«ATil
= j aAT¿} (Eq 9)
l0J
where a is the temperatur e-dependent coefficient
of expansion. An elastoviscoplastic stress model
is then used to calculate the stress distribution
resulting from the application of this initial
strain.
 Residual Stress Formation During Casting / 365

Finite-Element Formulation of the where 8 is the column vector of nodal values 8 r

R = f B rDs,ifC + f BTA.WQ (Eq 23)
Elastoviscoplastic Stress Model (Ref 39) With the displacements at all points given by Eq )n Jn
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
s = B8 (Eq 17) method, a simple Euler iterative procedure is
and plastic components, together with any initial
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
s = se + svp + s¡ (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
f B T odQ = 0 (Eq 18)
is linearly related to the total stress rate by the JQ
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
ó = Dse (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 f BT6flK2 = 0 (Eq 19) have reported extensive results of the investiga­
respect to time. The viscoplastic strain occurs 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
j~ BTD(s - svp - s,)(d = 0 (Eq 20) corners and a side length of 600 mm (23.6 in.).
F (o, Syp) = 0 (Eq 12) Along two opposite sides of the square the sur­
which, on using Eq 17 to substitute for s, be­ rounding mold has a tliickness 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
[ BTDB6r£2 = 0 (Eq 21)
given by: 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
~~ — £ vp = /(o, svp ) (Eq 13) nodes. The nodes are located at the element cor­
dl
K sh - 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 comer 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\

svp = (Eq 14)

d<3

8 16 24 32 46 52
Viscoplastic flow laws can then be written as:

Mold
_ Í0 if F < 0
7 15 23 31 45 51
y(F) [\|/(iD if F > 0

14 22 30 /
Combining Eq 10, 11, and 13 results in the 6 C7^
36) 44 50
complete constitutive relation: 12w 20 w
27
s = D“'o + y (F ) — + s¡ (Eq 15)
3 11 19 (35) 43 49
v39
do

The finite-element stress analysis is performed

Ingot
26
only on the ingot, which is discretized by using 4)
2 10 18 42 48
the same elements and shape functions as were 1p 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 8, by: 1 9 17 41 47

u=ü 2 N¿Si = NrS (Eq 16)

i~ 1 Fig. 6 Finite-element mesh for ingot, air gap, and mesh
366 / Residual Stress Formation During Manufacturing Processes

is run with intimate contact everywhere, and

then the gap opens from the comer toward the
center as time proceeds. In the gap, the heat-
transfer coefficients given by Oeters et al (Ref
40) are utilized as functions of time in the form
shown in Fig. 8. Since the gap width is fixed at
0.5 mm (0.02 in.), this variation is supplied to
tihe model as a variation in thermal conductivity
of the air gap. At the start, the time steps need
to be very small, on the order of seconds, and
they gradually increase up to a value of 2 min in
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
son, the results of Oeters et al. (Ref 40) are also
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.
Figure 10 compares surface temperatures on the
ingot as functions of time and location; the pre­
dicted temperatures are again slightly lower than
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).
The temperature field in the ingot is used for
evaluating the thermal loads employed in the

O
<1)
5CD
Q.
£
(D

Time, min
Fig. 7 Time for air-gap formation Fig. 10 Average value of ingot surface temperature

viscoplastic stress analysis. A plane-strain stress

analysis was performed using a Von Mises yield
criterion (Ref 43). The model is used to give a
purely plastic solution at steady-state conditions
at each stage. The rate of viscoplastic straining
is given by Eq 14, in which the flow function
used is:

4> = Y 7T (Eq24)
■**o

where F0 is some reference value of stress and y

is a fluidity coefficient. The mechanical proper­
ties vary as a function of temperature and are
Time, min taken from Williams et al (Ref 11). A Poisson’s
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.
 Residual Stress Formation During Casting / 367

Figures 12 and 13 show the computed stress z

field in the ingot at two diiFerent times. The re­
A
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 ^ir=^rz 0
reported.
Molten pure aluminum at a uniform tempera­
ture equal to or above the melting temperature is Toil)
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

—— — — — — «+* +

^- - - s f
♦* * % % * \ 1 aty condition at the time of solidification of a Table 1 Thermal properties of aluminum
material print was first discussed by Richmond
■♦ ♦ * % * 1 Property Value
1 (Ref 46) and implemented in one-dimensional
Thermal conductivity in solid, ks 0.0548 kcal/m-s-°C
%* ♦ * % % 1 1 solidification problems by Richmond et al. (Ref
Thermal conductivity in liquid, £L 0.0548 kcal/m-s-°C
4, 47) and in two-dimensional plane stress ap­ Heat capacity in solid, Cs 0.2526 kcal/kg-°C
-* ♦ * * • 1 1 plications by Zabaras et al (Ref 48). Heat capacity in liquid, CL 0.2526 kcal/kg-°C

•* ♦ % • 1 The thermal properties of pure aluminum are Latent heat, L 94.44 keal/kg
1 2650 kg/m3
given in Table 1, and the temperature-dependent Density, p 660 °C (1220 °F)
Initial temperature, T-
* - ♦ * 0 * 1 mechanical properties reported by Heinleinetal. Melting temperature, Tmm 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
pjcj -j 2 One quadrant of the principal stress field after
effects such as rate sensitivity, strain hardening,
4 min and recovery in a rather wide range of tempera­
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, sN = 3/2 Ae c/(r+273)
ical analysis are given by Zabaras et al. (Ref 49). [sin h Bo]"]/ct s
♦ 0 \ * ♦ The examples that follow will consider solid­ A 0.382 X 1012/s
♦ - - * S i ification of a cylinder initially filled w ith liquid B 0.037/MPa
C 18,849 K
aluminum at melting temperature. Part of the n 3.84
« ♦ ♦ . - * i 1 boundary' of the cylinder will be assumed to be
Thermal expansion coefficients, a(T)^(a), m/m • °C X 106
• ♦ * - / 1 cooled down as follows:
At 25 °C 23.19
At 300 °C 27.86
m • •# # % To (f) = Ta + (Tm - r» (Eq 25) At 400 °C
* 30.23
« • ♦ ■ At 660 °C 38.355
* Poisson’s ratio (v) 0.37
where Tais the final steady-state temperature, T m Young’s modulus E(T) =
♦ • ♦ ■ ♦ ✓ -*■ is the melting temperature, and O is a cooling X 104 and G = 43.7152 MPa/°C.
rate parameter. In the following examples. 7a =
— Tension 500 C (930 1). g = 0.2 s' ’. and 7m = 660 (a) l;. The variation of a(T) is assumed to be piecewise linear within the
Compression temperature intervals 25 to 300 °C, 300 to 400 °C, and 400 to 660 °C.
C (1220 °F). Four-noded elements were used for Source: Ref 46
Fig. 13 Principal stress field after 40 min the temperature analysis, while eight-noded
368 / Residual Stress Formation During Manufacturing Processes
quadrilateral elements were employed in the de­
formation part of the problem.
In the first example, it is assumed that the cy­
lindrical body is insulated at the top and bottom
and that the rest of the surface (r = R) is cooled
with the temperature history depicted in Eq 24.
Plane-strain conditions with traction-free outer
surface were assumed. The geometrical param­
eters were assumed as h = 0.04 m and R —
0.018 m. The front position and the temperature
history at various locations are shown in Fig. 15
and 16, respectively. These results were com­
pared with a one-dimensional deforming finite-
element implementation of the problem (Ref 50)
and were found to coincide to within plotting
accuracy. Figure 17 shows the residual stress
distribution with the plane-strain assumptions on
the plane z = 0.002113 m at the end of solidi­
fication, t = 8.32 s. The stress history at the
location r = 0.017714 m and z = 0.002113 m
near the bottom and the surface r = R is also
shown in Fig. 18. As shown, the hoop stress at
the outer surface r — R is compressive, while
near the center of the cylinder all the stresses are
tensile. Generally, the residual stress in the axial
direction is tensile, but it becomes slightly com­
0.02
Time, s
Fie. 15 Front position for solidification of a cylindrical
body uniformly cooled at the surface at r = R
680
660
■ r= 0.006980 m
______ I______I_____ _____ _______
0 2 4 6 8 10
Time, s
Fie 16 Temperature history at various locations for so­
lidification of a cylindrical body uniformly
cooled at the surface at r — R
pressive in the region close to the surface r = R
near the end of solidification. In this example, as
expected, the stresses were found not to signifi­
cantly vary in the axial direction.
In the second example, the geometry and the
temperature boundary conditions are the same as
before. It is assumed that the bottom is fixed in
the axial direction and the traction-free condi­
tions are applied to the top surface and to the
outer surface, r = R. It was observed that the
traction conditions at the top surface affect pri­
marily the axial stress while leaving the radial
and hoop stress almost the same for both free-
top and plane-strain conditions (Ref 51). Large
tensile residual axial stresses appeal' in the region
close to the center of the cylinder. Figure 19
shows the residual stress variation in the axial
direction at time t = 8.3202 s, and the stress
history at location r = 0.0177145 m and z =
0.0010566 m (close to the bottom and r = R) is
given in Fig. 20. The hoop and axial stress his­
tories are almost the same, an assumption used
by Heinlein et al. (Ref 47) to simplify a three-
dimensional problem to a unidirectional one.
Fig. 17 Residual stress distribution in the radial direc­
tion at f = 3.32 s using a plane-strain assump-
tion
5
r = 0.002918 m
4 o Hoop stress
r= 0.002918 m
3 — ----------^
r = 0.002918 m
cl 2 "•Vl S\
S
w •tl
r= 0.017324 m
0
r= 0.017324 m
-1
-2 r= 0.017324 m
0 0.01
Fig. 19 Residual stress variation in the axial direction at time t = 3.3202 s with a traction-free top surface
To demonstrate the effect of melt pressure, a
longer cylinder is considered (h = 0.4 m), and
other conditions are kept the same as those in the
first example. In this case, the pressure at the
bottom of tire cylinder is about 0.01 MPa (0.0014
ksi). The displacements of three points at r — R
are given in Fig. 21, where it is shown that the
surface r = R near the bottom of the cylinder
first expands before it starts contracting. Gener­
ally, the residual stress distribution is very close
to that discussed in the first example; but early
on, the differences of the displacements at r =
R and the stress distribution between this and the
first example can be observed. Also, the hoop
stress was found to have higher values early on
(Ref 51). Therefore, as is expected, one can con­
clude that the melt pressure has a significant ef­
fect on the stress early in the process and can
play an important role in the location and time
of formation of air-gaps in the solid shell/mold
interface. For cases with larger Q (high cooling
rate), it was observed that the solidification pro­
cess proceeds faster and that the calculated
stresses obtained at the end of solidification are
larger than those in the first example (Ref 51).
Thermal stress history with a plane-strain as­
Fig. 18
sumption
o Radial stress
• Axial stress
V
sa\
“°---------------- ■ s \\
%
\o
------ -—
0.02 0.03 0.04
Z, m
 Residual Stress Formation During Casting / 369

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
= 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 =
A solidifying body develops residual (initial)
R, and the top surface are traction-free, while the stresses immediately after solidification and is
bottom is fixed in the axial direction. Principal
o Radi al stress never in a state of zero stresses (stress free).
residual stresses in the r-z plane near the end of
• Axia stress Thermal stress problems carry with them diffi­
solidification are plotted in Fig. 22. Large tensile
— □ Hoof stress culties not normally found in the analysis of ei­
residual stresses appeared at the top around the
r= 0 0177145 m 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
_______ 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
in the formation of the air gap that controls the
and deformation has been investigated by Sathya
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
o 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
E lated temperature and air-gap width shows the
E
~ -0.04 validity of the coupled approach.
0
E The thermal strain fields computed from the
0
« -0.06 temperature fields introduce complications. The
Q_ incompressible nature of plastic deformation
</>
b creates a constraint at each gauss point in an ele­
-0.08 ment. When tire number of constraints arising
from incompressibility exceeds the numbers of
- 0.10 degrees of freedom, locking is said to occur, as
there are no possible solutions for tlris 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
displacement field in the element. The total
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
E not observed (Ref 56). Using linear elements in
N the thermal analysis and quadratic elements in
the stress analysis is the most common strategy
(Ref 49).
0.009
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
tliis 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
370 / Residual Stress Formation During Manufacturing Processes
late with respect to one another, in which case
net longitudinal stress on any cross section now
becomes zero.
One of the main purposes of solidification
modeling is to identify casting designs that are
likely to cause defects due to porosity formed
when shrinkage occurs during phase change.
This porosity, which frequently takes the form
of interdendritic voids, affects the ultimate ten­
sile strength of the casting and hence is to be
avoided. It can be eliminated only when the liq­
uid metal from the riser is able to travel to the
hot spot location to compensate for the solidifi­
cation. Experiments on cast steels have shown
that when the temperature gradient at the end of
the solidification falls to below 10 K/cm, poros­
ity is observed even in well-degassed material.
On the basis of solidification simulation, the so­
lidification time can be found and the tempera­
ture gradients at that instant can be determined.
Based on the contour of 10 K/cm thermal gra­
dient, it is possible to determine the location and
size of the shrinkage defect. However, it may be
noted that the value of 10 K/cm is valid for a
three-dimensional casting, and a different limit
may have to be taken for two-dimensional sim­
ulations. Sathya Prasad (Ref 52) has predicted
the size and location of shrinkage cavities for L-
shaped and T-shaped castings with and without
chills. Residual stress determination must also
make sure that no shrinkage cavity exists in the
castings. If it does, its presence must be ac­
counted for, as there may be stress concentration
around such a cavity.
In the case of continuous casting of steel, com­
pared with ingot casting, several additional dif­
ficulties are encountered when predicting the re­
sidual stresses. High stresses develop in the
solidifying shell as a result of a number of forces
acting externally and internally on the strand.
The values of heat extraction and solidification
are relatively slow for static casting (solidifica­
tion time measured in hours), whereas solidifi­
cation time for continuous casting is in minutes.
A static casting meets with a single cooling en­
vironment over its solidification period, while a
continuous cast section encounters different en­
vironments—mold, sprays, pinch rolls, radia­
tion—before complete solidification takes place.
Thus, continuous castings change rapidly from
one zone to another, resulting in higher thermal
stresses than in ingot castings. A continuous cast
section also is stressed by pinch rolls, bending
and straightening operations duiing solidifica­
tion, mold oscillation, and misalignment of mold
and roller cages. Ferrostatic pressure can also
produce sufficient stress to cause bulging across
the vide faces of large slabs.
ACKNOWLEDGEMENTS
The material presented here is collected from
several papers apart from the work of the au­
thors, who gratefully acknowledge the efforts of
these fellow researchers. The authors especially
thank their students Habib, Paragasam, Parthi-
ban, Revathy, Rushyendran, Sanjay, Vyasa, and
Yun Hung for their generous help in putting to­
gether this article.
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Residual Stress Formation during Casting:
Continuous and Centrifugal Casting
Processes
D. Y. Ju, Saitama Institute of Technology, Saitama, Japan
DETERMINATION OF RESIDUAL
STRESS in manufacturing processes incorporat­
ing solidification, such as casting, welding, and
so on, is important for evaluating the mechanical
properties and strength of materials and to opti­
mize manufacturing conditions (Ref 1 -4). How­
ever, residual-stress formation depends not only
on the thermomechanical behavior and process­
ing effect due to the variation of microstructure
and macrostnicture dining manufacturing of ma­
terials, but also on the interaction of heat con­
duction, change of phase transformation due to
solidification, and stress/strain. A unified con­
stitutive model (Ref 5,6) that describes variation
of the mechanical behavior from viscous fluid to
solid and the mixture domain in the material due
to solidification is necessary. This article pre­
sents some developments in thermomechanical
theory and numerical analysis method incorpo­
rating solidification of material to simulate the
residual-stress formation during casting. A uni­
fied inelastic constitutive relationship capable of
describing both elastic-viscoplastic solids and
viscous fluids to simulate the casting process is
proposed and verified by experimental and nu­
merical results. A proposal based on the finite-
element method to combine temperature and
stress fields as well as deformation during solid­
ification is also presented. The mechanism of
residual-stress formation during continuous and
centrifugal casting can be represented using
simulation. The thermomechanical modeling
was also verified by comparison with the exper­
imental data, such as the measured residual
stress and variation of casting temperature.
Inelastic Behavior and Unified
Constitutive Theory of Metallic
Material in Solidification
When dealing with the high-temperature pro­
cesses incorporating solidification, it is impor­
tant to know the mechanical behavior of material
nearly up to the melting temper ature, and unified tions. The material behaviors at lower tempera­
constitutive models are desirable for describing tures were also examined to cover a vide range
characteristics of both inelastic solid and viscous of temperatures. The temperature variation along
fluid (Ref 7—10). Studies of constitutive rela­ the gage length was controlled within ± 2 °C.
tionships at high temperature have been carried The heating rate of the specimen was nearly 8
out by many researchers (Ref 11-14). In partic­ °C/min, and the test was started after the tem­
ular, many constitutive models for creep and perature was held for 60 min. The tension tests
plastic behavior under some loading paths below were made under strain-controlled condition
700 °C have been developed in the 1970s to with the strain rates of 1.0, 0.1, 0.01, and
1990s (Ref 15-22). However, it is necessary to 0.001%/s. In the creep tests, several stress levels
verify whether these models are applicable to below the yield stress were employed.
mechanical behavior at high temperature close
to the melting point. Therefore, the authors first
carried out tension, creep, and cyclic loading
tests for type 304 austenitic stainless steel from
room temperature to melting temperature, and Table 1 Chemical composition of SUS 304
strain rates depending on flow stress and strain­
Element Composition, wt°/o
hardening behavior were investigated.
Carbon 0.08
Some typical inelastic constitutive equations Silicon 0.59
based on unified constitutive theory, such as the Manganese 1.00
types of Perzyna and Bodner as well as the su­ Phosphorus 0.032
Sulfur 0.005
perposition model, are used to describe high-
Nickel 8.26
temperature behavior and are compared with the Chromium 18.30
test results. The material parameters in the equa­
tions were identified by the data of tension tests
to simulate the creep and cyclic stress/strain be­
Table 2 Room-temperature mechanical
havior for verification of the models.
properties of SUS 304
Property V alue
Experimental Procedure
Yield stress (oy), MPa 274.4
Tensile strength (crs), MPa 607.6
Axial load and displacement (or strain) must
Elongation (<f>), % 62.0
be controlled in tension and creep tests, and the
controlled value should be changeable indepen­
dently of the time interval. A SUS 304 steel with
melting point of 1399 °C was tested. The chem­ M 20X2.5
4)10
ical compositions of material and the mechanical
properties at room temperature are shown in Ta­
\
--------------
^A----------------------- W---------- y-W--------
bles 1 and 2, respectively. The specimen was
shaped into a solid cylinder with two lugs as
shown in Fig. 1. GL50
Four temperature levels, that is—750, 900, 33 104 33
1000, and 1200 °C—were chosen for the exper­
iments since the authors were interested in the 170
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 sy is
and cyclic straining under several stress levels, ponent in the Norton law s = A&\ expressed as the sum of the elastic strain s® and
are discussed in this section. Figure 2 indicates the inelastic strain rate sy-, that is, sy = sy- +
a series of stress-strain curves under monotonic Inelastic Constitutive Models s[., where the elastic strain rate is given by
tension under several strain rates at 750, 900, Hooke’s 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 Perzyna’s 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 Bodner’s model.
stresses, especially at high temperatures above ing and temperature, there has been substantial Perzyna's 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 s = 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 SF
4 = A<v(.F)> — (Eq 1)
effect of strain rate on hardening coefficient in dOy
the same conditions. Figure 4 gives the results
of the yield stress depending on temperature. where A denotes a viscosity constant of the ma­
In creep tests, the stress level was chosen to terial. \\!(F) is a function of the static yield func-
be lower than proof stress a0 2. The creep curves
are shown in Fig. 5, which shows that the creep
strain at 750 °C is very small, while the creep
strain over 1000 °C is to present enough larger
value even when the stress level is lower, so the

Fig. 3 (a) Strain-rate dependence of flow stress at s =

2.0%. (b) Strain-hardening coefficient

ol____ i____ i____ i___i_____ i____i___

0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5
Strain (e), %
Fig. 4 Relation between yield stress and temperature Fig (j Relation between stress and steady-state creep
Fig. 2 Stress-strain curves at several temperature levels under different strain rates ^ ctra ir* rafPc
374 / Residual Stress Formation During Manufacturing Processes

tion F(aik, e]j, k, T) in stress space involving

s1 = X(|o| - oy) (Eq 3)
, 2 ( i r z 2i \ o
f= (Eqll)
inelastic strain s* , hardening parameter k, and
temperature T. As a proposal of viscoplastic con­
stitutive theory, Perzyna has proposed four kinds from which the parameter X, or viscosity jx is to where parameter D0 in Eq 10 and 11 is a material
of functions for y(F), among which a special be identified. constant.
case y(F) = F is employed to give the visco­ The superposition model assumes that the
plastic strain rate = e]/. inelastic strain gf can be decomposed into the Simulated Results by Some Constitutive
time-independent plastic component s?. and the Models
pure time-dependent (creep) strain such that:
w = t {^ s u s u ) <Eq2)
Some results of simulated stress/strain behav­
sjj = sfj + s5 (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 s,j, and a y 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 X
ties, but only two forms are employed here. conventional experimental data stated in the sec­
— Vs ¡i with the viscosity ju.. 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 |i in the Perzyna’s
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
a p - is given as: to be of the same value. Using these parameters,
experimental stress-strain curves under compres­
sion with results simulated by the three models
i fkfu - 5,
y are shown in Fig. 8. The calculated creep strain
lJ (4/V)üldoJdF ^ q;
by superposition model B is given in Fig. 8,
which is compared with the experimental data.
Here, yield stress o y is identified as a function
In order to explain the work-hardening behavior
of equivalent plastic strain sp as:
by these models, Fig. 9 shows two examples of
stress/strain behavior under the cyclic path at
ay = a0{l — /exp(-ps}>)} (Eq 6)
900 and 1100 °C, which are compared with the
experimental data.
where a0, /, and p are material parameters. A
From Fig. 8, the effect of the work hardening
classical creep equation of Norton’s law is used
is revealed to be very small when the tempera­
to describe the creep strain rate e?-:
ture is above 900 °C. The creep curves simulated
by superposition model B and experimental data
sp = m A V m ^ n - » > * » ( i * ) 0 » - ( E q 7)
show almost no difference, and the model re­
flects file mechanical behavior under the cyclic
where a represents the von Mises equivalent
strain path at high temperature. Because the
stress and sc 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 Perzyna’s model B supeiposed by creep can be
axial stress can be written as: used to describe the mechanical behavior of the
material near melting temperature. Among these
(j(j2
c)(»-1V»onAB (Eq 8) models, the Perzyna’s model may also be found
éi =
o^dGyldF to be most suitable to simulate ultrahigh-
temperature behavior including liquid state since
Another superposition model (model B) is it is reducible to the model of the Newtonian
chosen that is a combination of the Perzyna’s fluid above melting temperature.
viscoplastic model and the Norton’s creep equa­
tion (Eq 7). When Eq 8 is adopted to be the re­
lationship for the creep process, the inelastic Numerical Analysis Method of
model under uniaxial stress is then expressed as: Thermomechanical Problems in
Casting
s1 = y(|o| - oy) + Aan (Eq 9)
|o| One must often resort to a numerical analysis
Bodner's Model. A form of Bodner’s model in order to obtain quantitative solutions of non­
is employed as: linear equations in continuum mechanics. How­
ever, regardless of the initial assumptions and
the methods to formulate such a problem in eval­
éy = D 0 exp (Eq 10)
uating the results by numerical methods, the con­
tinuum is, in fact, approximated by a discrete
On the basis of “incremental isotropy” of the model in the solution process. One such ap­
flow, the scalar hardening variable Z - Z1 + Z 0 proach, based on the idea of approximating con­
in the model is taken to consist of the parameters tinuous fields, is referred to as the finite-element
Strain (s), % method. Its simplicity and generality is very at­
of isotropy Z, and directional components Z D .
Fig ft 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
900 °C stress can be derived: linear problems.

The thermomechanical problem incorporating
solidification processes is a complicated frame
of coupling equations, which are not only related
to solid mechanics, fluid mechanics, or heat-
conduction problems, but also involve inelastic
constitutive relationships. The finite-element
method is a powerful tool for finding the nu­
merical solution to simulate such thermome­
chanical behavior in casting. This section dis­
cusses numerical analysis technology, when the
finite-element method is applied to the thermo­
mechanical problem, and what kind of algorithm
is employed to solve nonlinear equations in prac­
tice. Special attention is placed on the phase
transformation in solidification processes in the
numerical analysis, and the effects of latent heat
and dilation due to phase transformation are con­
sidered.
Governing Equation of
Thermomechanical Fields
From the continuum thermomechanics view­
point, solidification is a complicated phenome­
non characterized by the interaction between
temperature and stresses as well as phase trans­
formation from liquid to solid, and the state in
solidifying material termed the mushy zone,
which is a mixture of solid and liquid phases. In
the case of some kinds of casting processes dis­
cussed later in this article, molten metal is
poured directly into a mold in addition to the
existing material. Figure 10 shows boundary
movement with increasing volume as well as in­
terface movement during solidification. Here, an
initial domain Vo at time t including liquid and
solid is considered, and F° is an initial boundary
for the body. AV and Ar denote the increments
of volume and boundary during time period At.
Hereafter any material parameter % is assumed
to be expressed by the mixture law using the
parameters of solid xs and liquid %{ such that:
X = X& + 7Á
(a)
Fig. 9 Hysteresis loop of stress at (a) and (b) 900 °C and (c) 1 I 00 °C
Residual Stress Formation during Casting / 375
with the volume fraction of solid phase £s. equation coupled with heat generation due to
When the initial velocity and stress in fire do­ mechanical work and latent heat ls as:
main Vo are denoted as w°, and c®, and the com­
ponents in A Fare uf and the linear momen­
tum in the combined body V = Vo + AV with
r = r° + Ar having the velocity ut is reduced
to: - p/,1, = PC (Eq 18)
where c, ls, and ( are the specific heat, latent heat,
\pú tdV = f ^ p°ú°dV + f AF p á úfdV (Eq 13) and heat supply, respectively.
P- J J The boundary condition of heat transfer and
thermal radiation can be written as:
where p, p° represent the density of each part.
Then the global momentum balance in the com­ dT
-k h(T - TJ (Eq 19)
bined domain can be represented by: dx¿
-k — n L = qcr4 - It) (Eq 20)
ú L dV = yoüi/tjdr + Avpb.dV (Eq 14)
J J
ÓX¿
f
where Tv, is the temperature of the coolant, and
where ¿, is body force. The total energy balance h and q are the heat-transfer coefficient and
in the combined region with the surface normal Stefan-Boltzmann coefficient, respectively.
n{ is represented by:
Kinetics of Phase Transformation in
jt j p(y «¿«¿ + ejdV = Jr (o y iij Solidification
To identify the volume fraction of the solid
+ hfadr + |v p(y + b L iihdV (Eql5)
phase £,s during solidification (Eq 18), a phase
diagram for the alloying system is employed,
where e and ht are the internal energy and the and the volume fraction of the solid phase fy is
heat flux, and y is the heat supply carried by the assumed to be determined by the Scheil equa­
additional volume of growing body discussed tion:
later.
Applying Gauss’s theorem to Eq 14 and 15,
the local forms of the equation of motion and the = 1 - 4>-1(1_*i,) and = 1 - (Eq 21)
energy equation are obtained:
Here, 4> is a dimensional function that is depen­
p ü = Gyj + pb L (Eql6 ) dent on temperature:
dh _______ (T - T s)/m s_________
|V - PY -• — + Oyfey (Eq 17) (Eq 22)
(T — T s)/m s + (Ty — T)im {
Substituting the Fourier law h — -Afgrad T) where mx and ms are the gradients of the liquidus
(Eq 12) into Eq 17, one can obtain a heat-conduction and solidus temperature Tx and Ts with respect to
(b) (c)
376 / Residual Stress Formation During Manufacturing Processes
the alloying element on the phase diagram, re­
spectively, and k0 is a distribution coefficient
representing the segregation effect. When the
segregation effect is assumed to be neglected, as
in this article, Eq 22 can be reduced to the simple
form:
P= ~ r)/OTi fEa 231
(T - T s)/m s + (7i - T)/m l qj
which is called the lever rule.
Formulation of Numerical Analysis
This section considers formulations of finite-
element method in order to simulate the steady-
and unsteady-state problems in the casting pro­
cess.
Formulation of Finite-Element Method for
Unsteady-State Casting. By using Gauss’s the­
orem and a weighted residual method on the
heat-conduction equation (Eq 18) and boundary
condition (Eq 20 and 21), one can obtain a sys­
tem of finite-element formulation in the weak
form of Galerkin type:
iniT} + + [Hh] + [Ht]){T}
= {&} + (Qt} + {a»}
+ {&} + {Qj (Eq 24)
where [P], [//k], [//h], and [H¿ are the matrices
related to capacity, conductivity, heat transfer,
and heat radiation, respectively. {Qh}, {Qf),
{Qm}, fgT|}, and {Qq} are the vectors of heat
transfer, heat radiation, latent heat, and heat sup­
ply due to stress power by the increasing molten
metal. Due to the time dependence in the finite-
element equation (Eq 24), time discretization is
needed, and a differential scheme based on the
Crank-Nicholson method is employed.
With regard to the nonlinear solution of the
thermal stress problem, an incremental approach
Fig. 10 Model considering growth of domain and solidified mushy zone
must also be used. Since the viscoplastic strain placement rate u, different from vr Then, the
increment of the element at the Ath time step may material-time derivative of any time-dependent
be written by Taylor’s expansion: scalar, vector, or tensor function \|/(xpi) is re­
duced to:
= {s^IaA/ + QH k{Ao}kAt (Eq25)
dVl/ dW
\j/ = ---------- + V¿ ----------- (Eq 29)
dt dx,
where 9 £ [0,1] and ¿4 = (5{svp}/<){<j})¿. Here,
the stress increment can be represented by:
When the term of d(\\i)/dt in Eq 29 vanishes for
steady state, heat conduction Eq 18 is now re­
{Aofi = [D']{Az'}k = [i7]({As}* duced to:
- {As^h - {Asmfi - {As1}*) (Eq 26)
dT dT\
P cV t - - a»s7¡P
c)x ¡ dx¿ \ 3x¿/
with the elastic stress-strain matrix [De], By sub­
stituting the stress increment in the form of Eq
25 into Eq 26, the elastic-viscoplastic stress- - PhVt =o (Eq 30)
tiXL
strain matrix [Z)vp] leads to:
The temperature in each element is expressed by:
[2Tpk = ([1 ] + [W1 (Eq 27)
T = [AHtTU (Eq 31)
Using the variational principle, the finite-
element equation for stress analysis finally can in which [A’] is a trial function matrix. The finite
be obtained as: element formula of heat conduction equation is
obtained by allying the Galerkin method to Eq
30 with the boundary conditions (Eq 19, 20);
[jq {Am} = {AFf} + {AFvp}
thus, an integral form is obtained:
+ (A F m } + {AF t} (Eq 28)
where [K\ is the stiffness matrix, and {APf}, Í [w>rH f -pw Ik
{AFvp}, {AFm), and {AFT} are the incremental
vectors of load included by body force, effect on - | k[G]T[G]{T}dV - Jr[N]VT = 0
inelastic deformation and thermal expansion,
(Eq 32)
and phase transformation, respectively.
Formulation of Finite-Element Method for
Steady-State Continuous Casting. In the
where
continuous-casting process, the material flows in
space, so that the fields of temperature and [G] = [V]T[Ar] (Eq 33)
stress/strain can be generally described in a spa­
tially fixed Eulerian coordinate system x¿ instead and [V]T is a differential matrix. The thermal
of a Lagrangian coordinate A) being moved with flow q can be calculated by Eq 19 or 20. From
the material with velocity Vv In the case of cast­ Eq 32, the formation for finite element analysis
ing, the material velocity Vi is assumed to be a is obtained:
sum of the casting speed v¿ and the small dis­
m + m { T ) = {&} + iGhi + lej (Eq 34)
The first term of the right-hand side of Eq 34
represents the latent heat generation due to so­
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
erally formed by:
[T] - 2 £rp]T^ [N]{v}dV (Eq 35)
{&} (Eq 36)
[W|{v}dri
When the vector of displacement rate {«} and
strain rate {a} in a finite element are interpolated
by the nodal displacement vector {u} in the
forms:

[«} = [W]{ii}e and {£} = [-6 ]{m} 6 (Eq37)
with the strain-displacement matrix [5] depen­
dent on coordinates, the system of stiffness equa­
tion in incremental form is derived from Eq 37
by applying the principle of virtual work as:
[£]{«} = 14) + {iil
+ {7m} + {-¿vl (Eq 38)
The terms in the above equation are summed up
with the element matrices generally shown as:
[K\ = 2 f [BYmmdv (Eq 39)
e>
tfb> = 2 j. [A]Tf[/.'J ¿ [Arj){v}tirt (Eq40)
Ut> = 2 l btiT([a]grad[Ar]j {v}dV (Eq41)
bu = 2 l [£]T[7>e]([p]fe {\}dV
(Eq 42)
Here, the temperature and the volume fraction of
solid phase at the central point of the element are
used in calculation of these matrixes. Total ma­
trix [AT] denotes a total stiffness matrix, and [De]
represents the elastic stress-strain matrix, while
{a} and (V) are the vectors of deviatoric stress
and casting speed. Other vectors {a}, (P), and
scalar w are:
{a} (Eq43)
Trm"
{a} (Eq 44)
km~'
oy
(Eq 45)
(372)!/2 1
Algorithm of Numerical Analysis
In the process incorporating phase transfor­
mation, the coupling effect between the fields of
temperature, microstructure of material, and
stress/strain are essentially to be taken into ac­
count in the analysis. As stated in the previous
section, however, the numerical analysis of
steady-state temperature distribution coupled
with solidifying phase change is made indepen­
dently followed by stress analysis based on ob­
tained temperature field. Here, and assumption
is made on the velocity field in both analyses that
the casting velocity v, is large enough compared
with the displacement rate w, in the case of uni­
form casting, which follows that the velocity {v}
in Eq 35 to 42 is to be replaced by the uniform
casting speed {v}.
Liquidus and solidus lines are determined by
solving the finite element Eq 24 by neglecting
the first term (QJ on the right-hand side repre­
Residual Stress Formation during Casting / 377
senting latent heat generation in the first approx­
imation. By use of the lever rule, the volume
fraction of solid £s is identified, and the term
{<2J is evaluated. The same iteration procedure
was repeated to obtain the converged distribu­
tions of temperature and phase. The obtained re­
sult is applied to determine the displacement rate
vector {u) in Eq 37, and displacement uh strain
By, and stress g„ can be evaluated by integrating
the rate sy, and óy. Moreover, Eq 24 and 38
derived in the previous section are nonlinear
with respect to the temperature {T} and dis­
placement rate {u}, respectively, and special at­
tention is necessary in solving the equations.
Equation 34 lias only one tenn for latent heat
generation determined by volume fraction of
solid £s, thus, it employs the simple method of
iteration.
As for stress analysis, on the other hand, the
nodal forces on the right-hand side of Eq 38 are
the nonlinear functions of temperature T and
structural change being dependent on the rate
{«}. Furthermore, in the region of molten state,
a large strain rate is produced in spite of a small
variation of nodal forces. A modified Newton-
Raphson scheme, or initial method, was adopted
to solve the nonlinear equation.
Residual Stress Formation during
Semicontinuous Casting
Vertical semicontinuous direct-chill casting
process is one of the most efficient methods of
producing ingots of aluminum alloys and other
metals. It is beneficial for optimizing the oper­
ating conditions to simulate the thermomechan­
ical field in the solidifying ingot. Many reports
have been published concerning such finite-
element analyses of the temperature distribution
incorporating solidification, but a few papers
treat the induced stress/strain field: simulations
of thermal stress in continuous-casting slab were
made using an elastic-plastic constitutive model,
for example, Grill, Brimacombe, and Weisen-
berg (Ref 23) and Sorimachi and Brimacombe
(Ref 8), and viscoplastic stresses were simulated
based on the solidification analysis by Williams,
Lewis, and Morgan (Ref 1). However, in their
studies, the influence of casting speed was ne­
glected, so that the numerical simulation along
with the variation of casting conditions cannot
be realized. In order to solve this problem, Ju
and Inoue (Ref 24-26) proposed a numerical
simulation method by Eiñerian coordinate, and
application to the continuous-casting process of
steel slab was carried out.
The aim of this section is to apply the coupled
method of temperature and stresses incorporat­
ing solidification to semicontinuous direct-chill
casting of aluminum alloy. When the bottom
block plate is located at the upper position and
the length of the growing ingot is small, the tem­
perature, liquid/solid interface, and stresses in
the ingot vary with time, both in the sense of
space and of material. However, when the ingot
becomes long enough, the physical field in the
upper part is regarded to be time-independent or
steady in the spatial coordinate fixed to the sys­
tem. In the first part of tins section a steady-state
heat-conduction equation with heat generation
due to solidification is fonnulated in a spatial
coordinate system when considering the material
flow. A numerical calculation for the tempera­
ture m the solidifying ingot as well as the simu­
lation of the location of liquid/ solid interface is
carried out by finite-element analysis.
Most metallic materials at low temperature
may be treated as an elastic-plastic solid. How­
ever, if they are heated beyond the melting point,
the materials can be regarded as viscous fluid,
and they behave in a time-dependent inelastic
manner at high temperature close to the melting
temperature. Therefore, a unified constitutive
model needs to be established to describe the
elastoplastic and viscoplastic behavior of the so­
lidified part of the ingot as well as the viscous
property of the liquid state. Taking into account
the effects of such phenomena, a modification of
Peizyna’s constitutive model as in other sections
of this article is presented in the second part of
the section, and some experimental results of the
viscosity appearing in the model are presented
for the aluminum-zinc type alloy employed. Us­
ing the model, elastic-viscoplastic stresses are
calculated in the ingot to find the residual stress
distribution and are verified by the measured
data from the hole-drilling strain-gage technique.
Finally, results of numerical simulation are
presented on the influence of operating condi­
tions on temperature and stresses, such as ingot
size, casting speed, initial temperature, and so
on, to give fundamental data for optimizing the
operating condition.
Finite-Element Model and Casting
Conditions
The theory and the procedure developed as
discussed previously are now applied to the
simulation of the vertical semicontinuous direct-
chill casting process shown schematically in Fig.
11. The material treated is an aluminum-zinc-
type alloy with 5.6% Zn and 2.5% Mg. A quad­
rilateral finite-element mesh pattern of 600 ele­
ments with 1941 nodes illustrated in Fig. 12 is
employed for both analyses of temperature and
stress fields.
The boundary condition for heat conduction is
assumed in such a way that the temperature of
the meniscus of molten metal is prescribed to be
w0, and that heat is insulated along the central
line and the bottom of the ingot as well as the
surface contacted with the refractory. The cyl­
inder facing to the mold is regarded as the
boundary Sq on which heat flux is given, and the
other part of the surface Sh is given by a heat-
transfer boundary due to cooling of water. Figure
13 depicts the measured heat flux q absorbed by
the mold, and heat-transfer coefficient h depend­
ing on flow rate of water is shown in Fig. 14.
Other data used for temperature calculation in­
corporated with solidification are shown in Table
378 / Residual Stress Formation During Manufacturing Processes
3. Characteristic results of calculated tempera­
ture and residual stresses for an ingot 1 m in
length with the diameter of 240 mm are com­
pared with experimental data to verify the
method. Simulations in other cases of different
Molten metal
Refractory
F¡a 'l Schematic of sem¡continuous vertical direct-
° chill casting
Refractory
Fig. 12 Finite-element mesh pattern for sem ¡continu­
ous vertical direct-chill casting
operating conditions such as casting velocity,
size of the ingot, and cooling rate are also made.
Results of Simulation
Figure 15 indicates a bird’s-eye view and an
isothermal representation of calculated tempera­
ture distribution. The lines denoted by T{ and Ts
in the figure are the liquidus and solidus tem-
0 40 80
Distance from top of mold (d), mm
Fig. 13 Variation of heat flux from top of the mold
F¡g '|4 Distribution of heat-transfer coefficient de­
pending on discharge of cooling water
Table 3 Material properties of aluminum 7075
Heat conductivity, cal/(mm ■ °C)
Density, g/mm3
Specific heat, cal/(g • °C)
Latent heat due to solidification, cal/g
Casting speed, mm/min
Liquidus temperature, °C
Solidus temperature, °C
Gr adient of liquidus line, °C/%
Gradient of solidus line, °C/%
Young’s modulus, MPa
Poisson’s ratio
Viscosity, MPa • s
Initial yield stress, MPa
Hardening coefficient, MPa
Thermal expansion coefficient, 17C
Dilation due to solidification
perature, respectively. Figure 16 shows the data
replotted to give the temperature change at the
center and on the surface, while Hie circles rep­
resent the measured temperature by thermocou­
ples. The fact that the calculated temperature on
the surface coincides well with the measured
data may indicate the validity'' of the simulation
method. Change of the volume fraction £s at four
characteristic points along the distance from me­
niscus is represented in Fig. 17, which may give
the information on progressing mode of solidi­
fication and thickness of solidified shell.
For the simulated results of temperature and
solidification mode presented above, stress anal­
ysis was carried out for the entire area of the
ingot, including the molten metal, by use of the
finite-element equation (Eq 28) based on the
elastic-viscoplastic constitution model (Eq 2).
The displacement mode is depicted in Fig. 18.
Contour of radial, tangential, and axial stress dis­
tributions cr, Oq, and cz are shown in Fig. 19.
The contours of stress distribution are repre­
sented in Fig. 20.
Examples of the calculated stress distribution
120 by elastic-viscoplastic constitutive model and
the one by time-independent elastic-plastic
model are shown in Fig. 21. When compared
with each other, the viscoplastic stress analysis
gives smaller results, at least on the surface, than
elastic-plastic stresses. The stresses are found to
generate at the location where Hie solidification
starts (see Fig. 19 and 20), and the radial distri­
bution becomes steady going downward owing
to the flatter temperature distribution. In order to
examine this effect, the stress distributions at
several locations are given in Fig. 22, in which
the distribution at the very end of the ingot (Fig.
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
fact that the experimental data coincide well with
the analytical results suggests the validity of the
simulation procedure based on the viscoplastic­
ity developed here. As seen from Fig. 22, the
shear stresses are insignificant in the area of mol-
ki = 0.0425; k s = 0.0125 + 0.05837
p = 2.8 X 10~3
c, = 0.015 + 0.001737; cs = 0.083 + 0.002677
l s = 93.16
V = 80.0
Ti = 638
7S = 600
m l = 3.69
m s = 9.09
E¡ = 500.0; Es = 75000.0 - 76.3T
v = 0.33
p = 3700.0 ( T > 346 °C)
p = 0.00717 872 - 21.16987 + 10160.7 (T < 346 °C)
<jy0 = 2.0 (7 346 °C)
0yO = 150.0 - 0.4287(7 < 346 °C)
H’ = 350.0 - 0.133337 (7 2= 150 °C)
H ! = 330.0 - 1.683 (7 - 150) (150 < 7 < 346 °C)
H’ = 0.132 (7 > 346 °C)
a, = 33 X 10“6; a s = 21.8 X 10“ 6 + 0.27 X 10“ 7
TP
II
1

ten state, and the normal stresses ar. and crz (see
Fig. 19 and 21) are regarded to be hydrostatic
stresses, which means that the constitutive equa­
tion employed here reveals modified deforma­
tion of the liquid.
Simulations for Other Operating
Conditions
Let us apply the procedure to cases w ith other
operating conditions. Focus is placed on the ef­
0 100 200 300 400
Distance from meniscus (z), mm
Fig, 16 F'mperature 'variations at the. center and the pjg_ 17 Volume fraction of solid along the distance
& surfaced the ingot. V = 80 mm/min
Residual Stress Formation during Casting / 379
fect of temperature and stress distributions on the
casting speed, size of the ingot, and cooling con­
dition. Figures 23 and 24 represent examples of
temperature profiles for different easting speed
and the radius of ingots with various cooling
rates. The effect of discharge of cooling water
on thickness of the mushy zone at the center is
summarized in Fig. 25. The effects of casting
speed and ingot radius on the stress <re are rep­
resented in Fig. 26 and 27. respectively, and the
relation between stresses and casting speed is
® from meniscus. V = 80 mm/min
summarized in Fig. 28. The simulated stresses
varying with the discharge of cooling water is
also plotted in Fig. 29. The calculated results
shown above seem to simulate the characteristics
of temperature and stresses depending on oper­
ating conditions. If the data of such simulation
is accumulated at different operating conditions
as shown in Fig. 23 to 27. it would be possible
to optimize the design of the system.
Residual Stress Formation during
Centrifugal Casting
From the viewpoint of the solidification mi­
crostructure, materials present various solidify­
ing types: for example, solidification of pure me­
dia and eutectie material should be a smooth
interface between liquid and solid (Ref 28. 29);
however, solidification of the alloy has no ob­
vious interface, but has been a mixture domain
of liquid and solid. Furthermore, as stated in the
section “Numerical Analysis Method of Ther­
momechanical Problems in Centrifugal Cast­
ing,” solidification with growing domain is a
practical process, and it has many important ef­
fects in some practical engineering problems
such as centrifugal casting, welding, and so on.
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.
Because moving the total domain as well as the
boundary will cause an energy variation in the
total system, this problem has general signifi­
cance. However, because it is difficult to con­
sider the entire phenomenon, the beginning of
the study only considers a static problem involv­
ing a moving boundary due to increment of do­
main, and this section discusses an unsteady-
state solidification process. In order to describe
the inelastic behavior using a unified mathemat­
ical model, two aspects are emphasized. One is
that the process is associated with a nonlinear
problem with a moving external boundary de­
pending on time and location, and the other is
characterized by the fact that it incorporates
phase transformation such as solidification based
on the mixture theory.
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
developed elements in the finite-element
scheme. Moreover, latent heat generation due to
solidification is also taken into account by vary­
ing fraction of solidified volume, which can de­
scribe the state of the mushy zone. Simulta­
neously, a method of stress analysi s based on the
obtained temperature distribution is developed,
where an elastic-viscoplastic constitutive rela­
tionship capable of describing the viscoplastic
solid as well as viscous fluid is employed. Flerc.
in order to simulate stress and deformation, one
assumes that the velocity along direction V r is
small and has the same stress state on contacted
380 / Residual Stress Formation During Manufacturing Processes

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.

Analysis Models and Casting

Conditions
Centrifugal casting is one of the most efficient
processes for producing pipes, tubes, cylinder
sleeves, and so on. It is well known that the tech-
nique utilizes the centrifugal force generated by
a rotating cylindrical moldto 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
between both parts, and development of stresses
along the solidified field. Centrifugal-casting
methodshavebeendevelopedtomakem any m a-
chine parts and structures. However, there are no
numerical analyses of the casting process, be­
cause it is difficult to solve temperature field,
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
calculated.
An axi symmetrical model as shown in Fig.
31 (a) is employed for finite-element analysis for
the first model (I), where both ends of mold are
fixed during casting process and the casting roll
is long (L = 5 m) with a large di ameter (internal
diameter of mold d0 = 1270 mm). Moreover, in
order to evaluate the distribution of temperature
and stress fields in the end comer of a pipe, the
authors chose another model (Et) with finite
length (L = 1 m) as shown in Fig. 31(b).
In model I, the material used for the pipe is a
nickel-chromium alloy, and the metal mold is
made of a carbon steel. The rotating speed and
the initial mold temperature is co = 440 rpmand
To = 100 °C, respectively. The initial tempera­
ture of molten metal was 7\ = 1330 °C with
liquidus temperature T¡ = 1230 °C and solidus
temperature Ts = 1140 °C. Since the heat is
transferred from the mold surface to air, the heat-
transfer coefficient is taken as h = 2.78 X 10 ~3
cal/(mm2 • s • °C).
The materials of the metal mold and pipe of
model n are both 7075 aluminum alloy, as used
in the process described in the section “Residual
Stress Formation During Semi continuous Cast­
ing.” The initial mold temperature and molten
metal temperature are chosen as T0 = 650 °C
and = 680 °C, and liquidus and solidus tem­
perature are T¡ = 638 °C and Ts = 600 °C. The
heat-transfer coefficient is chosen as h = 5.56
X 10 ~3 cal/(mm2 • s • °C). The rotating speed
Fig. 20 Iso stress contours. Radial (g), tangential and axial (g.) axial stress distributions. V = 80 mm /min is kept to <o = 540 rpm, and the time period of
 Residual Stress Formation during Casting / 381

v=70 v=80 v=95

mm/min mm/min mm/min

Mold refractory
Radius (r), mm Radius (r), mm
Fig. 21 Calculated stresses (ce) by (a) elastic-viscoplastic and (b) elastic-plastic models. V = 60 mm/min
Radius (r), mm
F'g- 23 Isothermal lines for different casting speeds

v= 70 v= 60 35
mm/min mm/min mm/min

Mold refractory
Radius (r), mm
Fig. 24 Isothermal lines for different ingot radii

Discharge of cooling water (wt), l/min

F¡g 25 Relation between thickness of mushy zone at

pig 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
382 / Residual Stress Formation During Manufacturing Processes

the pouring molten metal is 3 s. Mechanical pa­
rameters of the alloy as shown previously also
are employed.
The same thermal radiation coefficient r\ =
7.028 X 10 “7 cal/(mm2 ■ s ■ K4) is used for two
models, and the radiation condition is situated
on the inner surface of pipe. In model I, heat
insulation condition is assumed on both sides of
the model, while it is also imposed on the outer
surface of the mold in model II.
Results of Numerical Analysis
Results of Simulation for Model I. As the
result of temperature, lines in Fig. 32 show the
temperature variations with time on the inner and
outer surfaces, where solid lines represent the
results of coupled calculation that considered the
heat supply of stress power, while dashed lines
are the uncoupled results without effect of stress
power.
The simulated temperature is compared with
experimental results represented by open circles
measured by radiation thermometer. Figures 33
and 34 depict the distributions of density and
volume fraction of solid in radial direction as the
parameter of time. From the results, it can be
seen that the cooling rate on the inner surface
tends to be slow because of the latent heat gen­
eration due to solidification, while the rate be­
comes larger after the solidification was com­
pleted. The distribution stress associated with
development of solidification is represented in
Fig. 35. Compared with the data of volume frac­
tion of solid shown in Fig. 34, stress in liquid
state, in fact, vanishes, while drastic variation of
the stresses is observed in the mushy zone be­
tween liquid end and solid front. Simulated re­
sults of the residual stresses are plotted in Fig.
36 when the cast region and mold cooled down
to room temperature at / =
Results for Model II. Figure 37 shows the
temperature distribution at different time steps.
Figures 38 and 39 represent the variation of den­
sity and volume fraction of solid. It follows from
the results that the variation of temperature, den­
sity, and volume fraction of solidus in the comer
of model II is increased very rapidly due to cool-

y = 60 mm/min v=75 mm/min v = 80 mm/min

200 -

400

600

Fig. 28 Relation between stresses at the center of ingot

and casting speed
800

1000
48 72 96 120
Radius (r), mm Radius (r), mm Radius (r), mm
Fig. 26 Stress distributions (oe) for different casting speeds

w\ =112 L/min W| =142 L/min w\ = 245 L/min

70 90 110 130 150

Discharge of cooling water (wt), t/min

Fig. 29 Relation between stresses at the center of ingot

and discharge of cooling water. V = 80 mm/
min. z = 112 mm

Radius (r), mm Radius (r), mm Radius (r), mm

Fig. 27 Stress distributions (oj dependent on effect of ingot diameter and cooling water rate. V — 80 mm/min

ing from both ends. Figure 40 shows the devel­
opment of equivalent stress in the growing do­
main under the solidification process. Residual
stresses at the end of cooling are shown in Fig.
41.
Residual Stress Formation During
Strip Continuous Casting by Twin-
Roll Method
Strip continuous casting by twin-roll method
is a promising technology. Not only can the cast­
ing method save energy, but it can also reduce
production costs in the manufacturing of mate­
rial. However, it is difficult to control the quality
of the strip because of the existence of the de­
formation of the strip itself, due to thermal ex­
pansion or thermal stress. Here, there are two key
points: first, if the solidification is completed be­
fore the liquid reaches the minimum clearance
point between the rolls, then the strip will incur
a fixed gap. Therefore, one key point is control­
ling solidification. Another key point is that the
viscoplastic deformation incorporating material
flow has to be considered in this thermomechan­
ical process.
Continuous Casting by Twin-Roll
Method
The twin-roll continuous-casting system is
schematically illustrated in Fig. 42(a). In this
process, molten metal is sent between too rolls
rotating in opposite directions with some angular
velocity. The level of the molten metal is always
kept constant by overflowing the excess molten
metal from the nozzle. As soon as the molten
material is poured into the rolls, solidification
takes place on the roll surface, which is cooled
by circulating water inside the roll. Therefore,
the problem then is to find this steady solidifi­
cation profile and the distribution of temperature
Fig. 31 Finite-element division, (a) Model I. (b) Model II
Residual Stress Formation during Casting / 383
and fluid velocities in both liquid phase and solid in the section “Inelastic Behavior and Unified
phase. On the other hand, due to the symmetry Constitutive Theory of Metallic Material in So­
to the central line, a half part of the model shown lidification.”
in Fig. 42(b) is treated for the analysis.
Calculated Results of Material A
Analytical Models and Parameters
Simulated results of steady temperature dis­
tribution in both the strip and roll are shown in
The procedure developed above is now ap­
Fig. 45(a) for the casting speed of 77.2 mm/s
plied to the simulation of the thin-slab casting
with T0 = 190 °C on the meniscus, and Fig.
process under some operating conditions. The
45(b) depicts the volume fraction of solid phase,
results are summarized as follows. Figure 43
in which the line indicated by ^ = 1.0 shows
represents the finite-element discretization of the
the solid front. Measured temperature distribu-
whole region of the strip and roll. The approxi­
mate velocity field based on the incompressibil­
ity condition and boundary conditions of veloc­
ity due to rotation of roll is shown in Fig. 44.
The roll surface as well as the boundary in con­
tact with the roll and strip is assumed to belong
to heat-transfer boundary and the surface of the
strip to the heat-radiation boundary.
In order to verify the numerical analysis
method proposed in the section on numerical
analysis, too kinds of casting material are taken
into consideration: one kind of material (material
A) is a low-melting-point alloy (tin-bismuth al­
loy), and the other (material B) is SUS 304 steel
mentioned in the section “Inelastic Behavior and
Unified Constitutive Theory of Metallic Material
in Solidification.” The casting speed is set at Vc
= 77.2, 64.5, and 51.1 mm/s. The thickness of Time(f), s
the slab is 3 mm. The initial temperature of the Fig. 32 Temperature distribution (model I)
molten metal is T0 = 190.0 and 185.0 °C, re­
spectively. The material coefficients of tin-
bismuth alloy are used for the temperature cal­
culation and stress analysis. The initial
temperature of rolls is chosen as Tm = 10 °C.
The liquidus temperature and solidus tempera­
ture of tin-bismuth alloy are 7) = 150 °C and Ts
= 138 °C.
When the casting process of SUS 304 is con­
sidered, the thickness of the slab is 1 mm, and
too casting speeds are set: Vc = 400 and 600
mm/s. The properties of material can be found
Fig. 34 Distribution of volume fraction of solid (model I)
384 / Residual Stress Formation During Manufacturing Processes
tion by thermocouples along the central line and
surface of the strip are plotted by data points in
Fig. 46 and 47, while the solid lines indicate the
calculated temperature results. It may be sug­
gested from the figure that the simulations give
fairly good agreement with the experiment.
The stress distribution is shown in Fig. 4 8, and
the results at several locations are given in Fig.
49. The distribution at the very end of the strip
can be seen to grow up again, which may be­
come the origin of residual stresses. Figure 50
gives the comparison of the measured data of the
thickness with the calculated results.
Calculated Results of Material B
Simulated results of steady temperature field
in both the strip and roll are shown in Fig. 51 (a)
and (b) for the casting speed of400 and 600 mm/
s. The fraction of solid phase in solidified region
of the strip with liquidus and solidus temperature
Jj = 1460 °C and Ts = 1399 °C is depicted in
Fig. 52. Temperature distribution along the cen­
tral line is plotted in Fig. 53. In the early stage
of rapid cooling by the roll, the solidified shell
is seen to gl ow gr adually toward the central part.
The change in casting speed is known to affect
the distribution of temperature and shell thick­
ness. As the casting speed becomes faster, the
position of liquid line moves downstream. Fig­
Radius (r), mm
Fig. 35 Stress distribution (model I)
ure 53 shows that temperature distribution on the in some casting processes, which include semi-
slab surface at the roll outlet presents violent continuous casting, centrifugal casting, and con­
fluctuations due to latent heat generation by so­ tinuous casting by twin-roll method A method
lidification domain. When the casting speed Vc to simulate solidification andtemperatureaswell
is raised, the temperature fluctuation toward a as stress distribution in casting is formulated,
small range is presented on the slab surface. and the implementation by finite-element cal-
The distribution of the horizontal stress ax
from meniscus to the junction point at the roll
outlet is represented in Fig. 54. From these fig­
ures, the high-level stress field by rapid cooling
is found to occur near the shell surface, and the
equivalent stress distribution on the slab surface
at the roll outlet al so presents violent fluctuations
due to the temperature fluctuation. The equiva­
lent stress analysis results based on several con­
stitutive equations are plotted in Fig. 55. In the
section of slab at the roll outlet, calculated equiv­
alent stress by three types of constitutive equa­
tions is approximated to the same distribution.
However, when casting speed is lower, the effect
of creep strain is evident.
Concluding Remarks
Radius (r), mm
This article provides a general discussion on Fig. 36 Residual stress distribution (model I)
the framework of thermomechanical theory in­
corporating solidification, and a series of prac­
tical analytical schemes based on the finite- O
o
element method are proposed These schemes
are applied to simulate thermomechanical fields
Radius ( r ) , mm
Fig. 37 Temperature distribution (model II)

dilation ispresentedin this article as an example • The unified inelastic constitutive equation
of the application of theory and procedure de­
veloped in the proceeding. A modification of
Perzyna’s viscoplastic constitutive relationship
is proposed, which reflects actual liquid-solid • In the simulation of stress field, the devel­
phase transformation during the casting process.
The results of simulation are also verified by
comparing with experimental data, and applica­
tion of the technique to other operating condi­
tions is carried out to obtain the fundamental
data of optimal design of the system.
A new algorithm for solving the solidification
problem with growing domain has been pre­
sented as an application of the theory in the sec­
tion on numerical analysis. From simulated re­
sults of the centrifugal-casting process, the
following conclusions can be drawn:
• The theoiy' and method of simulation pro­
posed in the section on numerical analysis are
verified by comparing the calculated results
with the experimental data for temperature on
the inner surface. The relaxation of tempera­
ture variation along time dependence of in­
crement of molten metal and the occurrence
of the latent heat in solidifying domain is dis­
played.
Radius (r). mm
Fig. 38 Variation of density (model II)
Residual Stress Formation during Casting / 385
may describe the stress and deformation in
the entire region of the solidifying process in­
cluding liquid and solid states.
opment of stresses with a following incre­
ment of molten metal is presented. On the
other hand, when the effects of centrifugal
force are consi dered, the residual stresses in
the casting process would occur with the
compressive stress.
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 386 / Residual Stress Formation During Manufacturing Processes
BdlAI ‘(JS) SS8JIS
BdlAI ‘(0O) SS8JIS

Fig. 42 Twin-roll easting system (a) and model for simulation (b)
BdlAI ‘(zs) SS8JIS

Radius (r), mm
Fig, 41 Residual stresses at the end of cooling (model II) -20

E
E_ 20
"S

| 40

S 60

80

100

Distance from center (x), mm

20 15 10 5 0
Fig. 43 Finite-element division for continuous casting
Distance from center x,mm
by twin-roll method
Fig. 44 Velocity field. Vb = 77.2 mm/s
 Residual Stress Formation during Casting / 387

Fig. 46 Variation of temperature along the central line

(material A). C = 190 °C

Distance from center (x), mm Distance from center (x), mm

Fig. 45 Distribution of temperature (a) and volume fraction of solid (b) (material A). T0 = 190 °C

Distance from center (x), mm Distance from center (x), mm

F¡g 47 Variation of temperature on the surface of the
strip (material A). 7"0 = 190 °C Fig. 48 Isostress line in the strip (material A). V = 77.2 mm/'s
 388 / Residual Stress Formation During Manufacturing Processes

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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
 Residual Stress Formation during Casting / 389

(a)

(a) <b)
Fig. 52 Distribution of solid fraction (material B). (a) Vc = 400 mm/s. (b) Vc = 600 mm/s

(b)
F¡g 55 Dependence of constitutive relationships on
® stress distribution, (a) Vc = 400 mm/s. (b) Vc
= 600 mm/s

(a)

<b)

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 ox (material B). (a) Vc = 400 mm/s. (b) Vc = 600 mm/s
390 / Residual Stress Formation During Manufacturing Processes
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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 }-
3) , and general aspects aboul origin and distri­
butions of welding and brazing residual stresses
are now classified. Considerable interest in this
subject is based upon the tact that welding or
brazing residual stresses have various impacts on
the behavior of joined components. In this con­
text, the most important viewpoints are:
• High amounts of total stresses as a conse­
quence of superimposing loading and residual
stresses
• Influence on local yield strength of compo­
nents, depending on sign and multiaxiality of
residual stress slate
• 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
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
Subsequently restricted to metallic materials, an
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
392 / Residual Stress Formation During Manufacturing Processes
stresses are considered, which are assumed to
have similar consequences on components as
loading stresses (Ref 4, 5).
Welding Residual Stresses
Welding residual stresses are the conse­
quences of the fluctuating inhomogeneous tem­
perature distributions arising in the course of the
different welding processes in and around the
weld seam. Heating, as well as the cooling pe­
riod, is of importance. This section outlines dif­
ferent aspects and influencing parameters that
contribute to the amount and distribution of
welding residual stresses.
o (MPa)
m strength of the material, for example, after mul­
y tipass welding.
Fig. 2 Distributions of longitudinal and transverse residual stresses parallel and perpendicular to a two-pass welded
& aluminum plate, TIC, tungsten inert gas; o, and r>„ stresses parallel to the weld toe; <r, and a„ stresses transverse
to the weld toe. Source: Ref 7
Residua! Stresses Due to Shrinking Pro­
cesses. A very important origin of welding re­
sidual stresses is impeded shrinkage processes,
which occur when heated and cooled regions are
neighbored. The basic principle is that heated
volumes shrink during the cooling-down process
according to their coefficient of thermal expan­
sion and the existing temperature difference. It
is assumed that melted volumes do not exert
forces on surrounding volumes. Consequently,
weld seams and surrounding volumes that have
not been melted during the welding process ex­
hibit different thermal and, thus, residual stresses
(Fig. 1) (Ref 6). If shrinking is not impeded, ther­
mal stresses relax completely and no residual
stresses remain after cooling down to room tem­
perature. In the case of the weld seam, starting
from the stress-free state of the melting pool, ten­
sile thermal stresses build up during the cooling
process, which reach the temperature-dependent
yield strength of the material. Consequently, at
the end of the cooling process, tensile residual
stresses exist in the weld seam. If the amount of
restricted shrinkage is high enough, they may
reach the yield strength of the weld seam mate­
rial.
Materials volumes that are at a certain dis­
tance from the weld seam and are not melted
during the welding process undergo impeded
thermal strains during the heating period as well.
It follow's that compressive thermal stresses
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. Howev er,
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
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 wore 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.
Residual Stresses Due to Phase Transfor­
mations. Residual stresses as a consequence of
phase transformations during wolding processes
 Residual Stress Formation Processes during Welding and Joining / 393

In practice, this is not the case. Moreover,

shrinkage and transformation processes overlap,
and the amount as well as the sign of the result­
ing residual stresses strongly depend on the tem­
perature range in which transformation takes
place. The consequences are schematically out­
lined in Fig. 4. It show's, as a function of tem­
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
according to the temperature-dependent yield
strength of austenite. If phase transformations
occur as a consequence of volume increase, ten­
sile stresses rapidly decrease and change to com­
pression. If. in the transformed volume, a ferri­
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 Young’s modulus,E,
cesses connected with volume changes occur lo­ the stiffness, S, of the component, the coefficient
Material E, GPa V o,10-6K-1
cally (Fig. 3)(Ref6). Inhomogeneity of transfor­ of thermal expansion, a, and the remaining tem­
Zr02 210 0.3 10.6
mation processes, which is a necessary perature difference, AT, up to room temperature,
sp| 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, Young’s modulus; v, Poisson’s ratio; a, coefficient of thermal expan- the welding process, different cooling velocities, at relatively high temperatures. In that case, the
si on. Source: Ref 12 or local changes of chemical composition, fit 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

Temperature, °C

4 Interaction of impeded shrinkage and, transfor­

mation for different cooling velocities. Example
1, low velocity,; tsxamples 2 and 3, high velocity, yield
strength; a, stresses; tt, coefficient of thermal expansion;^
Young's modulus; AT, temperature differences; S, stiffness. 5 Influence of heat input on transformation temperature, /, and resulting consequences on shrinkage tensile or
Source: Ref 6 transformation compressive residual stresses. RS, residual stress. Source: Ref i!
394 / Residual Stress Formation During Manufacturing Processes
on the resulting residual stress distributions can
be expected, for example, for steels with high
yield strength at high temperature or for ex­
tremely high cooling rates.
The diagram sketched in Fig. 6 shows the in­
fluence of increasing heat input on the distribu­
tion of transverse residual stresses along a line
Brazing temperature ------------- Room temperature
Fig. 7 Distortion and residual stresses shown schematically in a brazed two-layer compound. Source: Ref 12
g Influence of the thickness ratio hc/hsohhe ceramic and the steel on brazing residual stresses in the outer surfaces
* of the compound. hc, thickness of ceramic; hs, thickness of steel; hbf thickness of solder. Source: Ref 12
perpendicular to the weld seam. In the case of
low heat input (Curve 3, see also Fig. 4 and 5),
one can see that shrinkage and, especially, trans­
formation processes lead to a reduction of tensile
residual stresses or even compressive residual
stresses, resulting in a characteristic W-shape of
the residual stress distribution. In the case of
high heat input (Curve 1), one can expect that
immediately after phase transformation in the
heated weld seam area compressive stresses exist
and that cooling down to room temperature re­
sults in a buildup of high tensile stresses across
the weld seam.
The influence of the chronological sequence
of the transformation processes is especially pro­
nounced in voluminous components. In this
case, a considerable time may elapse before
transformation processes in the fast-cooling
outer layers and the slow-cooling core vol nines
are finished. If transformation-induced stresses
resulting from the inhomogeneous volume
changes lead to plastic deformations, after tem­
perature compensation residual stresses occur
with positive sign in volumes having undergone
transformations first and negative sign in vol­
umes transformed last. In practical cases, how­
ever, this effect always occurs in connection with
residual stresses due to pronounced temperature
gradients in directions perpendicular to the weld
seam. As a consequence, transformation-induced
compressive residual stresses are often observed
with smaller amounts in surface layers compared
with volumes near the core.
Summary. Welding residual stresses are a
consequence of the interaction of the following
separate processes:
• Impeded expansion and shrinkage as a result
of inhomogeneous temperature distributions
• Quenching effects
• Phase transformations
Consequently, the algebraic sign and amount of
residual stresses in the weld seam and the heat-
affected zone depend on the transformation tem­
perature, Tt, which is determined by the time-
temperature-transformation diagram of the
material and also the cooling velocity. Obvi­
ously, the local chemical composition plays an
important role. In addition, the local tempera­
ture-dependent yield strength of the material and
the degree of stiffness of the construction is de­
cisive.
One can see that the basic processes of the
development of welding residual stresses are
widely understood. A prediction of welding re­
sidual stresses in individual cases, however, is
quite difficult because of the relatively great
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
(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
lithic materials alone. In these cases, brazed
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
brazed ceramic-metal compounds combining
hardness and chemical resistance with strength
and ductility of appropriate metallic partners. In
the case of brazing, joining of two partners is
achieved by a melted hard solder, while the ma­
terials joined remain well below their solidus
temperature. Special active solder materials have
been developed to meet the needs of economical
industrial applications. During the cool down
from joining temperature, brazed compounds de­
velop a complex residual stress state. The most
important influencing parameters are:
• The solidification behavior of the solder
• The differences in the thermal expansion be­
havior of the joint materials
• Elastic and plastic properties of the joint part­
ners
• Geometry of the joint compound
• Cooling down conditions (Ref 10. 11)

Thermal residual stresses during the cool down
from brazing temperature and residual stresses
after cooling may be detrimental for the com­
pound and cause distortions or failure during the
manufacturing process or in service. Therefore,
knowledge about residual stress states and their
variation with brazing and geometrical condi­
tions is of high importance in order to realize
compounds optimized for practical applications.
Characteristic Residual Stress Distribu­
tions in Brazed Components. Basic principles
of the development of brazing residual stresses
can be outlined with the aid of Fig. 7. It sche­
matically shows a two-layer compound with lay­
ers A and B and thermal expansion coefficients
«thA > athB (Ref 12). Starting from a stress-free
state, thermal stresses build up as soon as the
solidified braze material leads to adhesion be­
tween the two layers, because of the differences
between the thermal expansion coefficients. This
is outlined on the right hand side of Fig. 7. In
addition to a global bending of the compound,
local bending effects on the lateral surfaces also
can be detected. Consequently, a relatively com­
plex residual stress distribution results. In this
case and if similar thicknesses and elastic prop­
erties of the layers are assumed, compressive
(tensile) residual stresses occur at the outer free
surfaces of layer A (B). Near the joining face,
residual stresses with opposite sign develop.
Consequences of important parameters on re­
sulting residual stress distributions and amounts
have been studied theoretically using analytical
as well as EE models (Ref 12). In most cases,
purely elastic behavior is assumed, which, how­
ever, is not always justified. As an example, Fig.
8 shows the influence of thickness ratio hjhs (hc,
thickness of ceramic; hs, thickness of steel) for
compounds of steel Society of Automotive En­
gineers (SAE) 1045 and Zr02 or Si3N., ceramic.
The calculations are based on a three-layer plate
with silver as braze material and the materials
properties listed in Table 1. The longitudinal re­
sidual stresses, normalized to the temperature
difference, AT, are plotted as a function of thick­
ness of the compound layers. The coefficient AT
is the temperature difference during cooling
-45 MPa
-145 MPa
75 MPa
405 MPa
SÍ3N ~~4 mm ~~J
solder 4 mm j
steel
-145 MPa
-195 MPa
Fig. 9 Examples of residual stresses determined in dif-
6 ferent brazed metal-ceramic compounds.
Source: Ref 12
Residual Stress Formation Processes during Welding and Joining / 395
from brazing temperature, for which the brazing
solder shows elastic behavior. In each compo­
nent, linear stress-depth distributions occur, re­
sulting from a superposition of bending and ten­
sion or compression loading. In Fig. 8 one can
clearly see that tensile residual stresses in the
ceramic surfaces decrease considerably with de­
creasing thickness ratio. If hjbs £ 0.5. com­
pressive surface residual stresses in the ceramic
surfaces always exist. Because differences in
thermal expansion coefficients are smaller for
SAE 1045 Zr02 compounds compared with SAE
1045/Si3N4, amounts of brazing residual stresses
are also larger in the latter case. In most cases,
experimental residual stress determinations in
brazed compounds are carried out by x-ray or
mechanical methods. The results presented in
Fig. 9 confirm the calculations of Fig. 8. In this
case, x-ray measurements were carried out on the
outer surfaces of plates with the dimensions 20
X 20 mm2and the thicknesses indicated.
A considerable uncertainty of calculations ex­
ists in the ignorance about plastic deformations
in the brazed components during the cooling
process, if thermal stresses exceed the tempera­
ture-dependent yield strength. In a number of
cases, neutron stress analyses showed clear evi­
dence of plastic deformations in brazed metallic
components and also in the metallic part of ce­
ramic-metal joints (Ref 13). A typical example
is presented in Fig 10. The diagram shows the
distribution of residual stresses across the center
of a 19 X 19 mm2 brazed SAE 1045/WC-Co
compound. In this case, a Cu-Mn-Co hard solder
was used. In the WC-Co cemented carbide, a
linear distribution of the residual stresses as a
function of the distance from the surface is ob­
served with a maximum tensile residual stress of
approximately 550 MPa immediately at the free
surface. Near the solder layer, compressive re­
sidual stress amounts of more than -600 MPa
are found. In the steel plate, compressive resid­
ual stresses of about 250 MPa exist at the free
surface, which decrease linearly and change sign
at a distance of about 1.5 mm from the surface.
Near the solder layer, a layer of about 2 nun
Depth distribution of residual stresses <j*s ¡n the center of an SAE 1045/WC- Co compound determined by
Fig. 10
neutron diffraction. Source: Ref 13
thickness with constant tensile residual stresses
of about 250 MPa is observed. Measurements
using x-ray diffraction or hole-drilling tech­
niques confirm these distributions in near surface
layers.
In the meantime, more complex residual stress
states in brazed components have also been an­
alyzed. A characteristic example is the exami­
nation of joints of steel and cemented carbides
similar to cutting tools (Ref 13. 14). The typical
geometry investigated is shown in Fig. 11. Ce­
mented carbide tungsten-carbon containing 10
wt% cobalt and 17.3 wt% titanium, tantalum,
and niobium was brazed into a slit of a steel
block made of SAE 4140. Brazing was carried
out using copper as braze foil together with a
nickel mesh in order to keep the thickness of the
brazing gap constant during the brazing process.
FE-calculations as well as experimental stress
analyses were carried out. Residual stresses near
the surfaces of the components are essentially
determined by local or global bending moments
due to different amounts of shrinkage during
cooling and also influenced by the geometry of
the parts under investigation. One can see a
rather good agreement between measurement
and calculations. Such investigations are very
helpful to assess strength or failure behavior of
real components. Already during the brazing
operation, thermal tensile stresses may produce
cracks in brittle materials. In addition, location
of crack initiation as well as direction of crack
propagation under fatigue conditions is clearly
determined by existing residual stress fields (Ref
16).
Summary. Brazing residual stresses play an
important role for the correct function of com­
ponents during service. Because of the different
thermal expansion coefficients and the tempera­
ture cycles involved during the brazing process,
they are. in most cases, inevitable. Because of
the number of influencing parameters, however,
strategies can be developed to avoid detrimental
residual stress distributions, if the basic pro­
cesses are well understood. In this context,
adapted geometries play an important role. Me-
396 / Residual Stress Formation During Manufacturing Processes
Calculated and measured residual stress distributions in a model tool geometry made ot steel SAE 4140 and cemented carbide. Leil.ab component; right,cr5 component;
Fig. 11
above residual stresses in steel; below, residual stresses in cemented carbide. Source: Ref 15
chanical as well as diffraction techniques for re­
sidual stress analysis are available. Analytical
and FE-methods to predict brazing residual
stress distributions and to assess the importance
of individual process parameters are also well
developed.
REFERENCES 1 2 3 4 5
1. E. Macherauch and H. Wohlfahrt, Origin of
Welding Residual Stresses, Materialprii-
fung, Vol 19. 1977. p 272-280 (in German)
2. H. Christian and F.-X. Elfinger, Residual
Stresses in Weld Seams, Der Maschinen-
schaden, Vol 51 (No. 3), 1978. p 124-130
(in German)
3. H. Wohlfahrt, Welding Residual Stresses,
Origin. Calculation, Assessment, Eigen-
spanmmgen, E. Macherauch and V. Hank.
Ed., DGM-Verlag, Oberursel, 1983, p 85
116 (in German)
4. E. Macherauch and K.-H. Kloos, Origin,
Measurement and Evaluation of Residual
Stresses, Proc. Int. Conf. Residual Stresses
in Science and Technology’. Vol 1. Gar-
misch-Partenkirchen, DGM-Verlag, Ober-
ursel, 1986, p 3 26
5. V. Hauk, Structural and Residual Stress
Analysis by Nondestructive Methods, Elsev­
ier. Amsterdam, 1997
6. H. Wohlfahrt, Consequences of Austenite
Transformation for the Formation of Weld­
ing Residual Stresses,Harterei-Technische-
Mitteilungen. Vol 41 (No. 5). 1986, p 248-
257 (in German)
7. W. Zinn, Investigation of the Fatigue Be­
haviour of the Butt Welded Al-Alloys
AlMg3 and AlMg4.5Mn,
Schweifitechnische Forschungsberichle,
Bd. 34, DVS-Verlag, 1990 (in German)
8. T. Nietschke-Pagel and H. Wohlfahrt, The
Generation of Residual Stresses Due to
Joining Processes. Residual Stresses A lea-
surement. Calculation and Evaluation. V.
Hauk, H. Hougardy, and E. Macherauch.
Ed.. DGM Informationsgesellschaft Verlag.
1991, p 121-134
9. T. Nietschke-Pagel, “Residual Stresses and
Fatigue Behaviour of Welded Fine-Grained
Steels,” Ph.D. dissertation, University Kas­
sel, 1994 (in German)
10. O.T. Janeu, D. Munz, B. Eigenmann. B.
Scholtes, and E. Macherauch, Residual
Stress State of Brazed Ceramic/Metal Com­
pounds, Determined by Analytical Methods
and X-Ray Residual Stress Measurements,
J. Am. Ceram. Soc., Vol 73, 1990, p 1 144
1149
11. L. Pintschovius, N. Pyka, R. KuBmaul, D.
Munz, B. Eigenmann, and B. Scholtes. Ex­
perimental and Theoretical Investigation of
the Residual Stress Distribution in Brazed
Ceramic-Steel Compounds, Mater. Sci.
Eng.. A 177, 1994, p 55-61
12. B. Scholtes. Recent Investigations on the
Origin and Distributions of Residual
Stresses in Ceramics and Metal-Ceramic
Compounds, Contraintes residue lies et nou-
velles technologies, CETIM, 1990, p 61 71
13. K. Bing, “Residual Stresses and Distortion
of Different Metallic Materials Brazed with
Steel SAE 1045,” Ph.D. dissertation. Uni­
versity Karlsruhe (TH). 1995 (in German)
14. L. Pintschovius, B. Schreieck, and B. Ei­
genmann, Neutron, X-Ray, and Finite-Ele­
ment Stress Analysis on Brazed Compo­
nents of Steel and Cemented Carbide,
MAT-TEC 97, A. Lodini. Ed., ITT-Interna-
tional, Gournay sur Marne. 1997. p 307
312
15. K. Bing. B. Eigenmann. B. Scholtes, and E.
Macherauch, Brazing Residual Stresses in
Components of Different Metallic Materi­
als, Mater. Sci. Eng.. A 174. 1994. p 95
101
16. B. Schreieck, B. Eigenmann, and D. Lobe,
“Residual Stresses and Failure of Brazed
Joints of Cemented Carbide and Steel Simi­
lar to Cutting Tools, in Joining Ceramics.
Glass and Metal,” DVS-Berielite Band 184,
DVS-Verlag GmbH, Dusseldorf. 1997, p
140-144
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
for the automotive, general engineering, electri­
Metal powder production
(Atomization, chemical, electrochemical, and mechanical processes) cal, electronic, and aerospace industries. Accord­
ing to the information released by the U.S. De­
partment of Commerce, Bureau of the Census,
Mixing
(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
_____________ I_____________ nonferrous metal powders, paste, and flakes. The
I I
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
__________________ I 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
I------------------------ 1------------------------1 ucts with iron powder production capacity ex­
Solid phases Activated Liquid phase
I
ceeding 590,000 metric tons (Ref 1). Powder
I 1 1 metallurgy is reported to be a high-growth in­
Infiltration Rolling Finishing: dustry and a 21st century technology. It has a
1
i significant impact on design viability and eco­
Repressing Extrusion • Machining
■ nomics in key industries. In the aircraft industry,
1
Resintering Wire drawing • Heat treatment the cost of a design using P/M components is
■ 37% lower than a machined component. This has
1
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
398 / Residual Stress Formation During Manufacturing Processes
that new commercial jet aircraft engines made
by Pratt and Whitney and General Electric Com­
pany contain a total weight of P/M superalloy
extruded forging ranging from 680 to 1995 kg/
engine (Ref 2). Powder metallurgy is the only
way to produce certain high-temperature alloys.
Powder-Metallurgy (P/M)
Processing
Ferrous P/M Parts
The use of high-performance sintered ferrous
materials has been increasing steadily in recent
years in the automotive sector because of the
cost-effective manufacturing capability of P/M
to produce products with improved structural
and functional performance along with reliabil­
ity. The commercial use of sintered iron bearings
as a less expensive substitute to the expensive
bronze bearings initiated by General Motors,
USA, during early 1930s. Germany developed
sintered iron driving bands as a substitute to cop­
per during the mid-1930s. During World War II,
both Germany and the United States produced
limited quantities of large sintered iron bearings
for machine components and war vehicles,
thereby demonstrating the economic viability of
sintered ferrous products as a substitute for cast
and machined steel components. A major con­
sumer of P/M parts is the automotive market,
accounting for about 70 to 80% of total produc­
Metal powders, additives, and lubricants
Mixing
I
m
CO
Compacting
J
•a
Sintering
mr
Infiltration
D m
Sizing
a
Finished part Finished part
Fig. 2 Basic P/M process for steel parts
tion. One can expect the continuing influence of
the automotive industry on the fortunes of the
P/M industry. According to he forecast of indus­
trial experts, the global car production will grow
from its 1994 level of 35 million units/yr to 40
million units/yr by the year 2005, thereby pro­
viding ample opportunities for P/M parts pro­
duction (Ref 3). Furthermore, a typical 1998
American family vehicle contains 14.7 kg of P/M
parts, about 5% increase over 1997. The forecast
indicated a family vehicle will contain 22.6 kg
of P/M parts by lire year 2000. Automotive ma­
jor growth areas for P/M include engine trans­
mission, exhaust systems, and antilock brake
systems (ABS). Powder-forged connecting rod
and steel bearing caps are recognized examples
of reliability, innovation, and cost savings. The
American automotive industry is seriously con­
sidering the use of P/M in pinions and pinion
carrier frames in automatic transmissions to im­
prove dimensional accuracy and reduce manu­
facturing costs. The major material in the powder
blend would be steel, consuming about 81,700
metric tons, which represents about 24% of the
total current shipments of iron and steel powder
annually for all applications in North America
(Ref 4). It is expected that the pinion carrier
frame market will be an important new appli­
cation for steel powder during the next decade.
The market for stainless steel products is in­
creasing because of the newer demand of ex­
haust system flanges, sensor rings in ABS sys­
tems, and so forth. The stainless steel powder
shipments are expected to grow more than 10%
D joining during sintering or infiltration. The ad­
I increase in the density and mechanical properties
□ "tí Repressing
1—
U-cr
Resintering i
Finished part
in 1998 in the United States. Powder metallurgy
high-speed steels are finding increasing usage for
cutting automotive gears, aerospace parts, tool­
ing for injection molding, and P/M dies. The
world P/M tool steel market is of the order of
12,000 metric tons.
Powder Metallurgy Parts Manufacturing.
The widely used press-sinter P/M steel parts
manufacturing process is shown in Fig. 2. Care­
fully selected metal powders are mixed with suit­
able additives and lubricants to get the desired
alloy composition, compacting the powder mix­
ture in a shaped die under pressure at room tem­
perature so as to produce a green compact of
required density and strength. The compaction
pressure mil depend on the characteristics of the
powder such as whether it is elemental or preal­
loyed, its particle size, shape, size and shape dis-
tnbution, microstructure, phases present, chem­
istry, and residual stresses in the powder and the
size, shape, and green density of the compact.
After the application of pressure through the
punches, the compact has to be ejected from the
die to produce the green compact. Carbon is usu­
ally added as finely powdered grapláte and 0.5
to 1% dry powdered lubricant such as wax, stea­
ric acid, or metallic stearate to reduce the friction
during compaction. Green compacts are sintered
at elevated temperature below the melting point
of base metal in a sintering furnace with suitable
atmospheres. During sintering, the mechanical
bonds of the powder particles are converted to
metallurgical bonds, thereby leading to densifi-
cation and improvement in mechanical proper­
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
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.
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
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
ditional operations such as repressing and resin­
tering and/or metal infiltration can provide an
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
selection of materials, heat treating parameters,
and processing equipment. If necessary the parts
may be machined, heat treated, or densified by
infiltration, repressing, and resintering. Although
the P/M technology has been used to produce
net-shape products, occasionally some machin­
ing operations such as tapping, threading, and
transverse holes may be necessary. In such in­

stances, machinability of P/M parts can be im­
proved with appropriate treatments. Powder met­
allurgy products may be subjected to mechanical
working as in the case of cast product or may be
directly processed from powders by rolling, ex­
trusion, or forging with additional advantage.
Parts may be consolidated to frill density by hot
pressing or by HIP as in the case of alloy steel
powders. Other relatively more recent consoli­
dation techniques include high-temperature sin­
tering, warm compaction, and metal-injection
molding (MIM) and rapid prototyping.
Powder Characteristics
The basic raw material for P/M processing is
the metal powder, and successful processing will
depend on the characteristics of the powders. A
knowledge of the characterization of powders is
fundamentally important in many critical stages
of the processes such as mixing, compaction,
sintering, and postsintering operations that will
govern the final structure and properties of the
products. However, the characterization of pow­
ders presents many challenges because of the
complexity of properties and the large number
of variables involved (Ref 5,6). Even for a single
particle, one can distinguish between the char­
acteristics of the material and the characteristics
introduced by the manufacturing method. The
material characteristics include chemical com­
position, theoretical density, melting point, and
structure. The characteristics introduced by the
manufacturing method include particle size,
shape, microstructure, density, reactivity, and
surface conditions. Since the powders generally
consist of a large number of particles with vary­
ing characteristics, it is essential to distinguish
the characteristics of a mass of powder, includ­
ing size and shape distribution, surface area, ap­
parent density, tap density; flow and friction con­
ditions of the powders; size, shape, and
distribution of porosity and microstructure
within the powders; and internal stresses and
compressibility. Thus, there are large number of
variables and properties, and the general char­
acteristics of the powders depend on the manu­
facturing method and treatment of the powders.
Powder Production. Important methods for
the production of powders can be classified into
(1) atomization of molten metal, (2) chemical
reactions, (3) electrochemical methods, and (4)
mechanical processing of solid materials. Sev­
eral techniques are available in each category;
for example, the atomization of molten metal can
be achieved by liquids such as water, oil, differ­
ent gases, vacuum, ultrasonic, and centrifugal
methods. Chemical methods are reduction of
metal oxides and other compounds with carbon
or other gases, decomposition of metal hydrides
and carbonyls, condensation of metal vapors,
and precipitation of metals from salt solutions.
Electrolytic deposition can be from aqueous so­
lutions or fused salts. Various types of milling
and machining methods are used in the mechan­
ical processes. In addition, a variety of tech­
niques are used to produce ultrafine and nano­
powders with special characteristics. The
Residual Stresses in Powder-Metal Processing / 399
selection of a particular method will depend on
the desired characteristics and intended appli­
cation of the powders and the economics of the
process.
Iron and steel powders represent a major part
of the metal powders currently produced.
Among the steel powders, the stainless steel and
tool steel powders share is relatively low, of the
order of 5%; however, one can expect a high
growth rate on account of their increasing usage.
Although a large number of methods are avail­
able for the production of iron powders, the re­
duction of iron oxide and atomization of molten
metal dominated the market by virtue of their
inherent technical and economic development
potential. The major difference in the two pow­
der production processes lies in the development
of the crude powders (Ref 7). In the sponge iron
process, crude powder is porous and irregular,
while in the atomizing process the particles are
denser and more regular. The raw material iron
ore or mill scale is reduced in one or two steps.
The single-step reduction process consists of re­
duction of oxides by hydrogen in a belt furnace
or in a fluidized bed, while in the two-step pro­
cess—such as Hoganas—the iron ore or mill
scale is first reduced to an intermediate product
known as sponge iron in tunnel kilns. The
sponge is crushed and ground, and the powders
further reduced and annealed to the final iron
powder.
In the atomization process, a high-carbon (4%
C) iron is air atomized and annealed for decar-
burizing the particle core and reduction of the
particle surface oxide. Another method consists
of shotting or atomizing high-purity pig iron into
rather coarse particles, which after ball milling
are treated in a reduction annealing process to
remove carbon and oxygen, as in the case of
Quebec metal powder process. In the Domfer
process, the shots are ball milled and mixed with
fine mill scale and then annealed to make iron
powder. Direct-water atomizing a molten steel
to the desired particle size distribution and then
annealing was subsequently adopted by the lead­
ing manufacturers throughout the world. For P/M
structural parts, iron powder or alloyed iron
powder is mixed with copper, graphite, nickel,
other elemental additives and a lubricant before
compaction. Recent advances are in the devel­
opment of highly compressible powders, alloy­
ing methods, and mixing technology of the con­
stituents.
T o improve the homogeneity of steel powders,
prealloyed powders have been developed by
melting alloying elements with iron and then at­
omizing the melt. These powders have similar
chemical characteristics but a reduced compress­
ibility, and this reduction in compressibility is
proportional to the type and amount of alloying
elements. However, the loss in compressibility
can be made up by techniques such as repeating
the basic compaction and sintering stages or by
hot pressing, HIP, or by powder forging. The
compressibility of prealloyed steel powders
could be improved with a small addition of mo­
lybdenum. Another development is the partially
prealloyed powders, in which alloying elements
are bonded by diffusion to iron powder particles
in order to minimize powder segregation and
compositional variations in the individual sin­
tered components. Many ferrous alloy compo­
sitions with copper, nickel, and molybdenum
have been developed (Ref 8, 9). The mixing of
powders is influenced by the powder character­
istics such as particle size, shape, size and shape
distribution, and composition. Often in the dif­
fusion-alloyed powder, diffusion of alloying ele­
ments during sintering is incomplete, leading to
heterogeneous microstructures in the product.
The mixed powders have some drawbacks such
as demixing, poor flow and die fill, dusting of
fine particles, and relatively lower green strength
after compaction. These problems have been
solved by utilizing a new concept in which a
binder acts as a glue to bond the smaller particle
size alloying elements to the larger iron-base
particles (Ref 10-12). Different alloying meth­
ods for ferrous powders are shown schematically
in Fig. 3. Thus, the alloying method of ferrous
materials significantly influences the distribution
of alloying elements, compressibility, and the
nature of porosity and microsfructure of the sin­
tered product.
Molybdenum and nickel are commonly used
in low-alloy P/M steel powders for increasing
the strength, hardenability, toughness, and fa­
tigue resistance. The oxides of these elements
could be reduced during the annealing treatment
of the water-atomized powders. However, these
alloying elements are more expensive, and ef­
forts are being made to replace them with less
expensive manganese and chromium. In P/M
steels, these elements are generally maintained
below 0.3% because of the difficulty in reducing
the oxides during annealing (Ref 13). However,
this problem can be solved by mixing the base
iron or prealloyed powders with higher-carbon
ferrochrome and ferromanganese and sintering at
1250 °C for the reduction of chromium or man­
ganese oxides. Sintered parts containing chro­
mium and manganese have a tendency to pro­
duce larger dimensional changes, and the same
have been overcome with the addition of nickel
(Ref 14). Oxygen pickup of manganese- and
chromium-containing steels can be reduced by
using oil as the atomizing medium instead of wa­
ter. Further oil atomization can be used for car­
bon-containing (<6% C) rapidly quenched pow­
der with low oxygen content (Ref 15). Iron
powder as well as high-alloy steel powders are
produced with an oxygen content lower than 100
ppm (0.01%) by oil atomization (Ref 16).
The P/M stainless steel sector is an important
and growing part of industry because of their
oxidation and corrosion resistance and good
physical and mechanical properties. Powriers are
produced by water atomization with irregular
characteristics, while gas atomization using ni­
trogen or argon wall provide spherical shape.
Considerable progress has been made in the at­
omization techniques including real-time visu­
alization (Ref 17, 18). Commercial grades in­
clude AISI 410, 440C, 446, 304L, 304, 347,
400 / Residual Stress Formation During Manufacturing Processes
316L, 316, and 317. Tool steel powders are also
produced by either water atomization, or gas at­
omization with argon or nitrogen. These pow­
ders have uniform composition and fine micro­
structure, resulting in excellent hardness with
less distortion during heat treatment. The P/M
approach also enables production of newer tool
steels with liigher alloy content but without the
segregation of alloying elements.
Rapid solidification is another possibility in
the case of atomization of molten steels. This
will reduce the micro- and macrosegregation
continuously with increasing solidification rate.
Other advantages include increased solid solu­
Fig. 3 Schematic distribution of alloying elements in different alloying methods, (a) Admixed, (b) Partially alloyed, £c)
Binder bonded, (d) Prealloyed
Cooling rate, K/s
Fig. 4 Pooling rates and secondary dendrite arm spacing of metal powders/substrates for different atomization tech-
ñiques
bility and the formation of metastable or glassy
alloys. In principle, the latter case represents
zero segregation since the liquid state is pre­
served to room temperature with minor changes
in the atomic rearrangement. The dendrite arm
spacing as a function of solidification rate for
metals is shown schematically in Fig. 4. Ingots
and large castings have a solidification rate of 10
to 10 _ 3 K/s; subsonic gas atomization induces
solidification at about 10 to 102 K/s, water at­
omization at 102 to 104 K/s, and ultrasonic gas
atomization at about 101 to 105 K/s. Metallic
substrates of 20 pm have a solidification rate of
about 104 to 106 K/s, while finer metallic sub-
strate of 10 pm to submicron thickness have a
solidification rate of the order of 10s to 1010 K/
s (Ref 19). A variety of centrifugal atomizing
processes have been developed to produce pow­
ders of finer particle size. Gas dissolution in
metal melt and gas atomization have been de­
veloped to produce steel powders of less than 20
pm in size (Ref 20). The growing interest in
MIM has increased the demand for finer iron and
steel powders. Iron micropowders produced by
decomposition of carbonyl iron process have
spherical particle shape, fine particle size, and
average size in the range of 4 pm or lower with
good sinterability (Ref 21). Improvements in the
commercial atomization process has enabled
production of steel powders with mean particle
size in Hie range of 4 pm for MIM (Ref 22).
Extremely fine iron powders of the order of 50
A have been prepared by the evaporation and
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
monly used as a secondary operation in the pro­
duction of iron powders from spongy cakes of
oxide-reduced, sintered, or agglomerated, at­
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
mer, disk, rod, ball, vibratory, and fluid-energy
mills are used for this purpose. For making finer
powders or solid-state alloying, high-energy
mills such as attrition, vibratory, or large-diam­
eter tumbler mills are used. There is an increas­
ing use of high-energy mills for producing alloy
and composite powders having unique micro­
structures through mechanical alloying. The
technique is used as another nonequilibrium pro­
cessing such as rapid solidification for reproduc­
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
chromium carbide by mechanically alloyed pow­
ders containing 30 to 50% Cr and 2.3 to 4.8% C
with better wear resistance than Stellite (Ref 27).
Mixing and Blending of Powders. Iron and
steel powders of the required characteristics are
to be produced by blending different size frac­
tions of the metal powders to obtain the desired
apparent density and flow of the powders for die
filling. Powders of different constituents are to
be added to produce the desired alloys during
sintering. Lubricants are to be added to assist
compaction, reduce wear, and increase the die
life. Depending on the mixing device—such as
rotating drum, double cone or twin shell, screw
mixer, or a blade mixer—the mechanisms of
mixing may be predominantly diffusion, con­
vection, or shear. Double-cone and twin-shell
mixers, with or without internal intensifier
blades, are used for dry mixing of iron and steel
powders. In forming processes such as injection
molding (Ref 28), powder-binder feedstock have
to be prepared with uniform distribution of
binder and ferrous powder particles throughout

the feedstock. The binders may be thermoplastic
mixtures of polymers, waxes, oils, lubricants,
and surfactants. Thennoplastic binders are
mixed at intermediate temperatures where shear
is dominant by using screw or plunger extruders
or sigma blade mixers. The powder binder mixes
and subsequently granulates before injection
molding. For injection molding, fine steel pow­
ders in the micron-size range are used to produce
intricate shape and improved sinterability with
the binder in the range of about 40 vol%, de­
pending on the packing characteristic of the
powders.
Compaction in Rigid Dies
Unidirectional compaction is the most widely
used manufacturing method for structural steel
components. Powder pressing is carried out in
rigid steel or carbide dies under pressures of the
order of 150 to 900 MPa. Lower pressures are
used for porous ferrous bearings, and the pres­
sure gradually increases with increasing density
such as low-density, medium-density, and high-
density products with less than 10% porosity.
The compacts maintain shape by cold welding
and interlocking of powder grains within the
mass. The green compacts must be sufficiently
strong to withstand ejection from the die and
subsequent handling and transport to the sinter­
ing furnace. The final shape and mechanical
Upper punch
Compaction
completed
Fig. 5 Compaction cycle for a single-level part
Residual Stresses in Powder-Metal Processing / 401
properties are related to the level and uniformity
of the as-pressed density known as green den­
sity. Compaction cycle for a single-level part is
shown in Fig. 5. A desired amount of mixed iron
powders is automatically gravity fed into the die
along with core rod to produce a hollow shape
from the hopper through a feeder shoe and com­
pacted with the help of upper and lower punches
at a pressure, depending on the density require­
ments of the part. The upper punch is withdrawn,
the lorver punch ejects the pressed compact, and
the feeder shoe slides the part away from the die
cavity. The cycle is automatically repeated by
charging, powder filling of the die. Compaction
cycle can be classified as single, double, or mul­
tiple action depending on the complexity of the
part to be produced. Movement of only the upper
punch is usually termed single action, while rela­
tive motion of two members—either both
punches with stationary die or upper punch and
die with lower punch stationary—is termed dou­
ble action. Multiple action utilizes several tool
members arranged in order to support each level
of the component separately. Depending on the
complexity, P/M components can be classified
into one of the four classes (Ref 29):
• Class I: components are single level with sin­
gle shape and low length-to-diameter ratio
that will allow single-action compaction.
• Class II: compounds are single level with
higher length-to-diameter ratio and require
double action.
• Class III: components have two levels and are
termed external- and internal-flanged com­
ponents and require double-action compac­
tion.
• Class IV: components have three or more lev­
els.
These are multilevel parts of different thickness
and contour, and they have to be pressed with
multiple forces from two directions. A variety of
compacting presses are available with wide-
ranging pressing capacities and production rate
capabilities. Compacting presses are mechani­
cally or hydraulically driven, but can incorporate
a combination of mechanically, hydraulically, or
pneumatically driven systems.
The tool design should take into consideration
the nonuniform transmission of pressure to the
mass of powder in the die, limited lateral flowq
as well as the ejection of the compacted part
from the die in the direction of pressing. The
density within the green compact decreases with
increasing length of the compact since the pow­
ders do not behave like liquids under pressure
and the applied pressure is not uniformly trans­
mitted. Double-action compaction can improve
the pressure distribution, but generates a lower-
density region in the middle of the compact.
Therefore, length-to-diameter ratios exceeding 3
to 1 are not generally recommended. Normally
reentrant grooves, reverse tapers, and lateral
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
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
avoided as they introduce stress raisers that may
lead to crack formation as a result of the stresses
induced by the elastic expansion or springback
during ejection of the part from the die. The size
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.
The double-action tooling system is used to
produce class I and II parts. Force is applied to
the top and bottom of a part simultaneously. In
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
the die is mounted on a spring or a yielding
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
die and withdrawal tooling methods. For very
high production rates of simple parts of the order
of 60,000 to more than 100,000 pieces/h, me­
402 / Residual Stress Formation During Manufacturing Processes
chanically driven rotary presses or anvil presses
are used.
Isostatic Compaction
Some of the constraints of rigid-die compac­
tion such as long thin-wall cylinders and parts
with undercuts, and so forth, can be overcome
by isostatic compaction. In cold isostatic press­
ing, water or oil is used as the pressure medium.
The powder is contained in a flexible mold such
as polyurethane and is compacted with the same
pressure in all directions through the fluid pres­
surizing medium (Ref 30). Pressure ranging
from 200 to 400 MPa or more of the order of
800 MPa can be used. When the elastomeric
mold along with the powder can be removed
from the pressure vessel, the technique is known
as wet bag tooling, while the technique in which
the elastomeric mold is fixed to the pressure ves­
sel is known as dry bag tooling. Since the pres­
sure is applied isostatically over the entire sur­
face of the part, more uniform density is
achieved through the entire part than in the case
of rigid die pressing. Isostatic pressing is used
in the manufacture of 30 cm cylinder liners (Ref
31), P/M tool steels, stainless steels, and alloy
steels. Other compaction processes include tri­
axial compression by simultaneous isostatic and
uniaxial compression, high-energy-rate compac­
tion, explosive forming, slip casting, and vibra­
tion compaction (Ref 32, 33). Compaction in
rigid dies at very high pressures of the order of
3 GPa have also been carried out using T15 high­
speed steel dies and punches. These steels are
manufactured by HIP of inert-gas-atomized
powders with a composition weight percentage
of 12 W, 5 V, 5 Cr, 5 Co, and 1.6 C. The process
known as cold sintering (Ref 34) or high-pres­
sure consolidation at ambient temperature has
been used for processing T15 high-speed steel
and 410L stainless steel with improved proper­
ties. Full-density fine iron nickel powder com­
posites with 80 vol% VC and Cr3C2 have been
successfully consolidated by cold sintering.
Sintering
Green ferrous parts produced by compaction
are sintered at elevated temperatures in a con­
trolled atmosphere so as to produce sintered
parts with the desired microstructure and me­
chanical properties. Sometimes loose powders
are also sintered to consolidate them for certain
applications, such as porous filters and elec­
trodes or for model experiments to study sinter­
ing. Sintering is a key operation for the devel­
opment of sintered ferrous alloy components
intended for structural applications. It is a ther­
mal treatment of the powder or a compact at a
temperature below the melting point of the main
constituent to increase its strength by bonding
the particles together. A variety of physical,
chemical, and metallurgical transformations oc­
cur during sintering, and these are influenced by
sintering conditions such as temperature, time,
atmosphere, and cooling rate as well by the
chemical composition of the powder mass. Dur­
ing sintering, atomic diffusion takes place, and
the neck formed among the powder particles as
a result of bonding will grow, leading to im­
provement in mechanical properties. In the case
of atomized prealloyed powder particle, the mi­
crosegregation within the powder particle, if any,
will be eliminated. The reaction between the sin­
tering atmosphere and the surface oxides or ad­
sorbed gases on the powder particles will clean
the surface, thereby promoting the diffusion pro­
cess. When the alloying additions are in the form
of elemental powders, the diffusion process will
lead to the beginning of alloying. As the sinter­
ing proceeds, recrystallization and grain growth
may follow, the pores tend to become rounded,
and the total porosity decreases, resulting in den-
sification. Depending on the constituents and na­
ture of initial powder mass, the lower-melting-
point constituents melt with the formation of
liquid phase, or the liquid phase may be eutectic
or transient, which will facilitate rearrangement
and diffusion resulting in faster pore elimination
and densification. Alloying additions such as
copper and phosphorus in iron will result in the
formation of liquid phase during sintering at a
lower temperature than those of silicon, iron, or
tool steels. As the sintering continues with in­
creasing temperature, there is likely to be more
densification and more homogeneous alloying.
After sintering, the sintered mass is cooled to
room temperature. Depending on the composi­
tion of ferrous alloys and cooling rate, the re­
sultant structure may be annealed, normalized,
Slow cooling
zone
or quenched; the process chosen will govern the
mechanical properties of the final product.
Sintering Furnaces and Atmospheres. Dif­
ferent types of continuous production furnaces
are used for sintering. These include the mesh
belt conveyer furnace, the pusher furnace, roller
hearth furnace, and walking-beam furnace. In
addition, different batch-type furnaces and
vacuum furnaces are also used. The longitudinal
section of a muffle-type continuous production
furnace is shown in Fig. 6. The first section of
the furnace is the preheat or delubrication/burn-
off zone, into which, after loading, the green
parts enter and the compacting lubricant is re­
moved from the green P/M compact. Next is the
sintering zone, in which the parts are sintered at
a specific temperature and time in a suitable at­
mosphere. This is followed by a short, slow-
cooling zone to reduce the thermal shock and
develop the microstructure and a final cooling
zone with water cooling and a protective atmo­
sphere to a sufficiently low temperature so that
oxidation does not occur when the sintered parts
are unloaded.
In a continuous mesh belt conveyor furnace
sintering is carried out at 1120 °C. The function
of file sintering atmosphere is to control the
chemical reactions between the ferrous materials
being processed and file furnace surroundings.
An atmosphere may be used as source for one or
more chemical elements as in the case of addi­
tion of carbon to iron in a carburizing furnace
atmosphere. The atmosphere may also prevent
loss of alloying elements present in the materi­
als, or the atmosphere may be used to remove
the decomposition products of the lubricants
from the fiimace, thereby preventing their dep­
osition in the furnace interiors. In the case of iron
and steel components, the atmosphere will aid
the reduction of the oxides on the surface of the
metal particles in the compact and control the
carburization and decarburization. The oxidation
and decarburization are caused when oxygen,
water vapor, and carbon dioxide are present in
improper proportions with respect to the hydro­
gen and carbon monoxide content in the sinter­
ing atmosphere. Iron oxides are reduced by hy­
drogen, carbon, and carbon monoxide, while
carburization is caused by hydrocarbons such as
methane or by carbon monoxide.
Typical atmosphere compositions, atmo­
sphere functions, and corresponding tempera-
Hanging Hanging
curtains curtains

tures for sintering steel are shown in Fig. 7. The
most frequently used sintering atmospheres are
endothermic gas, exothermic gas, dissociated
ammonia hydrogen, and vacuum. The composi­
tion of principal furnace atmosphere constitu­
ents, such as conventional and synthetic nitro­
gen-base atmospheres, along with the chemical
requirements, such as the ratios of various at­
mospheric constituents for different furnace
operations—for example, reduction of surface
oxides, carburization, decarburization, and burn­
ing lubricant vapors—are given in Tables 1 and 2.
Now consider sintering a green compact made
out of elemental powders of iron, copper, graph­
ite, and lubricant. The product should be free
from soot and the admixed graphite should be
uniformly diffused into iron particles as com­
bined carbon, resulting in an optimal pearlitic
microstoucture during cooling with minimum
carbon loss. After melting, copper should be uni­
formly distributed over all particle surfaces in
the part. Good bonding between the particles and
relatively rounded pores are required for struc­
tural integrity. At least five stages are required
to complete the sintering process, which will oc­
cur in five different zones of the furnace, out­
lined in Fig. 7 and summarized in Table 2.
While sintering iron graphite powder, the tem­
perature has a profound effect on the amount of
combined carbon formed for a given sintering
time. Furthermore, the cooling rate after sinter­
ing also influences the strength and hardness.
Sintering of iron-copper involves bonding of
iron to iron, iron to copper, melting of copper,
solution and diffusion of copper in solid iron,
and solution and precipitation of iron in liquid
copper. Iron-copper-carbon sintered products
• 425-625 °C • 625- • 1040-
1040°C 1120°C
uniformly oxides coating, or
infiltrating
• Burn and • Carbon • Bonding
sweep out diffusion • Carbon
lubricants to
control
front exit
Atmosphere • Lightly •Highly • Reducing
composition oxidizing reducing
• Neutral • Neutral to
to carbon carbon
preferred
Fig. 7 Schematic of typical furnace condition for sintering steel
Residual Stresses in Powder-Metal Processing / 403
give high strength due to the combined effect of
copper causing precipitation strengthening and
increasing hardenability of steel, but they lack
toughness. Sintering of alloy steel will depend
on the type of alloying such as elemental, preal­
loyed, diffusion alloyed, or a hybrid mix. Mixing
elemental powders provides high compressibil­
ity, but for homogenization and uniform com­
position good diffusion rates must be maintained
during alloying. During sintering, partially al­
loyed steels containing nickel, molybdenum, and
copper will form numerous nickel-rich areas of
austenite, sometimes surrounded by high-carbon
martensite because of the slow diffusion of
nickel and faster diffusion of copper and molyb­
denum.
High-Temperature Sintering. High-tem-
perature sintering is currently used to sinter at
temperatures above 1120 °C, which is difficult
to handle in the conventional belt furnaces. De­
pending on the alloy system and processing con­
ditions, typical temperatures for high-tempera­
ture sintering of ferrous alloys are in the range
of 1180 to 1350 °C. The advantages of high-
temperature sintering include:
• The use of reactive elements such as man­
ganese, chromium, silicon, and so forth,
which would otherwise oxidize at conven­
tional sintering temperatures
• Possibility of extending the sintering tech­
niques to new alloy systems and materials
structures that are not possible at lower sin­
tering temperatures, such as frill-density tool
steels, stainless steel with improved corrosion
resistance, and metal-matrix composites
• Improve the distribution of alloying elements
* 1120-815°C • 815 °C
to ambient
Unloading
sintered
products
• Cooling • Prevent oxidation
rate or controlled
control light oxidation
• Reducing • Slightly reducing
or neutral or
slightly oxidizing
• Neutral to
carbon
preferred
such as nickel molybdenum, copper, and so
forth through enhanced diffusion at higher
temperatures; the increase in diffusion rate
also results in better densification and spher-
oidization of porosity
• The formation of liquid pirase at higher tem­
peratures further helps in the densification of
the product.
However to take frill benefits of high-tempera­
ture sintering, the critical processing steps must
be identified and controlled (Ref 36, 37). These
include the variations in sintering parameters
such as time, temperature, and atmosphere, as
well as their influence on tire sintered product.
High-temperature sintering has been used as a
means of reducing the oxygen content irr powder
preform forging, although the process was not
adopted for the production of sintered steel until
1970. This is mainly due to the lack of devel­
opment in high-temperature sintering furnaces,
higher cost of production for making compo­
nents in batch-type Irigh-temperature sintering
furnaces, and inadequate knowledge on Irigh-
temperature sintering of ferrous alloys. Subse­
quently, interest in Irigh-temperature sintering
revived with improvements in furnace technol­
ogy for processing full-density tool steels and
specific ferrous alloys with improved properties.
Stainless Steels. Corrosion resistance of pow­
der metallurgy stainless steels is inferior to that
of the wrought alloys of tire same composition,
and so there is a need to investigate and improve
the properties of these sintered products. High-
temperature sintering in appropriate atmospheres
with controlled cooling rate can produce sintered
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
the deleterious interstitial elements andincreases
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
the order of 200 °C/min or faster is required to
prevent the absorption of excess nitrogen with
the formation of Cr2N. The formation of chro­
mium oxide or nitride reduces the corrosion re­
sistance. It has also been reported that the poor
corrosion resistance of 316 stainless part with
5100 ppm nitrogen, 3000 ppm oxygen, and
0.12% C can be improved by sintering in 75H/
25N atmosphere for 30 min at 1205 °C followed
by fast cooling. The oxygen content is found to
be 3000 ppm, while nitrogen content reduced to
2100 ppm and carbon to 0.07%. Excessive car­
bon is generally caused by residual lubricant,
while high oxygen content is due to the high
dewpoint of the atmosphere. Low dewpoint gas
atmosphere of -40 °C or vacuum sintering is
required for optimal corrosion properties. Pre­
cipitates of chromium nitride or carbide will not
only reduce the amount of chromium available
to form a protective oxide film, but will also
404 / Residual Stress Formation During Manufacturing Processes

change the chemical potential of the matrix de­
pleted of chromium from the remaining material
to form a protective oxide film and results in a
galvanic couple, thereby accelerating intergran­
ular corrosion. Sintering studies based on rela­
tive contribution diagrams of 316L stainless
steel filters have shown that corrosion resistance
will depend on the average pore size (Ref 38).
Filters produced by sintering at higher tempera­
ture are found to have better corrosion behavior
in NaCl, although they had the same extent of
sintering as measured by the final porosity. The
improved corrosion resistance is attributed to the
healing of fine pores, wliich are detrimental. Im­
proved corrosion resistance with increased sin­
tering temperature of some stainless steels is re­
ported in Fig. 8 (Ref 39).
Liquid-phase formation as a result of high-
temperature sintering will lead to more complete
alloying, improved densification, and even at­
tainment of full density. Theoretical density can
be achieved in the Fe-0.5B-0.6C, wt% at 1300
°C, because of the formation of increasing
amounts of the eutectic by the diffusion of iron
(Ref 40). The shrinkage and the sintered density
is a function of boron content and is strongly
affected by the carbon content. In the iron-silicon
system, sintering is promoted by a transitory liq­
uid pliase that disappears at liigher temperatures.
However, the sintering is activated by the pres­
ence of silicon, which stabilizes the ferrite phase
where diffusion is liigher. Other ferrite promot­
ers such as tungsten and molybdenum improve
the density. However, the ferrite formation does
not allow heat treatment, but hardening can be
achieved by the fonnation of molybdenum and
tungsten carbides.
Tool Steels. Many of the problems related to
the conventional cast and wrought high-speed
steels can be overcome by adopting P/M meth­
ods. In tliis approach, powders of the required
composition are produced by gas or water at­
omization of the molten metal. The gas-atomized
powders are spherical and are densified by can­
ning followed by HIP or hot extrusion in the
solid state at about 1100 to 1150 °C. The primary
MC and M6C carbides in this process are finer,
of the order of 1 to 2 pm. However, these billets
require extensive finish machining to produce
the end products. The water-atomized powders
are irregular and can be die pressed or cold iso-
statically pressed to green compacts of 70 to
75% density followed by vacuum sintering at
about 1240 to 1330 °C to full density. This
method can produce near-net-shape components,
but file use of higher sintering temperatures re­
sults in coarser carbides of the order of 2 to 15
pm. Hot isostatic ally processed components are
more expensive, but will have superior proper­
ties and performance as dies and cutting tools
particularly for complex broaches and gear hobs.
The general application of P/M tool steels can
be classified as: high-speed cutting and machin­
ing operations, cold working, processing and
molding of engineering plastic, hot (warm)
working, die casting, and precision wear parts.
The selection of a particular P/M tool steel for
a given application depends on a number of fac­
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, dewpointmay 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), '
i emper ature
Furnace Time, Sintering Sintering Atmosphere Hydrogen
zone °C °F min phase subphases requirement (b) Methane Water Flow' Circulation
1 delube 425-650 800-1200 10-30 Delubing Lubricant vaporizing, Fast, uniform heat 2-7 0-0.1 0.5-1.5 High toward Highly
vapor burning, transfer, slightly entrance desirable
flushing vapors to oxidizing
entrance
2 preheat 650-1070 1200-1960 5-15 Elimination Oxide reducing, Highly reducing to 5-15 0.1-0.3 0.01-0.03 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 1070-1150 1960-2100 10-30 Particle Copper diffusing, neck Neutral to carbon 3-8 0.2-0.5 0.01-0.02 Medium Desirable
temperature bonding (bond) growing, reducing toward
pore rounding entrance
4 slow cool 1150-815 2100-1500 5-15 Carbon Carbon transferring, Uniform slow cooling, 2-7 0.3-1.0 0.01-0.02 Medium Highly
restoring homogenizing slightly carburizing toward desirable
entrance
5 cool down 815-50 1500-120 30-90 Cooling Pearlite forming, part Slightly reducing or 0-2 0-0.1 0.01-0.02 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
 Residual Stresses in Powder-Metal Processing / 405

ating conditions anticipated, compatibility with ing temperature is raised to solidus, a certain elusion 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, 3.1 V. 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 narrow—of the time of sintering. High-speed tool steel T15 has ment by the electroslag heating (ESH) tundish
order of 3 to 5 °C—necessitating uniform tem­ a wider sintering temperature range than M2 process. These improvements in the P, M pro­
perature distribution in the furnace (Ref42). 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 Mf>C 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° o. The for­ steel (1.550, 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, 0.0940, 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 pm have shown their individual carbides and stringers act as stress
erostrueture 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 pm, as the presence
of these will result in the rejection of the molds.
Grade Temperatura, Atmosphere Dew point. Cooling rate,
“FfC) °FfC) “F/min i”C/min) The newer P/M tool steels have a significant
positive effect on both manufacturing properties,
0 2250 H2 -60 150 such as electrodischarge machining ability’, pol-
303L (1232) (-51) (66)
2100 D.A. -40 150 ishability, and mechanical properties. They have
N/0 (1149) HO) (66) also exhibited improved tool performance in ap­
plications such as cutting tools, molds requiring
0 2250 H2 -60 150 high surface finish fine blanking tools, powder­
303LSC (1232) (-51) (66)
2060 H2 -40 225
compacting tools, and highly stressed cold-form­
N/0 ing tools.
(1127) M0) (107)
N/0 2060 D.A. -40 150
(1127) (-40) (66)
Treatment of Sintered P/M Parts
0 2250 H2 -60 150
304L (1232) (-51) (66)
2060 D.A. -40 150 Although sintered parts can be used as such,
N/0 (1127) (-40) (66) some of the parts are sized or repressed in order
to maintain closer tolerances or higher densities.
0 2250 H2 -60 150
316L (1232) (-51) (66) Certain sintered products require additional
N/0 2100 H2 -37 225 treatments such as infiltration, oil impregnation,
(1149) (-38) (107) machining, joining, steam treatment, plating, and
N/0 2060 D.A. —40 225
(1127) H°) (107) other corrosion-protection treatments and heat
treatment.
0 2250 H2 -60 150 Infiltration is a process of filling the pores of
317L (1232) (-51) (66) P/M parts with a metal or alloy of lower melting
N/0 2060 H2 -40 150 point to increase the density, strength, hardness,
(1127) (-40) (66)
2060 D.A. -40 150 ductility, or impact resistance of the component.
N/0
(1127) (-40) (66) The properties of sintered iron P/M parts have
been i mproved with the infiltration of copper. It
0 2250 H2 -60 150 is important to control the infiltration tempera­
SS-100 (1232) (-51) (66) ture for developing proper microstructure and
rv
u 2060 H2 -40 225
(1127) (-10) (107) hence the mechanical properties (Ref 48).
ft 2060 D.A. -40 225 Joining P M components can be used to pro­
(1127) (-40) (107) duce complex shapes or to produce products
2060 D.A. -40 150
N/0 (1127) (-10) (66) with different properties by joining P/M parts
with different materials, including conventional
components. Joining can be achieved by sinter­
Immersion time, h
ing, infiltration, or by projection welding, arc.
resistance, or electron beam welding. Sintered
Fig. 8 Corrosion resistance of various P/M stainless StOfels. Hours of immersion by open beaker method in . v ..
solution until 1 % of surface is covered by rust Or stain. Source : Ref 39 P/M parts can also be brazed with special braz­
406 / Residual Stress Formation During Manufacturing Processes

ing materials. Other joining methods include
gluing, press fitting, upsetting, riveting, and bolt­
ing.
Oil impregnation will provide the part self­
lubrication. as in the ease of bearings, or greater
resistance to corrosion. Impregnation can be ac­
complished by soaking the parts in an oil bath
or by a vacuum process.
Machining is minimal in P/M components
and is limited to operations such as undercuts,
cross holes, or threads. Frequently, machining
operations such as tapping, threading, drilling,
or surface grinding are necessary for sintered P/
M parts. Since the sintered materials are porous,
it is necessary to keep the cutting tool sharp. The
factors affecting the machinability of P M steels
are composition, porosity, microstructure, pro­
cessing conditions, inclusions, and machining
parameters (Ref 49). The effect of various maeh-
inability-enhancing additives or composition
Distance from surface, in. (mm)
FÍ2. 9 Effect: of density on the hardenability of P/M
y steels
changes to sintered products has dominated most
of the investigations, and these additives have
included lead, bismuth, tellurium, selenium,
CaO, MoS2, and MnS. Although porosity is nec­
essary for certain applications such as self-lubri­
cants. it has a detrimental effect on machining,
leading to interrupted cut and acceleration of tool
wear and poor surface finish of the product. In
this context, studies on the machinability and en­
hancing additives are very significant for in­
creasing the application range of sintered prod­
ucts.
Sintered materials are more susceptible to at­
mospheric corrosion than solid materials be­
cause of the porosity that will not only increase
the reactive surface, but will also provide favor­
able sites for condensation of liquids that may
cause corrosion. The extent of corrosion depends
on porosity, which is governed by the sintered
density of the material. The porosity can be
closed by resin impregnation or steam treatment.
For impregnation resins such as polyester, resin
diluted with styrene is found to be suitable, and
the impregnation is carried out in an autoclave
followed by hardening the resin using heat treat­
ment. Resin-impregnated sintered components
are also useful for pressure-tight applications.
These components can also be plated with cop­
per, nickel, chromium, cadmium, zinc, and so
forth for improving surface corrosion or the ap­
pearance of the sintered parts.
Steam treatment is another method to close the
porosity of sintered parts and/or to increase the
corrosion resistance and mechanical properties
(Ref 50). Steam treatment is carried out in spe­
cial furnaces with overheated steam at around
550 °C for 1 to 2 h. This treatment will provide
a black iron oxide (l e,0..) layer of about 5 pm
thick on the surface that is hard and wear resis­
tant.
Heat Treatment. Sintered steel components
are often subjected to heat treatment in order to
optimize the physical and mechanical properties
of the product. These heat treatments include an­
nealing. through hardening, and case hardening.
While heat treating P/M parts, special consid­
eration needs to be given to the density, com­
position, quenching or cooling method, tempera­
ture, atmosphere, and the equipment-related
variables such as temperature uniformity and at­
mosphere control.
The response of a P M part to a particular heat
treatment will depend on its thermal conductiv­
ity. which is related to the density of the sintered
part. Fligh-density P/M parts and wrought ma­
terial parts have high thermal conductivity, en­
suring rapid heating and cooling, while parts
w ith low density take longer to heat and cool,
thereby necessitating special quenching or cool­
ing methods. Another factor to take into consid­
eration is hardenability, which decreases with in­
creasing porosity. During case hardening, case
depth may increase with increasing porosity, as
shown in Fig. 9 (Ref 51). Another factor to be
considered is the surface morphology—the
amount of open porosity at the surface. The
amount of surface open porosity increases with
decreasing density. Accordingly, decisions have
to be made about the type of quenchant. the type
of equipment (such as salt bath) to be used, and
so forth for hardening. The micrograph in Fig.
10 shows the effect of surface morphology on
the ability to carburize FC-0202 (0.2C, 2Cu) ma­
terials (Ref 51).
Alloying elements have a direct influence on
the hardenability of ferrous P/M materials. The
compositions of some P/M structural steels are
given in Table 4. The alloying elements are car­
bon, copper, nickel, and molybdenum. As the
alloying content increases the eutectoid of the
steel generally shifts to a lower carbon content
in the phase diagram, while the critical cooling
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 W
" eq Hardness, HRC
Wear-resistant high-speed steels containing 3—4% V
ASP23, APM 23, CPM M3, Micromelt M3, FAX 31, DEX 20, KHA 32 M3 Til 323 SKH53 1.3344 1.3 6.25 5 3 16.25 65-67
CPM M4, Micromelt M4, Isomatrix S690, HAP M4 M4 Til 304 SKH54 1.4 5.75 5 4 15.75 65-67

Heat-resistant and superhigh-speed steels containing 5-12% Co and 2- -6.5% V

CPMM35 M35 SKH 55 1.3243 1 6 5 2 5 16 65-67
CPM Rex 54 1.5 5.75 5 4 5 15.75 66-68
ASP3U APM30, CPM Rex 45, Micromelt HS 30, Isomatnx S7W, 1.3 6.25 5 3 8 16.25 66-68
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 66-68
CPM Rex 76, Micromelt HS 76 M48 Til 348 1.5 10 5.25 3 8.5 20.5 67-69
HAP 50, DEX 62 1.5 8 6 4 8 20 67-69
Isomatrix S390 1.6 11 2 5 8 15 66-68
ASP60, APM60, KHA 60 1.3241 2.3 6.5 7 6.5 10.5 20.5 67-69
DEX 80 2.1 14 6 5.5 12 26 68-70
HAP 70 2.2 12 9 5 12 30 69-71

Cobalt-free superhigh-speed steels

CPM Rex 20 M62 T11362 1.3 6.25 10.5 2 27.25 66-68
CPM Rex 25 M61 T11361 1.8 12.5 6.5 5 25.5 67-69

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
 Residual Stresses in Powder-Metal Processing / 407

the continuous-cooling curve shifts to the right.
Increasing the carbon content tends to increase
the tensile strength. Maximum strength occurs at
a carbon level between 0.8 and 0.9%. However,
above the car bon level of 0.77%, the austenite
that forms at the grain boundaries results in a
brittle structure. The addition of copper also
strengthens and helps to sinter harden some low-
alloy steels. Copper' has a strong influence on
dimensional change, and precise control of cop­
per and carbon is required to maintain consistent
dimensional change. Addition of nickel to 2%
and in certain cases up to 6% improves the heat
treated properties of the steel. Nickel lowers the
austenitizing temperature and increases harden-
ability. Molybdenum additions in the range of
0.5 to 1.5 are useful since it has a higher diffu­
sion rate than nickel. However, more care should
be taken in the heat treatment of molybdenum-
containing steel, and the molybdenum carbide
formed during tempering can provide secondary
hardening. Powder metallurgy parts may be oil
quenched, which is less severe than water and
brine due to improved distortion control and
minimized cracking. Fast oil with improved heat
transfer characteristics is preferable. Since the P/
M part can absorb oil, proper care should be
taken during cleaning. In addition to oil, water,
brine, or aqueous polymer solutions can be used
with improved rate of heat transfer, but accel­
erate the part corrosion on account of the residual
quenchant that can be trapped in the surface of
pores. For hardening and case hardening, the
temperature must be high enough to fully aus­
tenitize the material so that it will quench to a
martensitic structure. A higher austenitizing tem­
perature is required for oil quenching than for
water or brine quenching. Tempering and steam
treating are performed below the austenitizing
temperature, a uniform distribution and dissipa­
tion of heat are needed to ensure consistency1 of
the end product. With increasing carbon and
nickel content, the austenitizing temperature is
decreased, while other alloying elements slightly
increase the austenitizing temperature and time.
More than double the soaking time is required
for less-dense P/M products than for wrought
material because of the lower thermal conductiv­
ity. Considering the atmosphere of endothermic
gas, a nitrogen/methanol atmosphere or a nitro­
gen-base atmosphere can be used as long as the
carbon potential is controlled to prevent oxida­
tion or reduction. During case hardening, the at­
mosphere should be neither carburizing nor de-
carburizing to the materials. The amount of
additive gases such as methane, propane, and' or
ammonia should be a function of density and
degree of open porosity in the part. Sinteredsteel
parts with low density and with highly open sur­
face will have less uniform case depth and less
well-defined interface between case and core.
These defects can be minimized by controlling
the relative amounts of additive gases. Important
heat treatments of P/M steel parts include har d­
ening by austenitizing and quenching; processes
that improve surface properties such as the case
hardening methods of carburizing, carbonitrid-
ing, nitrocarburizing, and nitriding; tempering;
and annealing.
Carburizing is carried out on P/M parts with
relatively large cross-sectional thickness to ob­
tain maximum fatigue and impact properties.
Parts with more than 15% porosity' are not rec-
onunended for carburizing. Carburizing materi­
als generally contain nickel, molybdenum, and
copper with a combined carbon level of 0.3 to
0.35% for a porosity of 10 to 15% and the com­
bined carbon is reduced to 0.15 to 0.25% for
porosity of less than 10%. These steels are gen­
erally gas carburized at about 900 to 930 °C for
shorter cycles with a higher carbon potential than
for wrought material.
Carbonitriding is a gas-carburizing process in
which about 10% ammonia gas is introduced
into the gas-carburizing atmosphere at about 800
to 850 °C. The ammonia dissociates, and the ni­
trogen formed diffuses into the steel surface si­
multaneously with carbon, thereby retarding the
critical cooling rate on quenching, leading to a
more consistent martensitic transformation. Care
should be taken to avoid excessive nitrogen dif­
fusion, which will lead to embrittlement. Car­
bonitriding, because of its lower operating tem­
perature, provides better control of distortion
than carburizing.
In plasma nitriding, an ion discharge or
plasma of positive ions and electrons is set up
between two electrodes in a vacuum chamber
containing low-pressure nitrogen gas. The ions
bombard the P/M part that forms the cathode,
heating to temperatures of the order of 470 to
570 °C, cleaning them by dislodging surface at­
oms and depositing active nitrogen, which is cre­
ated by ion collision with nitrogen molecules in
the gas.
Induction hardening is recommended for
those parts requiring a hard and wear-resistant

Table 4 Composition of P/M structural steels

Composition limits (b), °/o

Description MPIF (a) designation c Ni Cu Fe Mo

P/M iron and carbon steels F-0000 0-0.3

F-0005 0.3-0.ó
F-0008 0.6-0.9
Iron-copper and copper steels F-0200 0-0.3 1.5-3.9 93.8-98.5
F-0205 0.3-0.ó 1.5-3.9 93.5-98.2
F-0208 0.6-0.9 1.5-3.9 93.2-97.9
Iron-nickel and nickel steels FN-0200 0-0.3 1.0-3.0 0-2.5 92.2-98.0
FN-0205 0.3-0.ó 1.0-3.0 0-2.5 91.9-98.7
FN-0208 0.6-0.9 1.0-3.0 0-2.5 91.6-98.4
FN-0405 0.3-0.ó 3.0-5.5 0-2.0 89.9-96.7
FM-0408 0.6-0.9 3.0-5.5 0-2.0 89.6-94.4
Copper-infiltrated steels FX-1005 0.3-0.ó 80-14.9 82.5-91.7
FX-1008 0 6-0.9 80-14.9 82.2-91.4
FX-2005 0.3-0.ó 15 0-25.0 72.4 - 84.7
FX-2008 0.6-0.9 15.0-25.0 72.1-84.4
Low-alloy steels FL-4205 0.4-0.7 0.35-0.55 95.9-0.85 0.50-0.85
FL-4405 0.4-0.7 96.3-98.9 070-1.00
FL-4005 0.4-0.7 1.70-2.00 94.5 - 97.5 0.40-0.80
10 Influence of surface effect on the abil ity to car­ FLN4205 0.4-0.7 1.35-2.50(c) 93.95-97.75 0.50-0.85
F¡8 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% n¡tal
408 / Residual Stress Formation During Manufacturing Processes
surface such as cams, bevel gears, spur gears,
and so forth. Since the inductance of P/M ma­
terials, because of porosity, is lower than in
wrought materials of similar composition, a
higher power setting is required to reach a given
depth of hardening. Further rapid transfer to the
water-quench solution containing some rust-pre­
ventive additive to avoid internal corrosion is
also required.
Nitrocarburizing is car ried out within the fer­
ritic region at about 570 to 600 °C, involving the
addition of nitrogen and carbon to the surface of
P/M parts. Nitrogen forms a thin layer of hard
and wear-resistant s-iron nitride on the surface.
Tire atmosphere usually consists of a 50:50 mix­
ture of endothermic gas and anhydrous ammo­
nia, and the metal powder should have a density
of more than 90%. Nitrocarburizing improves re­
sistance to sliding wear and fretting and also in­
creases the strength and reduces the notch sen­
sitivity of P/M parts.
Annealing is used in cases such as P/M forg­
ing to improve machinability. Forgings are aus­
tenitized at a temperature appropriate for carbon
content, followed by rapid cooling to an isother­
mal transformation temperature determined by
the TTT diagram for the steel. A combination
atmosphere and vacuum continuous heat-treat­
ing system is shown in Fig. 11 (Ref 51). Typical
ferrous P/M applications include hardening, car­
burizing, carbonitriding, and tempering of auto­
motive transmi ssion and drive-train components,
hydraulic valves, cams, and actuators.
Sinter hardening allows P/M parts to be hard­
ened in the sintering furnace while cooling from
the hot zone. The material should be selected
with sufficient alloy content so that it is air har-
denable. Parts made out of nickel, molybdenum,
and low-alloy steel powders with blended addi­
tion of 2% Cu and 0.8% C have been found to
develop satisfactory properties by sintering at
Fifi. 11 Combination atmosphere and vacuum continuous heat treating system. Typical ferrous P/M applications
include hardening, carburizing, carbonitriding, and tempering of automotive transmission and drive-train powder at elevated temperature. The heat is sup­
components, hydraulic valves, cams, and actuators
1120 °C followed by tempering at 177 °G Dur­ rates are normal precipitation at grain boundaries
ing accelerated cooling from the sintering fur­ is reduced, while rapid cooling such as water
nace, these parts transform to martensite. Al­ quenching suppresses the precipitation of car­
though the sinter-hardening process may not bides and nitrides, thereby providing maximum
produce complete transformation to martensite, ductility.
the resultant microstructure/property relation­
ship provides considerable flexibility to the P/M Hot Pressing
fabricator. The incomplete transformation pro­
vides a tensile strength of the order of 70 to 80% The majority of sintered parts are made by
of tempered martensite, and the remaining mi­ cold compaction in rigid dies followed by sin­
crostructure consists of porosity, bainite, and tering. Since metals are softer at elevated tem­
pearlite. The economic advantage of the process peratures, it is possible to achieve higher densi­
includes the elimination of a separate heat treat­ ties using hot pressing or pressure sintering. The
ment step such as quenching and tempering, powder or green compact is subjected to heat and
thereby providing a cleaner process with better pressure. Resistance sintering under pressure,
dimensional uniformity and yield Depending on electrically activated pressure sintering, and
the variations of belt speed and cooling system, spark sintering are the variations of hot pressing.
the percentage of martensite can be altered from The die material in hot pressing may be alumina,
28 to 84% with corresponding hardness values silicon carbide, superalloys, refractory metals
of 16 to 36 HRC (Ref 52). and their alloys, or graphite, and the latter can
It is essential to heat treat P/M tool steels to be heated by direct resistance or by external re­
develop their properties. Powder metallurgy tool sistance or induction heating. Depending on the
steels use the same heat treatments as those used die materials, temperatures as high as 2200 °C
for conventional tool steels, but the former re­ and pressures of the order of 160 MPa can be
spond more rapidly because of the uniform mi­ used The atmosphere may be reducing, inert, or
crostructure and finer carbide size. The heat vacuum.
treatments include preheating, austenitizing, Investigation on the hot pressing of iron pow­
quenching, and tempering; the optimal heat ders between 100 and 1000 °C indicates that the
treating temperatures depend on the composi­ compaction rate is larger during a-y transfor­
tion, and the recommendations by the manufac­ mation than at temperatures just below or above
turers should be followed (Ref 53). Powder met­ the transformation. Furthermore, the compaction
allurgy grade tool steels are segregation-free, rate is much larger below the Curie point than
and hence the variations in dimensional changes above (Ref 54). High-car bon steel powder con­
after heat tr eatment are smaller than those in con­ taining 1.89% C produced by nitrogen gas at­
ventional tool steels. Cooling rates have a pro­ omization has been vacuum hot pressed at 700
found influence on the properties of P/M aus­ °C to more than 99% of theoretical density at 0.9
tenitic stainless steels. With very slow cooling, ks at 160 MPa and for 7.2 ks at 100 MPa (Ref
precipitation occurs preferentially at grain 55). The analysis of densification showedthe su­
boundaries, resulting in an increase in strength perplastic flow of each powder plays an impor­
and loss in ductility. The carbide precipitation is tant role in the densification process.
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 el ements 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,
but should be able to transmit the load to the
plied by the furnace, which is kept inside the

pressure vessel. The powder-filled container is
hot degassed and sealed under vacuum. The re­
quired gas pressure is generated either by pump­
ing the gas to an intermediate pressure to the
workpiece, followed by heating to obtain the fi­
nal temperature and pressure or by heating the
workpiece to the required temperature while
maintaining a low pressure of the order of 7 MPa
followed by pressurization that is hot loading.
Pressure-assisted sintering is another method
in which the P/M parts density could be in­
creased to near-theoretical density at pressures
of the order of 2 to 12 MPa. This will reduce the
equipment cost of pressure vessels and associ­
ated facilities, gas consumption, and sintering
time, thereby reducing the operating cost sub­
stantially (Ref 57). Initially, the sintering is car­
ried out to attain closed porosity, followed by
the application of pressure at or near the sinter­
ing temperature to produce a full-density prod­
uct.
Since the HIP equipment and process is ex­
pensive, alternate approaches have been devel­
oped, such as Ceracon process, rapid omnidirec­
tional compaction, and STAMP process. In the
Ceracon (CERAmic CONsolidation) process, a
granular ceramic medium is used to transfer the
pressure, instead of a gas, on HIP (Ref 58). The
preform is prepared by cold compaction and then
heated in a controlled atmosphere to the consol­
idation temperature. At the same time, the ce­
ramic granules are also heated and charged into
the die. The heated preform is inserted into the
ceramic medium so that the preform is com­
pletely surrounded by the ceramic grains. The
heated assembly is then transferred to a consol­
Temperature-
controlled
hot zone
Residual Stresses in Powder-Metal Processing / 409
idation press, and an axial load is applied to the
ceramic grain by moving the ram mechanically
or hydraulically. The preform experiences axial
and lateral forces, resulting in deformation and
full densification with the correct processing
variables. The consolidated part is ejected along
with the granules from the die and separated
from the ceramic granules. Preforms of alloy
steels have been consolidated to full density by
this process, and the surface finish of the product
is influenced by the size and shape of the ceramic
grains. The process is simple, and economic ad­
vantages include inexpensive tooling when low
dimensional tolerances are adequate. Products
such as low-alloy steel ratchet wrenches have
been produced economically by this technique.
Rapid omnidirectional compaction is another
isostatic compaction method in which a powder-
filled cavity is surrounded by a mass of fluid die
material, such as AISI 1020 steel or a Cu-10Ni
alloy, which is capable of plastic flow at tem­
peratures of the order of 1000 °C and pressures
of the order of 800 MPa. This consolidation
pressure is applied to the fluid die from a uni­
axial ram of a compaction or forging press and
tooling. The pressure is transmitted to the pow­
der through tire fluid die in an omnidirectional
way as in the case of isostatic compaction. The
thick fluid elements permit consolidation of
complex shapes, including holes, reentrant an­
gles, and irregular shapes. The powder is filled
in the welded die assembly, evacuated and
sealed, and then heated to the consolidation tem­
perature, placed in a pot die and subjected to
uniaxial ram force. The ram force is transmitted
through the plastic fluid die elements and reacted
End closure
Wire-wound vessel
Furnace insulation
W mantle
Furnace heater
Support and bottom
insulation
Thermocouple
feedthrough
— Power feedthrough
by the pot die inner surface, thereby applying
pressure to the powder from all directions. High­
speed tool steel milling cutters have been pro­
cessed by this technique to fully dense, near-net
shape with very fine microstructure resulting in
superior performance in comparison with a
coarse-grained sintered product with some resid­
ual porosity (Ref 59).
The STAMP process is an integrated one in
which the molten metal poured from a tundish
is horizontally atomized with nitrogen or inert
gas (Ref 60). The powders, after sieving, are her­
metically sealed in a sheet metal container by
welding. These are then heated to about 1100 °C
and transferred to a hydraulic press and consoli­
dated to about 95% theoretical density. The billet
weight may range from 50 to 2500 kg. These
billets are then hot worked to final shape. Low-
alloy steels, stainless steels, and tool steels have
been consolidated. The process is energy effi­
cient and economical with improved hot work­
ability of the billet on account of its microstruc-
tural homogeneity.
Roll Compaction
Direct rolling of powders into a compacted
green strip with sufficient strength for handling
is achieved in roll compaction. In this process,
the powder from the hopper is carried toward the
roll gap under the roll nip with its apparent den­
sity, depending on the powder characteristics in
the static condition forming the incoherent pow­
der zone. Under dynamic conditions when the
rolls are rotating, the friction between rolls and
powder and mterparticle 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 a
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
flow rate of the powder into the mill. Other mod­
ifications include a system of side entrants at the
ends of the rolls to prevent the powder from
spilling out of the compaction zone and a system
for continuously dressing the surface of the rolls
to maintain a steady-state friction condition be­
tween the rolls and powder. Multilayer strip is
also being produced by simultaneously feeding
separate streams of powders with different layers
into the roll gap. By modifying the powder feed­
ing system, a vertical mill can also be used for
roll compaction. Considering the principle of
metal powder compaction in general, it may be
noted that in the case of compaction, in rigid dies
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
a porous billet by sintering followed by different
410 / Residual Stress Formation During Manufacturing Processes
mechanical working operations such as rolling,
cold or hot rolling to produce sheets, or forging
and extrusion to produce seamless tubes or cold
extruded products. The conventional way of pro­
ducing thin steel from rough ingot to the final
coiled strip is capital and energy intensive with
considerable losses in the materials through edge
trimming, reheating, and pickling. Direct roll
compaction of powders followed by sintering
and hot and cold rolling as shown in Fig. 13, will
reduce the cost of capital and energy with sub­
stantial improvements in the materials utiliza­
tion. Another method is a slurry process in which
a slurry is made out of the steel powder, which
is deposited on a suitable substrate followed by
roll compaction and sintering followed by hot
and cold rolling (Ref 62). Evaluation of the
large-scale production of mild steel sheets and
tubes including seamless tubes and extruded
steel parts have shown that the process is very
attractive and economical. Hot extrusion of pow­
ders to full density utilizes a combination of hot
pressing and hot mechanical working (Ref 63-
65). The hydrostatic forces along with the uni­
directional forces cause the compact to flow
through the die. Microstructural control of the
product is achieved by the manipulation of ex­
trusion variables such as temperature, extrusion
ratio, and so forth. The frictional forces produce
a shear component, and the energy expended in
shear presents almost half of the energy needed
for extrusion. Different methods of powder ex­
trusion are extrusion of loose powder through a
die, extrusion of cold or hot pressed compact,
and extrusion of powder in a sealed container,
canned powder extrusion. Seamless P/M stain­
less steel tubes are commercially manufactured
by hot extrusion. In a typical case, gas-atomized
stainless steel powders of composition 22Cr~
5Ni-3Mo-0.015N-0.003C, balance Fe, are
loaded into a mild steel can to a density of about
70% and sealed. The can is cold isostatically
compacted to a density of about 85% and then
hot extruded to full density at about 1200 °C us­
ing glass lubricant. Technical and economic ad­
vantages of this process include improved mi­
Powder
crostructure and mechanical properties, along
with improved yield of the tubes (Ref 66). A
typical example of the use of these stainless steel
tubes is in the lift tower of the Grande Arche at
La Défence, Paris (Ref 67). More than 150 tons
of P/M grade stainless steel tubes ranging in di­
ameter from 60 to 244 mm were used because
of their special surface finish, allowing freedom
from maintenance.
Powder Forging
Powder forging is a hot densification process
in which an unsintered, presintered, or sintered
preform made out of powders is forged to higher
densities. It has Hie advantage of powder met­
allurgy such as dimensional accuracy and mini­
mum materials waste, along with the high
strength of forging. Plastic deformation and vol­
ume change of the sintered powder materials is
different from those of the conventional cast ma­
terials because of the porosity in the former case.
In powder preform forging, the preform design
has a significant effect on the metal flow, struc­
ture, distribution of the stresses in the material,
and properties of the final product. The mode of
densification during powder forging will depend
on the repressing or upsetting conditions. During
repressing, the extensive flow of the materials in
the lateral direction is prevented by die-wall con­
straints as the outside diameter of the preform is
close to the outside diameter of the forged part,
and with the approach of full density a hydro­
static condition prevails. A spherical pore be­
comes ellipsoidal on collapse, with the long axis
close to that of the original pore diameter. The
limited lateral flow of the repressed part restricts
anisotropic properties, while in upsetting forging
considerable lateral flow of the materials takes
place. The stress state around a pore is a com­
bination of normal stress and shear stress, and
the spherical pore becomes flattened and elon­
gated in the direction of lateral flow. This can
result in some amount of anisotropy in upset
forging that is much less than that in wrought
material.
Conventional forging requires few dies and
forging steps, while powder forging can usually
produce a fully formed component with a single
forging step. Powder forging is energy efficient
and utilizes maximum materials with minimum
scrap. The actual savings in materials will de­
pend on the complexity of the product. Powder
forging consumes less energy and provides
longer tool life. The properties of the powder-
forged component depend on a number of pro­
cessing parameters such as powder characteris­
tics, compaction, sintering, or forging
parameters such as forging temperature, pres­
sure, speed of press, chilling of tire preform by
the tooling, and the amount of material flow. A
variety of iron and steel parts have been powder
forged, and their number is increasing because
of the economic advantages (Ref 68). A large
number of powder-forged components are pro­
duced for automotive applications for transmis­
sions, engines, and differentials. These include
connecting rods for engines, valve seats, stator
cams, chain saw sprockets, gears, and so forth.
The increasing demand for light weight, low
cost, close control of balance, weight, improved
material properties, and endurance limits by the
automotive industry has resulted in the introduc­
tion of powder-forged connecting rods. Powder
metallurgy offers homogeneous microstructure
without any material textures and anisotropic
properties. Powder forging in closed dies with­
out lateral flow results in Itigh density and
strength levels. Premixed powders such as Fe-
Cu-C or prealloyed powders such as Fe-Cr-Ni-
Mo-Mn with additional amounts of free carbon
and heat treatment enable generation of cus­
tomer-tailored properties with preferable micro­
structures. Strength levels more than 1500 MPa
can be achieved by powder forging, and hence
individual alloy design offers the possibility of
lightweight connecting rods. Chemical compo­
sitions of some of the ferrous alloys used for
powder forging are given in Table 5.
The production sequence of the powder-forg­
ing process is shown in Fig. 14 (Ref 70). The
preafloyed 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
tool concept allows close control of the move­
ments of the individual compacting punches and
guarantees a homogeneous distribution of sec­
tional densities and therefore also determines the
total and balance weight of the components at
minimum weight scatter. A subsequent balance
system then provides a 100% weight check and
guarantees close tolerances and balance weights.
The highly precise weight control system guar­
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
intermediate buffer-system in order to provide
flexibility for tool changes or maintenance work.
Sintering is carried out at 1120 °C for 15 min,
 Residual Stresses in Powder-Metal Processing / 411

Table 5 Chemical composition requirements for powder forged parts

Composition, wt%
Element P/F-lCtcc P/F-lOCw: P/F-lLce P/F-llCxr VÍFA2xx V!¥-46xx Yi¥A4xx ¥/F-49xx
Ni (max) 0.10 0.10 0.10 0.10 0.40-0.50 1.75-2.00 0.10 max 0.10 max
Mo (max) 0.05 0.05 0.05 0.05 0.55-0.65 0.50-0.60 0.80-0.95 1.4-1.6
Ma 0.10-0.25 0.10-.025 0.30-0.60(a) 0.30-0.60(a) 0.20-0.35 0.10-0.25 0.08-0.18 0.08-0.18

00
Cd
C4
Cu 0.30 max 1.8-2.2 0.30 max 0.15 0.15 0.15 0.15

1
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-lGxx or P/F-lOCxx, i.e, 0.10--0.25 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
sphere of nitrogen into the forging cavity of the
CNC hydraulic forging press.
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
sibility of generating flashes or burrs are
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
perature and proper lubrication. The tooling con­
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
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
T* drastically reduced removal of chips and ma­
Forged chining coolant volume gains more importance
connnecting rod
Preform under modern ecological management audit
inserting Ejecting
schemes. Powder-forged connecting rods have
reduced engine weight and improved engine per­
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.
412 / Residual Stress Formation During Manufacturing Processes
Metal-Injection Molding
Metal-injection molding (MIM) has been es­
tablished over the past decade as an emerging
technology for the manufacture of small, preci­
sion components of complex shapes in both
small and large volumes. Metal-injection mold­
ing components are finding new applications in
industries such as automotive, business equip­
ment, computer hardware, chemical, biomedical,
aerospace, and armaments. Specific components
include airbag components and other automotive
parts, micro-electronic packages, computer disk
drives, orthodontic brackets, firearm compo­
nents, camera and business machine parts, cut­
ting tools, wire bonding and other assembly
tools, wristwatch cases, jewelry, thread guides,
spray nozzles, wear components, oxygen sen­
sors, surgical tools, biomedical implants, radia­
tion shields, cutters, clippers, connectors, tur­
bochargers, and valves. The important steps
involved in the MIM process are shown in Fig.
16. Ferrous powders of suitable characteristics
are hot mixed with a binder and granulated to
form the feedstock, which is molded somewhat
similarly to those used in plastic-injection mold­
ing. The molded part is then subjected to de­
binding and sintering to form the product. The
powder particle size and shape distributions are
important for injection molding, as spherical or
near-spherical shapes will provide a high pack­
ing density while fine powders sinter more read­
ily than coarser powders. Generally, a mean par­
ticle size of less then 20 pm is preferred. Such
powders are produced by carbonyl process or by
water or gas atomization. The applications of
Steel
powder Binder
H quently exhibit improved mechanical properties
Sintered parts
Fig. 16
these ferrous powders include soft magnetic ma­
terials, low-alloy steels, stainless steels, and tool
steels. The prominent binder categories are ther­
moplastic, thermosetting, water-based, inor­
ganic, and gelatin systems. The binder systems
consist of a binder, a plasticizer to reduce the
viscosity of the binder, and surfactants to lower
the surface energy for mixing. Wax polypropyl­
ene system is a typical binder system for MIM.
The ratio of metal powder to binder or the solids
loading determines the viscosity, debinding rate,
dimensional control, and shrinkage. The mixing
should result in a homogeneous powder/binder
mixture free from segregation, and the binder
constituents should fill all the interstitial spaces
between particles, at the same time forming a
thin layer around each particle. The mix is gran­
ulated into solid pellet feedstock that can be
stored or fed into the injection molding machine.
The rheological properties of the feedstock are
important; the viscosity at the molding tempera­
ture should allow the feedstock to flow smoothly
into the die cavity without segregation, and the
mix should become rigid on cooling. The feed­
stock is extruded into the die cavity and is heated
with careful control of the nozzle and die tem­
perature of the injection molding machine.
Molds with multiple cavities can produce several
parts during each injection, thereby reducing the
unit cost of the parts.
The parts are subjected to debinding by heat­
ing the green compact, and tins will lead to the
melting, decomposing, and/or evaporationofthe
binder. This process will take several hours, de­
pending on the section thickness of the product.
Catalytic debinding could reduce the debinding
time. Other debinding techniques depending on
the binder system include wicking, solvent ex­
traction, vacuum extraction, and air drying. After
removing the binder, the brown parts are sintered
at suitable temperature, time, and atmosphere to
obtain metallurgical bonding and densification.
Since the debound brown parts are porous, large
shrinkage occurs, and the sintering atmosphere
and temperature must be closely controlled to
retain the composition and shape of the product.
The density of the sintered part is usually greater
than 97% and approaches theoretical density.
The properties of the sintered parts can be im­
proved by postsintering. Metal-injection mold­
ing has now become a mass-production technol­
ogy for small net-shape parts of about 25 g
weight, exhibiting design and economic benefits
over cast and wrought components in such fields
as electronic equipment, machine tools, watches,
cameras, and medical equipment. Recent devel­
opments in binder systems and instrumentation
for injection molding and sintering equipment
have resulted in the expansion of MIM products
to larger parts such as a 2 kg boat propeller and
newer areas such as automotive engine parts
(Ref 71,72.)
Spray Forming
This is a potential manufacturing process for
producing semifinished and finished engineering
components economically. In this process, mol­
ten metal or alloys are atomized in an inert gas
atmosphere at high pressure to give a spray of
liquid particles that is directed onto a substrate,
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,
freedom from segregation, and enhanced me­
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
offers a reduced number of operations and in­
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
deposition is also attractive for new alloy com­
position, special products such as laminates, and
metal-matrix composites.
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
zation of spray forming. The process is being
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
over ingot metallurgy products (Ref 74).
High-quality seamless stainless steel tubes,
high- speed steels, and other high-alloy materials
 Residual Stresses in Powder-Metal Processing / 413

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 ofD2 (1,5C. sional control, improved static and dynamic and importance to both basic and applied studies
12Cr, I.OMo. 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. 1.5SÍ, 5Cr, 1.5Mo, pacted in heated tooling could achieve in pro­ wide range from inhomogeneous microlevel
IV, 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
3
tions. surement using neutron diffraction. It is reported
than 7.1 g/cm 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 in­ for 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 the production of prototypes directly out of measurements, and their contribution to various
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 (CAD) data. Complex shaped parts, including 82) as well as in different sections of this hand­
(Ref 76). Warm compaction is a technique by those with undercuts or hollow inserts, can be book.
which higher densities and improved mechanical manufactured without the use of molds or tools In powder processing, residual stresses can be
properties are achieved by single compaction, within hours. The three-dimensional description generated during metal or alloy powder produc­
using heated powders and tooling in the range of of the object can be CAD design, computer to­ tion. blending, compaction, sintering, mechani­
cal working operations such as powder rolling,
75 to 150 °C, in a standard compacting press. mograph, finite-element analysis, or from the
When the powder is heated, the compressive digitization of a master pattern. The develop­ forging, and extrusion, machining, heat treat­
ment, and special treatments such as coatings to
yield strength of the powder is reduced substan­ ment of stereolithography (SLA) has enabled use
improve the performance of the product. An un­
tially, depending on the temperature, resulting in 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
stresses is of considerable importance since these
Since the powder and tooling are heated to 130 is sectioned by a software program into thin hor­
to 150 °C, special lubricants have to be devel­ can influence the dimensional stability, distor­
izontal slices. With the introduction of appropri­ tion, and properties during processing and end
oped to perform at these temperatures. However, ate process parameters, the part is manufactured
the enhanced lubricity of the lubricant at ele­ uses resulting in adverse functioning of the com­
by the RP machine. Subsequent to the introduc­ ponent and its reliability during service life.
vated temperatures results in a lower amount of 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 making production rates of finished and semifin­
ditional 0.75% in conventional compaction, re­ 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
considered to be one of the prominent economic
tered densities (Ref 77). Among the advantages 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%.
r -j 7 Relative cost versus ferrous part density of sev­ The advantages of RP include reducing the prod­ Residual stress can originate during the pro­
eral P/M processes uct cost and development time for a new product. duction of metal and alloy powders by different
414 / Residual Stress Formation During Manufacturing Processes
techniques. These include thermal gradients dur­
ing atomization of liquid metals, evaporation and
condensation, nucleation, and growth processes
leading to micro- and macrolevel structural in-
homogeneties. The magnitude of microlevel
residual stresses in powders will increase in non­
equilibrium processes such as rapid solidifica­
tion or due to environmental interactions with
oxygen, moisture, and so forth. The effects of
cooling rates and secondary dendrite arm spac­
ing for production of metal powders for different
atomization techniques are given in Fig. 4. Dif­
ferent techniques such as gas, water, ultrasonic,
or centrifugal atomization can increase the cool­
ing rate from 10 to 106 K/s, thereby reducing the
dendrite spacing from several microns to less
than 0.1 pm. This will have an effect on the
macro- and microsegregation as well as on the
homogeneous micro- and inhomogeneous resid­
ual micro stresses in the powders. The level of
residual stresses in powders is also influenced by
the powder characteristics such as size, shape,
internal porosity, surface conditions and reactiv­
ity of powder. More details about powder char­
acteristics and powder production methods have
already been discussed in the earlier sections of
this article. Now the defect porosity, which is
very much detrimental to the P/M processing, is
considered. Many factors during powder manu­
facturing such as alloy composition, reactivity,
melt temperature, viscosity and surface tension
of the molten metal atomizing media, pressure,
design geometry of the atomization nozzle, flow,
surrounding atmosphere, and quenching rate can
contribute to the formation of porosity of pow­
ders. Furthermore, the porosity in the powder in­
creases with particle size. The porosity in the
powder particles will increase the residual
Dimensional stability
Decreasing Medium increasing
Pressing
tering
m______
Heat
treatment Sizing
Heat
treatment Resintering
Sizing
Heat
treatment
Fig. 18 Effect of P/M processing on the dimensional
stability
stresses and reduce the apparent and tap densi­
ties, thereby creating problems during compac­
tion, uncontrolled dimensional change during
sintering, and hot consolidation, and may give
rise to residual micropores in the final product,
resulting in inferior fatigue and fracture proper­
ties of the product.
Many commercial methods of production of
ferrous powders by electrolytic and chemical
methods require some amount of size reduction
by milling. In addition, high-energy milling
operations are used to produce alloy and com­
posite powders by nonequilibrium process such
as mechanical alloying. Mechanical alloying is
carried out in the solid state to synthesize alloy
powders of very different melting temperatures,
nanocrystalline and amorphous materials, and a
variety of metal and nonmetal composite pow­
ders. The process is carried out using elemental
or alloy powders with other constituents in high-
energy mills such as large-diameter horizontal
ball mill, planetary mill, SPEX shaker mill, or
attritor. During the process, the collision of mill­
ing balls with powder particles and the container
and impeller results in the fracturing and welding
of the particles. The repetitive defonnation, frac­
turing, and welding of the particles during me­
chanical alloying produce an equilibrium com­
posite powder structure in which the oxide or
other added dispersoid and/or naturally occur­
ring oxide films is about the same as the welded
interlamellas. The laminated structure is further
refined as fracture takes place and the thickness
of the lamella is decreased. Schematic of varia­
tion of properties with processing time during
mechanical alloying is shown in Fig. 19. As the
processing time increases, initially' welding pre­
dominates in ductile materials with an increase
in the particle size, followed by' size reduction
and a decrease in particle size. The lamellar
spacing decreases, while the hardness of the
powder particle increases due to strain hardening
and improved distribution of dispersoids. The
mean strain at fracture of the particle initially
decreases rapidly as the larger particles initially
Fig. 19 Schematic representation of variation of properties with processing time during mechanical alloying
will have severe flow, and eventually the smaller
particles will contain less severe flow and are
more likely to withstand the severe strain re­
quired for welding. These powders will have
considerable residual stresses due to strain hard­
ening during the process and the heterogeneity
in the microstructure of the composite powders.
Oxide-dispersion-strengthened iron-base alloys
for high-temperature applications are processed
by mechanical alloying. A typical example is the
Inconel alloy MA 956 with composition Fe-
20Cr-4.5Al-0.5Ti-0.5Y203, processed by me­
chanical alloying in bar, plate, sheet, tube, and
wire form (Ref 83).
In addition to powder production, stages such
as blending and mixing to prepare powders of
desired characteristics in terms of apparent den­
sity, or addition of lubricants and/or alloying
constituents such as carbon and other elemental
powders prior to compaction can also introduce
internal stresses to the powders. A longer mixing
time in an appropriate mixer device can lead to
more power consumption, cause excessive wear
and tear of the equipment, and introduce internal
stresses in the powder through strain hardening,
and the latter will adversely affect the compac­
tion of the powders.
Compaction of Metal Powders
Residual stresses play an important role dur­
ing compaction in widely used P/M structural
steel parts production. The compaction cycle for
a single-level part is shown in Fig. 5. Application
of pressure is followed by die filling with the
upper and lower punches, and the powder par­
ticles will initially undergo rearrangement fol­
lowed by elastic and plastic defonnation. With
the increase of pressure, the powder packing is
improved, resulting in a decrease in porosity and
an increase in strain hardening of the powders.
The work-hardened materials undergo fragmen­
tation, resulting in further densification and bulk
deformation of the compact. After compaction,
the upper punch is removed and the lower punch

is used to eject the compact, and the cycle is
repeated. During compaction, the powder parti­
cles undergo plastic and elastic deformation, and
the component is constrained in the radial direc­
tion by the die cavity. During ejection, more and
more of the component is freed from the die cav­
ity, thereby the radial constraint is removed,
leading to the springback to relieve the elastic
deformation. When the compact is emerging
from the die cavity, it will expand in the hori­
zontal direction due to internal elastic strain re­
lease accompanied by the weakening of the in­
terparticle bond. If these stresses exceed the
green strength of the compact, then the compact
will develop cracks perpendicular to the pressing
direction. The effect of strain hardening during
compaction of iron powder has shown three
characteristic regions: an initial stage of rapid
densification, followed by an almost linear vari­
ation in slope, and the third stage in which the
slope decreases rapidly. By incorporating the
strain hardening of the materials, the second
stage of compaction behavior can be accurately
predicted, while the third stage is concerned with
a mechanism incorporating the closure of micro­
scopic defects and pores (Ref 84). In iron pow­
der, consolidation is promoted by the presence
of porous fines that deform readily and bind the
larger particles. The irregular particle shape
causes a symmetrical loading between particles,
creating shear stresses, interparticle sliding, and
consequent frictional welding. The green
strength is developed by a combination of me­
chanical interlocking and frictional welding.
During compaction, the transition from first
stage to second stage occurs when the pressure
exceeds the bulk yield stress of the material,
which is when the plastic flow becomes homo­
geneous instead of local. Hence the model of
compaction assuming homogeneous plastic flow
can become valid at the beginning of second
stage. In the case of gas-atomized spherical pow­
ders, plastic deformation occurs at the point of
interparticle contact, and the particle shape
changes from spherical to polyhedral with the
compaction pressure below the yield stress of the
material, indicating the first stage of compaction.
The plastic deformation and strain hardening of
the powders during compaction have been con­
firmed by x-ray diffraction and microhardness
analysis (Ref 85). In spite of the plastic defor­
mation, the powders exhibited inadequate com­
paction and green strength on account of limited
interlocking, sliding, and frictional welding be­
cause of the spherical powder characteristics
leading to little or no shearing.
In rigid-die compaction, with the movement
of punches in the vertical direction the green
density within a compact decreases with increas­
ing length of the compact, since the transmission
of stress through the mass of powder will not be
uniform. With increasing complexity of the
product, the die design and punches with mul­
tiple levels and motions will be more involved,
and the problems related to residual stresses and
their contribution during compaction also in­
crease and should be tackled carefully to obtain
Residual Stresses in Powder-Metal Processing / 415
a sound green compact (Ref 86). Another factor
to be considered is the deflection in compaction
tooling. A better understanding of the densifi-
cation of the powder and the resulting stress and
deflections in the tooling will provide a means
of balancing deflection and springback, thereby
avoiding some of the compaction defects. This
is particularly important because of the tendency
to produce high-performance parts with higher
green densities where the density gradients and
springback problems become increasingly com­
mon. Although the defects in the compacts are
due to many causes and are interrelated in a com­
plicated way, the solution to quality problems
must be addressed in a simple relationship with
leading causes. In this respect, tool stress moni­
toring—particularly during pressure release and
the ejection—can provide useful information for
identifying the main causes of cracks in the
green compact (Ref 87, 88). A majority of the
cracks originate primarily during consolidation
prior to sintering, although some cracks may not
become evident until sintering has occurred.
These defects can be eliminated if most of the
causes of cracks in green P/M components are
properly understood and addressed.
Nonuniform densification of metal powders
during die compaction is a problem to be ad­
dressed for a better understanding of the process.
Lower green strength may result from incom­
plete compaction or the development of residual
stresses that may cause either compact failure on
unloading or difficulty in subsequent handling.
Variations in densities may also interfere with
subsequent processing through inhomogeneous
sintering, infiltration, or deformation during
forging. The rate-independent models for pow­
der compaction require a yield function to rep­
resent the transition from elastic to inelastic be­
havior. The experimental results suggested that
the current yield functions characterized by an
elliptical shape in pressure-derivatic stress space
may be incorrect and that a yield function rem­
iniscent of granular behavior may be more ap­
propriate. Furthermore, the two state variables—
density and interparticle cohesion—are neces­
sary to characterize yield (Ref 89). Simulation
of compaction processes to predict the density
distribution in compact and/ or shape of the com­
pact through constitutive equations has been at­
tempted. The two-dimensional simulation of
compaction behavior of powder by particulate
modeling has been improved by three-dimen­
sional simulation that incorporates plastic defor­
mation and actually measures interparticle fric­
tion. The constitutive equations applied to
simulation of powder behavior in forming pro­
cesses using continuum approach could provide
useful information on microscopic behavior of
powder assemblies such as density distribution,
stress state, and shape of the compact during or
after compaction process. However, the effect of
particle characteristics such as friction and co­
hesion cannot be investigated, as these consti­
tutive equations are not related to the particle
characteristics. The development of computers
has attracted further studies on the simulation of
compaction of powders based on the particle
modeling in three-dimensions, incorporating
plastic deformation of particles and experimen­
tally measured interparticle friction. Simulations
have been carried out for various types of com­
paction such as closed-die isostatic and three-
dimensional compaction (Ref 90). Although the
pressure/density relationship obtained agrees
qualitatively well with the experimental obser­
vation and also with the prediction of yield sur­
faces, there is still much to be done to develop
a realistic interparticle force low in the simula­
tion to quantify with the experimental observa­
tions. Generally, the optimization of the tool ge­
ometry and the die sequence in net-shape powder
compaction is currently carried out incremen­
tally and empirically. Efforts have been made to
develop a physically based micromechanical
model of powder compaction to allow for the
computer-based design procedures. The volume
density of the compact D is defined as a ratio of
solid volume to the total volume, and the defor­
mation of powder is viewed as the material in­
dentation of powder particles. During the first
stage of compaction when the density is less than
0.8 D , the contacts between particles are as­
sumed to be independent, and the plastic dissi­
pation by frictional sliding or by plastic flow is
small relative to the work done by indentation
(Ref 91). A contact law has been proposed for
the normal frictionless indentation of dissimilar
rigid viscoplastic spheres based on a self-similar
deformation and within the infinitesimal strain
regime (Ref 92). Further investigations have in­
cluded the effects of elasticity and finite defor­
mation. During the second stage of compaction
when density is greater than 0.8 D, the compact
is viewed as a porons body. In a recent study on
the micromechanics model of powder compac­
tion, finite-element calculations have been nsed,
taking into consideration the effects of die-wall
friction and the effect of material and friction
parameters on the final density distribution of a
syncor-hub and a valve guide (Ref 93). For a
highly constrained geometry of the valve guide,
the relative density quickly reaches the value D
= 1 in the vicinity of sharp comers as a result
of shearing. A die wall friction of 0.3 leads to
the competition between sliding and shear yield­
ing near the wall. The top portion of the material
is fully densified, and when the frictional resis­
tance of the material becomes larger than the
shear yield stress of the compacted material, the
latter shear within in a thin layer and stick to the
wall surface, leaving debris on the die wall. Be­
cause of the less-confined geometry of the syn­
cor-hub, a high friction of 0.3 does not cause this
phenomenon. In addition, the variations in the
relative density of the syncor-hub are small in
the top wide portion and is of the order of 0.84
to 0.86 of Z), while the variation is larger in the
thin outer cylinder. The final density distribution
is extremely sensitive to the choice of friction
coefficient, is moderately sensitive to the initial
density D start and is insensitive to the reference
density D 0 and the elastic modulus.
416 / Residual Stress Formation During Manufacturing Processes
Although computer simulation of die compac­
tion has been investigated in the past, the com­
mercial possibility has been explored seriously
only recently. Finite-element analysis can be ap­
plied successfully to simulate powder die com­
paction. However, the simulation of the com­
paction stage must account for the complex
mechanical behavior of the powder, as well as
frictional interaction between the powder and
tool set, including complex tooling motion in the
case of multilevel part geometry. In the relaxa­
tion stage, the springback of the part is small,
but the simulation must also account for the
complex material behavior and friction, since
this can lead to further densification of the pow­
ders or green part failure as a result of cracking
or end capping. During this stage it is also nec­
essary to take into account whether the part is
within the die, since as it emerges from the tool
set radial straining takes place. All of the above
stages are interdependent, and hence it is essen­
tial that a fully integrated model is developed to
represent the complete process, which will en­
able the industry to make products with consis­
tent and improved properties.
Sintering of Metal Powders
Some aspects of sintering including furnaces,
atmospheres, and systems such as stainless steels
and tool steels, and other related high-tempera-
ture consolidation techniques have already been
reported. This section emphasizes the material
transport mechanisms, dimensional changes, the
role of stresses, and process modeling.
The materials transport during sintering of
powders is brought about by a combination of
processes of surface, grain boundary, and vol­
ume diffusions. Since the diffusion rates are ex­
ponentially rated to temperatures, high-tempera-
ture sintering is being used for high-alloy steels,
stainless steels, and tool steels to produce high-
perfonnance parts. Although changes in pore
shape can occur very much faster by surface dif­
fusion than by volume diffusion, the former can­
not contribute much to the changes in pore vol­
ume and to the overall densification of the
compact. Densification proceeds by a combina­
tion of volume and grain-boundary diffusion,
and significant reduction in pore size occurs
when the pores are connected to grain bound­
aries, suggesting that grain boundaries act as
sinks for vacancies. Thus, for high rate of sin­
tering the initial grain size can be reduced by
reducing the particle size, but the chances of con­
tamination and bulk flow characteristics of loose
fine powders may restrict their utilization. Dur­
ing sintering, when the pores reach a limiting
size they are unable to contribute to the grain­
boundary migration resulting in grain growth,
and a reduction in densification will take place.
In multicomponent alloy systems, the reactions
to sintering depend on the relative surface en­
ergies, diffusion rates, and solubility of the con­
stituents. When the constituents are extensively
soluble in one another, Kirkendall effects be­
come significant and give rise to vacancy fluxes
in response to concentration gradient. Eliminat­
ing the problem of shrinkage during sintering of
metallic powders in the solid state will be pos­
sible with a better understanding of creep phe­
nomenon, viscous plastic flow, internal friction,
and diffusion.
In the case of liquid-phase sintering, three
stages-—such as the rearrangement of the parti­
cles of the residual solid phase by viscous flow
in the liquid phase, dissolution and reprecipita­
tion processes, and coalescence—can be distin­
guished. A typical ferrous system of commercial
importance in which liquid-phase sintering can
lead to interesting dimensional changes is the
iron-copper system. During the sintering of iron
powder, shrinkage takes place at about 1150 °C,
but the addition of about 2% Cu powder to iron
powder will eliminate the shrinkage. At the sin­
tering temperature, the copper melts, enveloping
the iron particles by the rearrangement process,
which is accompanied by solution of iron from
convex parts of the surface and reprecipitation
on the concave neck surfaces. The other process
is the solution of copper into the y-iron, causing
the expansion of y to leave small pores at the
sites of copper and expansion of the compact.
Increasing the copper content from 2% to 8%—
the limit of solid solubility of copper in y-iron—
at about 1150 °C will allow maximum expansion
of the compact to take place. This expansion of
the compact can be controlled by the addition of
1 % graphite, which will result in the formation
of ternary Fe-Cu-C eutectic liquid phase at a
temperature lower than the sintering tempera­
ture, leading to shrinkage and thereby counter­
acting the expansion of the compact. In Fe-10Cu,
it has been reported that swelling of the compact
can take place by melt penetration. The addi­
tional melt in prior contact areas and at prior
grain boundaries in the interior of the iron par­
ticles caused dilation leading to microscopic
swelling (Ref 94). However, the melt penetration
along grain boundaries can be suppressed if car­
bon is present in the alloy.
During sintering of a green component, an­
nealing, stress relieving, recovery, chemical re­
actions to form new phases or compounds, com­
position homogenization, shrinkage, and grain
growth may take place. On cooling—depending
on the system—changes such as precipitation
hardening, or other phase transformation, chem­
ical reaction, or the introduction of residual
stresses in the product may be expected. In the
initial stages of sintering atomic diffusion takes
place, the particle contacts fonned during com­
paction grow, residual stresses are relieved, re­
crystallization and grain growth may follow, the
pores tend to become rounded, and the total po­
rosity decreases, resulting in densification. Con­
siderable emphasis is laid on sintering to obtain
maximum density, resulting in shrinkage, but
one of the advantages of P/M lies in the pro­
duction of finished components requiring little
or no machining. There are many factors influ­
encing the dimensional change of a component
during sintering. The decrease in dimensions as
a result of densification is due to the elimination
of pores. However, this shrinkage can be influ­
enced by other factors such as entrapped gases,
which may expand resulting in an increase of
volume. Other factors influencing the expansion
include hydrogen reduction of surface oxides,
and oxidation as a result of poor atmosphere con­
trol. Shape changes can also occur due to vari­
ations in green densities of a component.
Finer powder generally provides higher
shrinkage than coarser material during sintering,
but the apparent powder density and green den­
sity of the former are lower than the latter pow­
ders. However, the atomic process in the fine
powders takes place more rapidly during sinter­
ing because of larger surfaces, grain boundaries,
and lattice distortions during compaction. The
initial stages of sintering at constant temperature
for a compacted nanometric iron powder of
mean particle size of 30 nm, giving a self-dif­
fusion coefficient of D = 6.1 X 1024 m2/s at
325 °C, provided an activation energy of 59 kJ/
mol, which is four times smaller than the one
traditionally used for sintering microscopic pow­
ders, that is, 239 kJ/mole (Ref 95). Thus, even
if surface diffusion is important and shrinkage
experiments cannot take this process into ac­
count, mass flux between grain boundary and
neck surface is an important process in the ini­
tial-stage sintering of ultrafine powders.
For a better understanding of the process, sin­
tering may be subdivided into three stages. The
first stage consists of solid-state sintering when
interparticle necks are formed by surface and
gram-boundary diffusion. In the second stage,
the particles are still connected by isolated con­
tacts with open pore space, and the diffusion
field of the necks now overlap. With further den­
sifican on, the three dimensionally interlinked
pore channels close at the narrow sections with
a transition to the third stage, which is charac­
terized by closed and isolated pores. The densi­
fication in the third stage is accompanied by
grain coarsening.
During compaction, the powder particles are
subjected to strain hardening and the extent of
strain hardening increases with increasing com­
paction pressure. In the initial stages of sintering
at lower temperatures, the particles will relieve
the strain hardening through recrystallization as
a result of annealing. However, the high shrink­
age rates of real compacts in the initial stage of
solid-state sintering cannot be explained with
diffusion as the elementar}' materials transport
mechanism. This stage is characterized by the
existence and formation of high densities of vari­
ous types of defects as well as high rates of den­
sification. The quantitative defect analysis made
on the basis of positron lifetime measurements
demonstrates the existence of vacancy clusters
and dislocations as well as their time-related
density change and interaction (Ref 96). There
is a drastic decrease of the mean defect density
and considerable shrinkage as well as a high rate
of shrinkage. The excess vacancies originating
in the course of restructuring the mechanical
contact into a high-angle boundary agglomerate
into clusters in the contact region. They interact

with dislocations introduced by pressing and
newly formed dislocations in such a way that the
viscosity of contact substance is lowered, and a
cooperative materials transport mechanism will
take place. On the basis of dislocation flow, this
process should be assumed to allow the entire
particle to move along with the softened contact
boundary region, or if this mechanism is ex­
hausted then the contact substance flows into the
pores in a dislocation viscous state. Studies on
the solid-state sintering assume the transport
mechanisms of grain boundary and surface dif­
fusion have developed constitutive equations us­
ing finite-element simulations of the sintering
process for the three stages. Although some of
the predictions of the models are confirmed by
experiments, particularly the dependence of the
bulk viscosity on the density, the sintering stress
and the ratio of the shear to bulk viscosity could
not be predicted (Ref 97).
Modeling of sintering phenomena has been
developed from finite difference calculations of
geometric details of necks between two particle
models to finite-element simulation of shrinkage
of compacted powders. Earlier work on simula­
tions could explain some of the deviations be­
tween idealized and more realistic neck geome­
try and other deficiencies of analytical solutions
for describing neck growth and shrinkage. Later
came the development of sintering diagrams in
which dominating mechanisms for neck growth
and shrinkage were outlined as a function of
temperature and neck radius or time (Ref 98).
However, the predictions from these simpler ge­
ometries were found to be deviating when quan­
titatively applied to real experimental results
where particles of different sizes, irregular
shapes, and of heterogeneous packing character­
istics. Furthermore, the data collected from sim­
ple and independent experiments will differ from
those of the powder particles with considerable
lattice defects and surface contamination. Sev­
eral groups are working on the development of
advanced numerical models for simulating solid-
and liquid-phase sintering (Ref 99). However, it
is necessary to check the physical soundness of
analytical and numerical approaches before their
application to industrial practice. These studies
have already led to the prediction of distortion
of sintering parts with complex shapes on the
basis of appropriately fitted parameters in the
constitutive equations.
The demand for better-quality P/M compo­
nents with minimum dimensional scatter is in­
creasing, and secondary operations such as siz­
ing will increase the production cost.
Furthermore, it is difficult to carry out the sizing
operation on high-strength P/M components be­
cause of their high hardness. The requirement of
lowest cost coupled with Itigh strength makes it
necessary to improve the dimensional tolerance
for P/M parts after sintering. The dimensional
scatter on P/M component can be estimated by
using a mathematical model that includes the
variations in mix composition and important
compacting and sintering variables (Ref 100).
By using the model, it is now possible to com­
Residual Stresses in Powder-Metal Processing / 417
pare different powders, alloys, and manufactur­
ing processes to find the most efficient alterna­
tive to achieve the best dimensional precision of
P/M parts.
Pressure Sintering and Hot Isostatic
Pressing
Hot pressing, hot isostatic pressing (HIP), and
other hot consolidation processes are potential
methods for the manufacture of high-quality,
high-strength steel, stainless steel, and tool steel
components. During hot pressing or pressure sin­
tering of powder compacts, the stress gradients
and the stress level present are much higher than
during pressureless sintering. The external pres­
sure applied may be in the range of a few to
several hundred MPa and will alter considerably
the stress state caused by curved free surfaces of
coarse powders in the 100 pm range. These al­
tered high stresses yield accelerated material
transport by major mechanisms, which are active
during pressureless sintering and can provide ad­
ditional transport mechanisms as plastic defor­
mation and power-law creep. A volume reduc­
tion of 30 to 40% may make the part susceptible
to nonuniform shrinkage and nonhomogenous
microstructural development and also can cause
considerable differences in local deformation. In
HIP the powder is packed in a thin shell con­
tainer in the form of a preform, the gas pressure
is applied, and the temperature is raised. During
this operation, the densification is not uniform
because heat diffuses into the powder, the hotter
surface layer sinters faster than the interior, giv­
ing a denser skin. Heat is conducted thr ough this
dense layer faster than through the less dense
interior, thereby further adding to the tempera­
ture difference between the surface and interior.
This will result in a densification front propa­
gating inside, leading to large changes in the
shape. A simple one-dimensional model for cou­
pled heat flow to a hydrostatic pressure gas has
been successfully developed (Ref 101). How­
ever, modeling of the densification of three-di­
mensional bodies during HIP when rapid den-
sification of one part of the body may constrain
the remaining part in a way that inhibits densi­
fication, leading to unexpected changes of shape,
is yet to be worked out. The mechanisms that
contribute to the different stages of densification
have been identified and studied. However, it is
necessary to check and refine the calculations.
Furthermore, the materials properties are so vari­
able that a refining process in which equations
are to be calibrated to the results of real industrial
HIP process.
The HIP process is expensive, and it is very
difficult to predict the shape and density' of the
final product. Finite-element calculation of the
thermodynamic behavior of the powder has
proved very useful to optimize the process and
may result in important savings on energy and
materials. Theoretical and experimental work
has been carried out using appropriate constitu­
tive equations for numerical simulation. A uni­
fied formalism has been proposed, and an
adapted numerical tool developed, integrating
different models that can be compared among
each other and tested against industrial practice
(Ref 102). These studies indicate that the con­
stitutive equations on numerical simulation
should be more precisely analyzed, and more ex­
perimental and theoretical investigations are
necessary to improve the mechanical behavior of
metal powders at high temperatures.
Heat Treatment of P/M Steel Parts
Special consideration has to be given during
the heat treatment of sintered steel components
because of the presence of porosity. The harden-
ability of wrought steel is primarily influenced
by the chemical composition and grain size,
while in P/M steel the hardenability is signifi­
cantly influenced by the interconnected porosity;
degree of sintering, graphite segregation, and so
forth. When a P/M steel part is quenched from
the austenitic range, the external surface may ex­
perience higher cooling rates than the interior,
resulting in mixed microstructures and inconsis­
tent hardness values. These variations are also
related to the quantity and type of porosity—
size, shape, open, or interconnected—and the
complexity of the P/M part. When the porosity
is eliminated by forging of P/M parts, the heat
treating practice will be the same as for those of
conventionally processed steel of similar com­
position.
The heat treatment of full-density P/M prod­
ucts including tool steels and problems related
to dimensional change and distortion is consid­
ered next. The quenching may experience large
temperature differences between surface and in­
terior and between light and heavy sections,
which can create shape distortion because of the
thermal and mechanical stresses produced by
martensitic transformation. This problem is ag­
gravated if the hardenability of steel is so slow
that a fast cooling rate is required to get the frill
hardness. For controlling the distortion of the
part, special quenching procedures such as mar-
tempering and austempering may be useful. If
permissible, localized methods of heating and
quenching such as flame hardening, induction
hardening, electron beam, or laser hardening will
be helpful to reduce the distortion.
The presence of retained austenite in heat
treated tool steel can slowly transform and pro­
duce distortion if the materials are subsequently
heated or subjected to stresses. Tool steel prod­
ucts such as gages and blocks must retain their
exact size and shape over long periods. If the
composition of tool steel provides the required
hardness after tempering at relatively high tem­
perature, then it is possible to reduce the amount
of retained austenite and the internal stresses by
multiple tempering. The first tempering reduces
the internal stresses and conditions the retained
austenite so that it can transform to martensite
on cooling from the tempering temperature. A
second or third tempering is carried out to reduce
the internal stresses set up by the transformation
4 1 8 / Residual Stress Formation During Manufacturing Processes
of retained austenite. In plain carbon and low-
alloy steel that must be tempered at low tem­
perature to achieve the required hardness, single
or repeated low temperature treatment below
martensite finish (Mf) temperature can cause
most of the retained austenite to transform to
martensite. The low-temperature treatment is
carried out in a commercial refrigeration unit at
about - 70 to 90 °C, either before or after the
first temper. If the tool materials tend to crack
because of the additional stress induced by di­
mensional expansion during low-temperature
treatment, it is preferable to carry out the treat­
ment after the first tempering of the tool. When
the low-temperature treatment is applied after
the first temper, the amount of retained austenite
that transforms the treatment may be consider­
ably less than that desired because some of the
austenite might have been stabilized by temper­
ing prior to low-temperature treatment, and in
such cases the tools must be retempered after
return to room temperature following low-tem­
perature treatment so as to reduce the internal
stresses and to increase the toughness of the
newly formed martensite. It is desirable in some
tools to retain a small percentage of retained aus­
tenite for improving toughness and providing a
favorable internal stress pattern that will help the
tool withstand the service stresses, and in such
cases it is necessary to avoid the full stabilizing
treatment.
Distortion of the tool steel can also occur due
to a higher austenitizing temperature or due to
surface chemical reactions, Higher-temperature
austenitizing of tool steel will lead to grain
growth and more stabilized austenite. These con­
ditions, along with larger thermal gradients dur­
ing heating and quenching, will result in irreg­
ular dimensional changes of the products.
Surface reactions such as carburization and de­
carburization can change the surface temperature
and subsurface transformation, causing com­
pressive or tensile stresses leading to cracking or
distortion. Residual stresses can also originate
from mechanical or thermal treatments such as
forming, grinding, and machining, or during
(a)
Fie. 20 Microstructures of high-speed tool steel, (a) CPM T15. (b) Conventional T15. Carbide segregation and its
detrimental effects are eliminated with the CPM process, regardless of the size of the products. Source: Crucible
Material Corporation
brazing, welding, and so forth prior to heat treat­
ment. These are removed by a stress-relieving
treatment in which the material is heated, and the
steel will yield plastically when the hot yield
strength is equal to the residual-stress level.
The P/M processing of steels, stainless steels,
and tool steel is discussed in other sections of
this article. Powder metallurgy steels, are pro­
duced from water- or gas-atomized alloy steel
powders by compaction, sintering, high-tem-
perature sintering, extrusion, forging, or HIP.
Powder metallurgy tool steels have significantly
improved toughness and grindability over con­
ventionally processed tool steels. Powder met­
allurgy tool steels are free from macrosegrega­
tion and porosity and are characterized by
uniform distribution of extremely fine carbides.
Microstructures of P/M T15 and conventional
T15 high-speed tool steels are shown in Fig. 20
(Ref 103). The conventional tool steel (b) micro­
structure consists of coarse carbides and carbide
segregation while the P/M microstructure (a) is
characterized by finer carbides with uniform dis­
tribution. These characteristics are favorable for
providing deeper hardening, less distortion,
higher hardness, and faster response to heat treat­
ment and are particularly useful for molybde­
num-containing high-speed steels, which tend to
decarburize rapidly at the austenitizing tempera­
ture. The out-of-roundness of heat treated con­
ventional AISI M2 and P/M ASP 30 tool steels
are shown inFig. 21 (Ref 103). It is evident from
the figure that the out-of-roundness distortion of
P/M tool steel is substantially lower than that of
the conventional tool steel. Powder metallurgy
also enables production of grades that are diffi­
cult to produce by the conventional method and
also newer grades with more alloying additions
to provide improved properties.
Surface hardening by carburizing is used to
enhance the fatigue strength and tribological
properties of P M steel gears. The surface-hard­
ened layers are characterized by microstructural
and microhardness evaluation along with resid­
ual-stress measurement by x-ray diffraction. The
results of the analysis indicate moderate com-
(b)
pressive surface residual stresses on the green
compacted gear. A slightly higher residual-stress
value obtained after sintering is attributed to the
limited oxidation registered at the end of sinter­
ing. A more pronounced increase in residual
stress is evident after carburizing the gear. It is
concluded that x-ray diffraction is a useful tool
for strict control at different production stages of
P/M technology (Ref 104). Special attention is
to be paid during heat treatment to minimize the
percentage of residual austenite and the compo­
nent geometry, as the latter can influence thermal
shrinkage during quenching of the gear. The re­
sidual austenite and thermal shrinkage can influ­
ence the surface residual stresses to a great ex­
tent.
Although P/M technology has been used to
produce net-shape products of various sizes and
shapes, frequently it is necessary-' to use second­
ary machining operations to obtain the final
product as discussed earlier. Some of the P/M
products are also resin-impregna ted in order to
seal the porosity' for specific applications. These
resin impregnated products have improved
machinability, but not much information is
available regarding the level of residual stresses.
Investigations have been carried out by con­
ducting drilling experiments to compare the re­
sidual stresses in P M products with and without
resin impregnation (Ref 105). Residual stresses
were measured by using an advanced x-ray stress
analyzer based on solid-state linear image sensor
technique that enables conversion of x-rays di­
rectly into electrical signals. The basic system
consists of a goniometer and is capable of mea­
suring residual stresses in metallic materials
without conducting 20 scanning of the detector.
The x-ray tube has a maximum output of 2 kW
and can measure residual stresses in microareas
by means of a small focal spot size capability-'.
An integrated PC-based control system is used
for measurement, data collection, analysis, and
display of results. The analysis of the results in­
dicates that the magnitude of residual compres­
sive stresses increases with resin impregnation,
and the machining of resin-impregnated parts
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.
(a) (b)
Fig. 2 1 Out-of-roundness measurements on test disks
after hardening, (a) Conventional, AISI M2, (b)
P/M high-speed tool steel ASP 30

Other P/M Processes
Dimensional changes, defects, and residual
stresses are also important in P/M processes
such as metal infiltration, spray fonning, warm
compaction, MIM, and rapid prototyping. How­
ever, very limited investigations have been car­
ried out in the area of residual-stress evaluation.
Metal infiltration of ferrous materials is carried
out using copper-base alloys. The infiltrant is
placed in contact with the green ferrous compact
and sintered at a temperature above the melting
point of the infiltrant. The sintering of ir on par­
ticles is promoted by the infiltrant drawn into the
ferrous compact by capillary action. Infiltration
can also be carried out as a second step after the
sintering of the green ferrous compact. The po­
rosity can be partly or completely eliminated by
infiltration, resulting in improved density and
mechanical properties of the product. However,
as discussed in the sintering of the iron-copper
system, care should be taken to avoid the growth
as well as the possibility'' of surface erosion of
the compact. Adequate measures should be taken
to avoid the contribution of residual stresses as
a result of liquid-solid transformation of the in­
filtrant on cooling.
Metal injection molding consists of stages
such as mixing, molding, debinding, and sinter­
ing. The densities of the MIM green compact can
be as low as 50% in comparison with about 80%
green density of the traditional P/M part. One
way of reducing the distortion is to provide a
higher green density by using a higher powder
volume in the feedstock with a wider particle
size distribution in order to obtain a high packing
density. To obtain the desired dimension of the
final product, the mold dimension is kept over­
sized, and the solids loading and final densities
will govern the extent of oversize. The isotropic
linear shrinkage (LS) for the molded dimension
to the sintered part dimension (Ref 106), can be
given by:
LS = 1 - [A(l - WL)/D {]in
where L\ is the density of gr een molded part, D¡
is the density of sintered part, and WL is the total
weight loss from molded to the sintered part ex­
pressed as a fraction.
The mold shrinkage factor is (green dimen-
sion/sintered dimension) = 1/[1 — LS]. How­
ever, for complex components the mold shrink­
ages are not isotropic. The anisotropic shrinkage
arises due to variations in powder orientation,
binder orientation, nonhomogeneous powder/
binder separation, gravitational force, thermal
gradients during sintering, and so forth. In such
cases, the mold shrinkage factors for each par­
ticular dimension are to be evaluated by initial
trials. The debinding process should be selected
carefully, and the debinding cycle has to be op­
timized so that the product is free from macro­
scopic defects such as blisters, cracks, and so
forth, as well as from microscopic defects arising
out of powder segregation. Computer simulation
has also been carried out for the sintering den-
Residual Stresses in Powder-Metal Processing / 419
sification of injection-molded M2 tool steel, tak­
ing into consideration sintering densification,
distortion, and microstructure coarsening (Ref
107) . During heating, solid-state sintering occurs
initially, followed by liquid-film formation and
spread on the grain boundaries, resulting in rapid
grain growth. A time-temperature sintering win­
dow is computed for full density1' without exten­
sive carbide coarsening or shape distortion. The
simulation compares favorably with distortion
and densification findings of this steel, and is
characterized by a narrow sintering window.
The problems related to the dimensional
changes and stress levels in warm compaction
are of a different magnitude in relation to cold
compaction. The expansion of the green compact
for equivalent density is lower for warm com­
paction, because lower compaction pressures are
required to acltieve the same density. However,
as the green density increases, since the final
green densities of the warm compacts are higher
than cold compacts, with the increased density
the tooling load will increase, resulting in greater
expansion of the product. Again, with the in­
crease in tooling loads it is necessary to use
thicker stress rings for greater tool deflection.
Adequate care should be taken for the increased
expansion as the same can cause microlamina­
tions particularly in multilevel parts. Microlam­
ination can lead to reduced structural integrity of
the sintered product. A major advantage of warm
compaction is not only the attainment of in­
creased density, but also the increased unifor­
mity of density, which will result in increased
load-carrying capacity of the component.
The management of residual stresses and re­
sultant distortion is an important factor in the
rapid prototyping of three-dimensional compo­
nents. The chromium-molybdenum hot-work
H13 die steel is widely used by the tool and die
industry, but at the same time it is a difficult
alloy for direct-metal deposition because of the
residual-stress accumulation from martensitic
transformation. Direct-metal deposition of H13
tool steel was carried out with a laser power of
1000 W and powder feed rate of 5 g/min for fine
processing. The thickness of each deposited
layer was 250 pm, and the pattern was repeated
to create a three-dimensional component (Ref
108) . Since residual-stress accumulation is the
biggest cause of cracking, an estimation of re­
sidual stress per layer was first established. After
the deposition of a predetennined number of lay­
ers, stress relieving was carried out before fur­
ther layers were deposited. This strategy is useful
in the fabrication of a full-size component. Thus,
understanding and estimation of residual stress
play an important role in the successful fabri­
cation of three-dimensional components by di­
rect metal-deposition of alloys such as H13 tool
steel.
Microstructural Development and
Properties
Microstructural development of elastically
strained crystalline system has been of great in­
terest, as in the case of the coarsening of coherent
precipitates. The equilibrium morphology of a
coherent precipitate is dictated by the interfacial
free energy and the elastic strain energy. Com­
putational technique has been used to analyze the
elastic state associated with arbitrarily shaped
precipitates whose elastic constants are different
from those of the matrix phase. Earlier ap­
proaches failed to describe the coherency strain
accurately. Recently, a new technique termed the
discrete atom method (DAM) has been devel­
oped to examine the general coherency problem,
based on chemical statistical mechanics and lin­
ear elasticity (Ref 109). The DAM appears to be
an answer for the study of predicting micros­
tructural evolution in many stressed alloy sys­
tems.
The phase decomposition behavior from 5 to
(8 + y) phases at elevated temperature has been
investigated in the two-phase stainless steel
powder of Fe-24Cr-8Ni alloy, associated with
the amount of strain stored through mechanical
alloying. Mechanical alloying was carried out in
a vibrating ball mill, and with increasing milling
time the strain stored within the 8 powder in­
creased and the hardness increased from 250 to
600 HV for 360 ks milling, without any change
in the crystal structure of the powder. An allo-
tropic transformation from 8 to y can be induced
by heating the powder to high temperature, own­
ing to the increased driving force iny nucleation,
prior to the equilibrium-phase decomposition to
(8 + y) phases. The strain energy stored through
mechanical milling can influence the allotropic
8-y transformation, resulting in grain refinement
(Ref 110). At temperatures higher than 1300 K,
the microduplex structure of (8 + y) markedly
coarsened, but addition of the 2 vol% of alumina
powder was found to be very effective in sup­
pressing grain growth.
The influence of residual stresses on recrys­
tallization has been a controversial issue (Ref
111) and recently tins has been investigated in
oxide-dispersion-strengthened mechanically al­
loyed sheet steel MA 956 containing 20.8Cr,
5.0A1,0.5Y2O3, and0.5Ti. Mechanically alloyed
powders were hot isostatically pressed, and the
billets were cold rolled to produce 0.5 mm thick
sheet. These were annealed at temperatures be­
tween 1300 and 1380 °C, and the recrystalliza-
tion was established by light and transmission
electron microscopic investigations (Ref 112).
Recrystallization initiated rapidly at the sheet
center line, designated as stage I, resulted in
plate-shaped grains oriented parallel to the roll­
ing direction at the sheet center line. Stage II is
characterized by slower planar growth through
the sheet thickness and finally a very coarse
grain structure, sometimes with a single grain
through the sheet thickness. The recrystallization
kinetics are characterized by incubation time
with an activation energy of 506 kJ/mole fol­
lowed by a decreasing rate of boundary migra­
tion with further increasing time and tempera­
ture. The microstructural evolution is further
discussed in terms of residual stresses, defor­
mation texture, dislocation structure, and oxide
420 / Residual Stress Formation During Manufacturing Processes
dispersion on the recrystallization process. The
center-line-initiated recrystallization might be
attributed to the residual compressive stresses at
the center line of the sheet, although the com­
pressive stresses are maximum at the surface of
the sheet as determined by hardness measure­
ments. The residual-stress profile from the sheet
surface to the center tine indicates that compres­
sive stress at — 725 MPa was measured at the
surface, while the same becomes negligible at a
depth of 0.02 mm. Two opposing regions of ten­
sile stress, which balance the compressed stress,
were broader, ranging from 0.02 to 0.19 mm
with a peak tensile stress of 80 MPa. The re­
maining region around the center line of the
sheet is slightly compressive at —20 to —30
MPa. The high surface compressive stresses are
consistent with the highly de formed near-surface
areas of the sheet as indicated by the liigh-den-
sity shear bands. This unique recrystallization
process in MA 956 sheet appears to be influ­
enced by the strong deformation texture gradient
and power fill high- and low-angle boundary pin­
ning by the fine oxide dispersions.
In the development of new types of high-tem-
perature materials for the propulsion system and
so forth, there is a need to withstand severe heat­
ing and oxidation along with a steep temperature
gradient. Appropriate combination of function­
ally gradient materials is a possible solution to
withstand such severe conditions. Functionally
gradient materials from 304 stainless steel pow­
ders and stabilized zirconia (Zr02-3mol%Y203)
have been prepared by hot pressing. These ma­
terials were evaluated by burner heating using
H2/02 combustion flames. The heat insulating
properties of these materials were satisfactorily
evaluated by the thermal resistance value, but the
sample surface developed cracks during the
cooling cycle (Ref 113). Thermal-stress analysis
showed that compressive stress in the biaxial
state was generated in the areas channeled by
combustion flame at the sample surface, yielding
appreciable plastic deformation, which is re­
sponsible for the generation of large tensile
stresses exceeding the fracture strength of zir­
conia during the cooling cycle.
Improvements in the contact wear resistance
of high-speed tool steel can be achieved by re­
inforcement with aluminum oxide powder, but
will result in a decrease in the tensile strength.
The loss in strength can be recovered by selec­
tive lamination of layers of different reinforcing
content, which vail make a functionally gradient
material (Ref 114). The sintering time and tem­
perature could influence residual-stress distri­
bution, taking full account of relaxation process
and volume change due to phase changes. Ex­
perimental stress analysis measurements served
to validate the analytical predictions.
Considerable attention has been paid to inves­
tigate the improvements in the fatigue life of sin­
tered steel products by appropriate surface mod­
ification treatments such as surface rolling or
shot peening. The enhanced fatigue behavior of
the steel could be attributed to the microstruc-
tural features and residual-stress distributions.
Surface rolling could improve the fatigue
strength by a factor of 1.6 in the case of sintered
Fe-1,5Cu alloy and a factor of 1.3 in the case of
Fe-8Ni- lMo-0.5C alloy (Ref 115). The improve­
ment is caused by interactions such as surface
densification, increased hardness, improved sur­
face roughness, and buildup of compressive re­
sidual stresses. The residual stresses were deter­
mined by x-ray, and through-thickness
residual-stress measurements were carried out by
incremental removal of very thin surface layers.
The hardness of high-strength alloy steel is much
higher than that of iron-copper alloys because of
the higher content of martensite. The maximum
values of the compressive residual stresses at the
surface of as-sintered states were caused by sur­
face machining. However, when the surfaces are
rolled, the compressive residual stresses are no
longer determined by prior machining, but by the
level of yield stress and rate of densification, and
therefore these values are higher than those of
the sintered and machined surfaces. The am omit
of improvement in fatigue life is related to the
stress-concentration factor, and the compressive
residual stress fields at a depth of 0.2 to 0.6 mm
will retard the propagation of sur face cracks.
In the development of high-strength powder-
forged connecting rods, the fatigue strength is
governed by the surface defects such as decar-
burized layer, surface roughness, and nonsin­
ter ed areas. The nonsintered area is attributed to
defective bonding caused by oxidation of the in­
terface in the manufacture of connecting rods.
The oxidation may begin at the surfaces and pro­
ceed deeper during the transfer of porous pre­
forms, heated to high temperature, from the sin­
tering furnaces to the forging die in the normal
atmosphere. Controlling nonsintered areas and
imparting residual compressive stresses to the
surface are found to be the most effective means
of improving the fatigue strength (Ref 116).The
compressive stresses are produced by shot peen­
ing, which could improve the fatigue strength by
about 30% and could result in the production of
a 10% lighter connecting rod. The continuous
efforts to improve the strength/weight ratio
without affecting reliability have motivated fur­
ther work, including the optimization of shot
peening and the evaluation of the magnitude of
residual stresses of powder-forged connecting
rods. Residual-stress measurements were made
using x-ray diffraction techniques. Maximum fa­
tigue strength is obtained at a shot-peening in­
tensity in the range of 15 to 20 A (Almen). Fur­
ther increase in peening intensity resulted in a
decrease in fatigue life (Ref 117). This decrease
in properties is attributed to overpeening, result­
ing in surface extrusion faults. This phenomenon
can form cracks at the surface of the component
and lower its fatigue life. Optimization of the
peening process on fatigue test specimens re­
sulted in an increase of 55% improvement; when
the process was earned out on forged connecting
rods (composition Fe-0.5C-0.1S-2Cu) using an
optimal peening intensity, an improvement of
27% of fatigue strength over the unpeened rods
at 90% reliability level resulted.
Conclusions
The P/M process has emerged as an advanced
manufacturing technology for the mass produc­
tion of precision parts for general engineering,
automotive, electrical, electronic, and aerospace
industries. The process has become competitive
with other metalforming teclmologies, and there
is a continuous growth in the areas of steels,
stainless steels, tool steels, and metal-matrix
composites, which are difficult or impossible to
produce by conventional methods. The growing
powder-processing teclmologies include warm
compaction, liquid-phase sintering, high-tem-
perature sintering, hot isostatic pressing, powder
forging, metal injection molding, and rapid pro­
totyping.
Studies of residual stresses during the various
stages of powder metal processing are very fas­
cinating and important from the view point of
producing quality products. These include the
production of metal powders by atomizing, non-
equilibrium processing such as rapid solidifica­
tion and mechanical alloying, compaction of
metal powders, sintering, hot pressing and hot
isostatic pressing, heat treatment and working
such as powder forging, and other P/M pro­
cesses. However, only very limited investiga­
tions have been carried out in P/M processing,
and the major reported areas include heat treat­
ment, microstructural evolution, and increasing
the fatigue life of sintered and powder-forged
components. In these cases, the residual-stress
measurements have been carried out using hard­
ness and x-ray techniques, and more powerful
techniques such as neutron diffraction are yet to
be investigated. There is a need to develop pre­
diction methods and measurement techniques for
residual stress measurements in P/M products,
and a better understanding of optimized residual
stresses can offer benefits such as enhanced ser­
vice behavior and reliability to the components.
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Residual Stress Formation and
Distortion of Rail Steel
F.D. Fischer and G. Schleinzer, Montanuniversitát Leoben, Austria
RESIDUAL STRESSES AND DISTORTION
OF RAIL STEEL are important to security and
comfort in railway traffic. In fact, some derail­
ments were found to be initiated by residual
stresses, and the buckling of rails has already
caused some serious accidents. Fortunately,
great disasters are a rare occurrence in railway
traffic. Still wear, and thus maintenance costs,
are influenced by residual stresses. Due to in­
creasing speed and rising wheel loads of freight
cars, more and more research interests have been
directed to the railway system, and railway ad­
ministrations demand straightness and low ten­
sile or—even better—compressive residual
stresses in the head and in the foot near the sur­
face to improve crack growth resistance.
In Fig. 1 different steps of the life of a rail are
illustrated. Two production steps in particular of­
fer the possibility of enhancing the properties of
a rail of given metal composition (i.e., the cool­
ing process and the straightening of the rail). Of
course, nobody expects significant deformation
during the service of a rail (that is, the defor­
mation of a rail under wheel loads); thus, the
residual stress state is highly influenced by the
very localized nature of the stresses caused by
wheel/rail contact. In the case of a wavy or
rough rail surface (e.g., due to asperities), the
localization of the contact is even stronger.
The Cooling Process
The main geometrical feature of a rail is ob­
viously the fact that it has only one symmetry
with respect to a plane orthogonal to the rail foot.
In addition to the single symmetry, the mass dis­
tribution along this plane varies significantly.
The rail head represents a mass concentration of
roughly square shape. However, the web and the
two halves of the foot can be approximated by
plates. Inevitably the cooling process of a rail
Fig. 1 A rail from production to service
profile with an initially spatially constant tem­
perature distribution results in a strong inho­
mogeneous temperature field and a thermal
stress state. If the rail is free from external con­
straint, of course, neither a resultant moment nor
a resultant force can appear due to pure cooling.
Although the understanding of such a tempera­
ture field is of a certain technical interest and
has been a topic of research for many' years, little
literature exists on the residual stress state due
to cooling. We use the word “certain,” because
some experts argue that only the stress state after
the roller straightening process, which follows
the cooling process, is of any relevance. How­
ever, if one wants to understand why the rail is
curved after cooling and if there are ways to re­
duce the curvature as much as possible, one has
to study the cooling process very carefully. Ev­
idently, the curved size after cooling is the input
information for the straightening process. The
residual stress state due to cooling, however, is
fully eliminated during the straightening pro­
cess.
One of the first papers dealing with residual
stresses in rails after cooling was published by
Mayer in the 1930s (Ref 1). Mainly experimental
work is reported. The method of cutting the rail
profile into small square columns (the “section­
ing” method) was used, which obviously is too
inaccurate to give a really clear picture. A paper
later published by Asbeck et al. (Ref 2) also dis­
cusses experimental results.
One of the reasons for the near-absence of nu­
merical and analytical work on residual stresses
in rails is the “difficult” geometry. Therefore, the
first real progress toward a better understanding
of the history of the residual stress state and the
deformation of the rail could be achieved by ap­
plying the finite element method (FEM), as in
one of the first works in this field by Marcelin et
al. (Ref 3). This paper could not provide a clear
picture about the development of the residual
stress state and the distortion of the rail because
the authors investigated a single rail in vertical
position; however, its merit has been to show a
way of applying FEM to tliis difficult problem.
To the knowledge of the writers the most com­
prehensive numerical study was presented in a
thesis by Hinteregger (Ref 4). Two accompa­
nying papers were published, one dealing mainly
with the transient temperature field and the re­
lated residual stress state in a rail profile (Ref 5),
and the second paper considering long rails and
the variation of tire residual stress state along the
rail (Ref 6). After the discussion of the tempera­
ture field and the method for calculating the re­
sidual stress state, the problem of long rails, the
“rail end problem,” is treated again in detail. Fur­
thermore, it should be mentioned that mainly the
results of Hinteregger et al. (Ref 6) are discussed
in this chapter. Of course, finer meshes would
be applied today; however, the concept followed
can be considered as absolutely up-to-date. Also,
a distinct rail profile must be assumed for the
numerical calculation. The widely used UIC54E
profile is applied. The thermal material behavior
of this fine pearlitic material can be found in Fi­
scher et al. (Ref 5). The austenite to pearlite
transformation occurs during cooling between
ca. 690 °C and 610 °C. The rail is represented
by a layer of generalized plane-strain elements
(see the mesh in Fig. 2). The base plane of this
layer is defined to remain in the plane of the
coordinate system. The cover plane, however,
Fig. 2 Finite element mesh. Source: Ref 4

may displace in the longitudinal direction and
may also rotate with respect to a rotation vector,
which is fully free. The global equilibrium con­
ditions enforce no resultant longitudinal force,
no shear force on the cross section and no re­
sulting moment. Consequently the rotation of the
cross section, and thus the distortion of the rail,
can be calculated. The thermal boundary condi­
tions are explained in the next subchapter. All
calculations (thermal and mechanical) were per­
formed with the program ABAQUS (Ref 7).
The Cooling Boundary Conditions and
Heat Transfer. It is assumed that the tempera­
ture of the rail is spatially constant at 1030 °C
(1303 K) over the entire cross section at the be­
ginning of the cooling procedure. This is the
measured surface temperature after the rail has
left the rolling mill. Cutting and transportation
take usually about 4 min until the rail reaches
the cooling area. Most of the rails cool down
with contact and thermal interactions with the
neighboring rails as shown in Fig. 3. A single
cooled rail is a special case that rarely occurs in
the course of rail production.
At temperatures higher than 500 °C cooling is
mainly determined by radiation. Heat transfer by
convection becomes more important at lower
temperatures. Figure 4 shows the temperature
0 200
Fig. 4 Dependence of the heat capacity, cp; conductivity, k, and the mean coefficient of the thermal expansion, am,
on temperature. Source: Ref 4
Residual Stress Formation and Distortion of Rail Steel / 425
dependence of the heat conductivity k, the spe­
cific heat capacity c and the mean coefficient
of thermal expansion oy, as a function of the cur­
rent temperature T , am (7), expressed by:
am = \T a(®)d®/(T - Tre£) (Eq 1)
■#»f
where a(0) is the instantaneous linear coeffi­
cient of thermal expansion at temperature © in­
cluding both the temperature-induced and the
transformation-induced volume changes. Tref is
chosen to be 900 °C.
As mentioned, the austenite-pear lite transfor­
mation takes place in the temperature range be­
tween 690 and 610 °C. The latent heat q m W!
nr' set free during this phase transformation can
be represented either as a heat source on the right
side of the heat conduction equation or, approx­
imately, by an artificial increase pAcp of the spe­
cific heat capacity pcp according to the relation
with the time t:
dT dT
p(cp + Acp) — = divi/f grad T) + q => Pcp —
= div(fc grad T)
dT
pAcp — = q (Eq 2)
. AT . ¿¡At
?Ac p — = q pAcp = — (Eq 3)
This practice was applied in the study explained
here.
Each point of the rail surface absorbs or trans­
mits energy by radiation to the surroundings and
by self-radiation, which means that an area at the
400 600 800 1000 1100
Temperature, X
surface radiates to another area of the same body.
Because of the small temperature differences the
heat flux by self-radiation is rather small. There­
fore, mainly the radiation into the surroundings
is of interest. The heat flux is governed by
(Ref 8):
Qli = <pM ' Sj • c ■ A - T¡) (Eq 4)
and
<p,_j = Vfrsin cq + sin a2) (Eq 5)
where Q\} is the heat flux from the plane i to the
plane j; £„£, are the emissivity coefficients; a =
5,67 ■ 10 ~ AfT/nf K2) is the Stefan- Boltzmann
constant; Ai is the area of plane i; 7),7) are the
temperatur es of the planes i and j, respectively;
cpjj is the radiation shape factor; and oq,a2 are
the angles between the normal of the examined
element and the tangent to the rail surface as
shown in Fig. 5.
The comparison between the total heat flux
and the heat flux due to radiation into the sur­
roundings after 6 min cooling time is shown in
Fig. 6. The numbers indicate the fraction of heat
flux into the surroundings in percent. On the
lower side of the rail head 87% of the total heat
flux is radiated into the surroundings. The other
part is the heat flux from the head to the web and
the foot, respectively. The surface temperatures
at the web and the foot are lower than the head
temperature, and therefore, the heat flows from
the head to the other points.
A positive heat flux leaves the body. The total
heat flux in a point at the web is the sum of 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
total heat flux is smaller than the heat flux into
the surroundings, values greater than 100% may
426 / Residual Stress Formation During Manufacturing Processes
occur. The heat flux leaving the body is approx­
imately the same as the heat flux entering the
body in a point at the rail foot. The total heat
flux is very' small or zero, due to a thermal in­
sulation, symbolized in Fig. 6 by tvvo thick lines
at the foot surface. The percentage tends to in­
finity' in this area.
The heat transfer is predominantly conductive
in the contact area to tire neighboring rails. This
fact is taken into account in the computer model
by combining the head and the foot surface of
the same rail with six node interface elements
for heat transfer, as symbolized in Fig. 6 by the
shaded area.
Below 500 °C convection becomes more and
more relevant. The heat flux Q\ from a plane to
the surroundings is defined as:
Qt = AMT) * (Te - T)
where h(T') is the heat-transfer coefficient, and
Te is the temperature of the surroundings. It is
convenient to approximate the contour of the
cross section by straight lines for calculating the
heat-transfer coefficients (Fig. 7). Simplified em­
pirical relations for the heat transfer coefficient
h for free convection from various surfaces to
Fig. 6 Heat flux into the surroundings in percent of the total heat flux. Source: Ref 4
the air at different temperatures are given in Hol­ for a horizontal plane facing upward, and
man (Ref 8) as:
h = 1.42 (Eq 7)
for a vertical plane, for a horizontal plane facing downward. AT (°C)
is the temperature difference between the surface
h = 1.32i^-) (Eq 8) and the ambient temperature; L is the vertical or
horizontal dimension (m). The unit of the heat
transfer coefficient h is iF/(m2K).
No further details are given with respect to the
2o calculation procedure because a transient tem­
perature calculation is now state of the art. For
more information see Ref 7. It should be men­
tioned that the thermal and mechanical processes
are uncoupled in so far as the thermoelasticity
effect (contribution to entropy via strain energy)
(Eq 6) is neglected since it is of no practical relevance.
The cooling process starts with free cooling
during the first four minutes. Then an interaction
takes place with the neighboring rails at the same
temperature level (Fig. 4, 8). After 100 min the
surface temperature reaches approximately 200
°C, and the rail is lifted off from the cooling area.
The cross section has reached ambient tempera­
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
show's 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 Vh minutes. Then the rail is air-cooled as
usual. The temperature distribution in such a
head-hardening rail after 4A minutes cooling
time can be seen in Fig. 9. The composition of
the quenching fluid and, therefore, the heat trans­
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).
800 780
Ref 4
 Residual Stress Formation and Distortion of Rail Steel / 427

The analysis of a residual stress state during
quenching or cooling can now be assumed as a
well-established concept. Specifically, the kinet­
ics of the phase change phenomena, as well as
their mechanical appearance due to a transfor­
mation eigenstrain, must be understood. Here,
the writers refer, for example, to a widely ac­
cepted paper by Inoue et al. (Ref 10) and for
details to a paper by Tanaka et al. (Ref 11). In
the case of a diffusional transfonnation such as
the austenite-pearlite transformation, a volume
change of a few percent occurs. Note that the
transformation volume change itself is included
in the mean coefficient of thermal expansion.
This volume change cannot be accommodated
by elastic straining. Therefore, a local plastifi-
490
cation is activated which interacts with the
global load stress state. Tins phenomenon is de­
nominated as transformation induced plasticity
(TRIP). Refer to a detailed overview by Fischer
et al. (Ref 12). As a practical device, an addi­
tional plasticity term e¡jp is introduced with re­
spect to the additive strain tensor sy decompo­
sition:
sij = sf + 4 + sjf + sf
where s®1 is the elastic part of the strain tensor;
s® the thermal part being am(T — TrJh', h fo­
liotes the unity tensor, efl the plastic part and, as
mentioned, the TRIP part. The TRIP part
(see Fischer et al., 1996) is derived as:
td 3 dvj/ • 5„1
*yP = K = - S — OEqU)
2 dj 6 Gy*
where ay* is a weighted yield stress of both
phases;/ represents the volume if action of pearl -
ite; \j>(/) describes the pearlite transformation ki­
netics; jy is the global (locally averaged) stress
deviator; and 8 is the transformation volume
change. Such a modification of the constitutive
law was not available when Hinteregger (Ref 4)
worked out his thesis. Therefore, the “softening'’
due to the TRIP-effect was taken into account by
(Eq 10) a reduction of the yield stress, as seen in Fig. 10.
Also, the Young’s modulus, Poisson’s ratio, the
mean coefficient of thermal expansion, and the
stress-strain curves are taken into account with
respect to their temperature dependence. For the
stress calculation the generalized plane-strain
model explained previously is used. It allows a
longitudinal displacement and rotations of the
„ cross-section. Figures 11 and 12 show the ther­
mal longitudinal stresses along the symmetry''

Fig. 11 Longitudinal stresses in MPa along the axis of symmetry after 20 min cooling time. Source: Ref 4

600 650 700 750

Temperature, °C

Fig. 10 Temperature dependence of the yield stress

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
428 / Residual Stress Formation During Manufacturing Processes

axis for different time steps of a cooling proce­ prevents the rail from deforming in transversal constant and changes its sign at locations *,(/), i
dure, taking into account full interaction with the direction. This fact leads to the surprising effect = 1,2, Nwhere
surrounding rails as shown in Fig. 3. It can be that very long rails (approximately 100 m, or 328
shown that the influence of TRIP on the final ft, length) show an almost perfectly straight mid­ dw
= w\x. = 0 (Eq 14)
residual stress state is significant; this may be dle section “M” of at least 60 m (195 ft) length dt
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 d2W 1
—y = + m e(t)) (Eq 15)
the residual stress distribution in a single rail dif­ shape because the friction force distribution de­
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 lead­ ing process were Fischer and Rammerstorfer in w(/)|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
Head-hardening changes the picture of the re­ dM dm %
an elastic bar; its stiffness is EJ; E, Young’s (Eq 16)
sidual stress distribution, as shown in Fig. 13. It modulus; and J, cross-section inertia moment. dt dt
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(zJl which does not depend on the lon­
straint of the rail in the case of head-hardened
gitudinal coordinate x, leading to a temperature dM _ d 2 M _ dQ
rails.
moment: (Eq 17)
Due to the changing temperature differences dx dtdx dt
between the head and the foot, the contraction of
the foot at the beginning of the cooling process m$(t) — J Eam T{z,t)z di (Eq 12) Q being the resultant shear force in transversal
is greater than the contraction of the head. This direction, it follows immediately from Eq 16
tendency changes several times during the cool­ that:
ing period. The sag/for a rail section of 30 m Since the bar may move on the rough surface
in length versus time t is plotted in Fig. 14, con­ (representing the cooling bed) a transversal fric­ dQ -drrifA
tion force,/?, can be activated during the sliding, ~8 (Eq 18)
sidering a positive sag if the center of the cur­ dt M dx dt j
vature is at the head-side. One can see that the thus:
sag changes significantly with time. Due to the initial conditions me(0) = 0, w(x,0)
Weight and Friction: Rail End Problem. In \p(x)\ = \xq (Eq 13) = 0, M(jc,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 jli 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/)\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
ever, actual rails have a length of 30 m (98 ft) to oriented in the negative direction of the trans­ dQ
= ~P(X)\ M=0 (Eq 20)
more than 100 m (328 ft) and are subjected to versal velocity dw/dt with w being Hie transver­ dx M
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/)\m = -me
Q(x,t)\M = 0
p(x,t)\u = 0 (Eq 21)

Fig. 14 Sag, f, of a rail with a length of 30 m on a fric­

tionless support. Source: Ref 4

Thus, the middle section “M” of the rail can be
considered as a long beam with an external mo­
ment — to0 on both ends.
It is now a very difficult problem to find the
sequence x{i), i... N. The most surprising effect
is that the two equilibrium conditions:
J'XN rJfa
p(x)dx = 0 p(x)(x-¡.¡ — x)dx =
0 Jo
together with the conditions (Eq 14):
w|x. = 0, / = 1, ... N
yield a system of A + 1 differential/algebraic
equations for N unknowns x„ i = 1, ... N (Ref
14). This obvious paradox can be solved only if
N is assumed as N —>°°. A detailed description
of the solution routine is presented in Ref 14
going back to an earlier work (Ref 15).
Dimensionless interval boundaries
^ = l* = («9 mq)m
are introduced. A numerical procedure gives:
= 1.041, = 2.387, = 2.802,
= 2.948, E,} = 3.003, = 3.024, ...
It can be seen that the interval boundaries come
closer and closer with increasing n. The se­
Residual Stress Formation and Distortion of Rail Steel / 429
quence £n, n —» oo, reaches a limit value £,«> =
3,029. It is interesting to note that Stupkiewicz
and Mroz (Ref 16) found the same solution in­
dependently. Recently Mogilevsky et al. (Ref
17) published a concept for a finite-length beam
with a sequence of friction intervals with chang­
ing friction force sign.
The finite value of ^ points to a perfectly
straight middle section “M” of the rail. Of
course, since the material is assumed to be elastic
and me vanishes for a rail at room temperature,
no final deflection would occur. Nevertheless,
this elasticity friction study leads to a better un­
derstanding of the complicated phenomenon of
the moving/sliding of the rail on the cooling bed.
The investigation of the real situation of an
elastic-plastic rail on a real cooling bed consist­
ing of a grid with discrete supporting bars with
spacing being orthogonal to the rail was elabo­
rated by Hinteregger (Ref 4), Fischer et al. (Ref
18) , and Hinteregger et al. (Ref 19). In the fol­
lowing text the results for a 100 m (328 ft) rail,
which is placed on a grid, are reported. The rail
(Eq 22)
was modeled by an overlay of six bars (B32
beam elements of Type ARBITRARY) ade­
quately representing the area, as well as the mo­
ment of inertia of a UIC54E rail profile. The
same constitutive law was assumed for the beam
cross section as in the two-dimensional study
just described. The stick-slip effect of a sup­
porting bar is represented by an elastic-ideally
plastic material with the yield stress = (\xqaS
ASX As being the cross section of the supporting
bar. The Young’s modulus FA of the supporting
bar is selected as Ep = 100E. Since the sup­
porting bar is modeled as a truss element fixed
at one end, using the constitutive law explained
previously, the correct sign of the friction force
with the magnitude jxqa is automatically taken
into account. According to the calculated tem­
perature field, the temperature is defined in 32
points of the cross section with spatial linear in­
terpolation. In each equivalent point with respect
to the longitudinal wdirection, the same time his­
tory of the temperature T(y^j) is defined. Both
the transversal displacement w(x,f) and the lon­
gitudinal stress oK(x,y,zj) are calculated. In the
middle section “M” the rail remains almost to­
tally straight, which corresponds to a “fork-type”
positioning of the rail. Therefore, the residual
stress state calculated due to this constraint in
the previous section can be used to check
^k(taT)Im-
The partial plastification of the rail during
cooling leads to a deformed shape. Figure 16
shows the deformation shape of a half 100 m rail,
with the length counted from the middle of the
rail. Furthermore, Fig. 16 shows that only the
“rail end” is deformed, covering roughly a range
of 25 m. Figures 17 to 19 demonstrate the lon­
gitudinal residual stress cfix,y¿) at room tem­
perature after lifting of the rail, calculated by
the overlay-beam-model at hand agrees well
with the calculated values from the two-dimen­
sional model with a “fork-type” positioning of
the rail in the middle section “M.”
Experimental Results. The findings of the
previous section on a long rail led to a new view
on the results of experimental investigations of
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
stress state varies significantly within the last 25
m (82 ft) of a long rail. That means the place
where a part of the rail has been cut out for ex­
perimental investigation must be defined pre­
cisely. Of course, for sake of comparison, it
should be cut out from the middle section “M.”
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,
1200 s; 5, 3600 s; 6, 6000 s; 7, 36,000 s. Source: Ref 4
430 / Residual Stress Formation During Manufacturing Processes
The strong variation of the residual stress state
in the rail-end region is obviously one of the rea­
sons for a significant scatter of the experimental
results reported in the literature (Ref 1, 2, 20). If
Hie reported results on residual stresses are de­
picted in one graph, a scatterband emerges de­
picted as a shadowed region in Fig. 20. It is in­
teresting to note that specifically the results
published by Kolmogorov et al. (Ref 20) fit well
Hie calculated results of this work relating to the
middle of a fairly long rail. Also, the results
found by Marcelin et al. (Ref 3) agree well, both
pig \~J Longitudinal stresses of a rail lifted off the cool-
ing bed. Source: Ref 6
0 10 20 30 40
Length, m
Fig. 1 8 Longitudinal stresses of a rail lifted offthecool-
ing bed. Source: Ref 6
qualitatively, and in part, quantitatively, with the
results reported here.
A further comment is necessary with respect
to experimental investigations. Often, the hole-
drilling method is applied, which is assumed to
be an established technique (Ref 21). However,
a numerical simulation of fifis hole-drilling pro­
cess by Fischer et al. (Ref 22) has revealed that
the evaluation method of surface deformations
by strain gages leads to wrong results if there is
a steep stress gradient in the virgin material. This
is a real shortcoming and has led to many mis­
interpretations of the residual stress state in rails
since just near the head of the rail one can often
observe a very steep gradient after the cooling
process and the subsequent straightening pro­
cess.
As a conclusion, one must accept that rails,
after cooling on a cooling-bed, are curved at
room temperature. However, several attempts
are under way to achieve a straight rail after the
cooling process. This can only be performed
with a specific cooling procedure, such as by
contact with copper bars as discrete “heat ex­
tractors” on the surface of the rail. Several rail
producers are working on such a procedure but
maintain strict silence on the outcome.
Roller Straightening
After hot rolling, the rails cool down on a
cooling bed. Due to the different cooling veloc­
ities in the cross section, the rails are distorted
after having reached room temperature. Since
there are certain requirements for the rail
straightness, not the least of which is to ensure
passenger comfort, a further production step—a
straightening step—must be added. Although
there are different possibilities (e.g., stretch
50
Fig. 20 Scatterband of longitudinal residual stresses of unstraightened rails from literature. Source: Ref 4
straightening), roller straightening, as used for
other long products, is the most common
method. Roller straightening is much faster than
other methods because it allows continuous
operation, and the underlying principle is fairly
simple. The cool, distorted rails are drawn
through the straightener by a series of driven
rollers, which are located alternately below and
above the rail. While the rail is passing through
the rollers in the longitudinal direction, it is bent
up and down. Thus, the initial distortion is ho­
mogenized and decreased by the plastic defor­
mation caused by a combination of bending,
shear, and roll contact stresses. This operation is
quite important because it is the final deforma­
tion process of the production route, which de­
termines the residual stress pattern (Fig. 21).
There is always a springback effect when the
outer forces are released after a plastic defor­
mation. Thus, a new equilibrium of forces and
moments caused by residual stresses are
achieved. A typical residual stress pattern de­
velops during the straightening, which is nearly
independent of the initial rail distortion before
the straightening operation. As tensile residual
stresses promote the initiation and propagation
of cracks, railway producers tty to achieve low
residual stresses. The most critical point here is
the foot, where both the longitudinal tensile
stresses due to the wheel loads and the residual
stresses superpose. However, obtaining a
straight rail and reducing residual stresses are
Roller deflection
Fig. 21 Roller-straightening process

difficult tasks because the straightness also de­
pends on the distribution of the residual stresses.
The roller deflections can be changed on an
existing roller straightener in order to improve
the residual stress pattern and the straightness of
the rail. Up to now the setup of the roller posi­
tions has been a matter of trial and error, largely-
influenced by the skills and expertise of the op­
erator.
Railway administrations demand low residual
stresses in rails (e.g., that the longitudinal resid-
Fig 22 Measurement of the longitudinal stresses at the
rail foot according to a CEN draft standard
-300 -200 -100 0 100 200 300 MPa
Fie. 23 Scatterband of the longitudinal residual stresses
® taken from Hodgson. Source: Ref 25
Fig 24 Longitudinal residual stresses of a 370 BHN
® new roller straightened rail. Source: Ref 30, 31
Residual Stress Formation and Distortion of Rail Steel / 431
ual stress, which is the most critical component,
must not exceed 250 MPa, or 36 ksi, in the mid­
dle of the foot). According to a European Com­
mittee for Standardisation (CEN) draft standard
(Ref 23), the measurement of this residual stress
component has to be performed in the following
way: A strain gage is attached in longitudinal
direction in the middle of the rail foot. Then, a
saw cut in front of and behind the gage position
and normal to the longitudinal direction relieves
the residual stresses. The stress relief causes an
elastic strain, which can then be measured by the
strain gage. Finally, the original longitudinal
stresses can be calculated using the Young’s
modulus (Fig. 22).
Residual Stresses in Unused Roller-
Straightened Rails. Generally speaking, the
longitudinal residual stress pattern in the cross
section is a “C” shape with tensile stresses in the
head and the foot and compressive stresses in the
web. A comprehensive study about stresses in
roller-straightened rails was done by the ORE
Committee (Ref 24), which used destructive sec­
tioning methods. Due to the sectioning, the rail
parts expand or shrink elastically when separated
from one another. The resulting elastic strains
can be calculated by measuring the length
changes, or they can be directly measured by
strain gages. Of course, these measurements
must be done very carefully so that the cutting
or frictional heating does not influence the re­
sults. Also, tiie spatial resolution is not very
high. Hodgson (Ref 25) summarized the results
of tire ORE Report in a scatterband of tire lon­
gitudinal stresses (Fig. 23).
Similar results are reported in Ref 26 to 28.
An equivalent scatterband can be found in Wine-
man et al. (Ref 29). The accuracy of the mea­
surements can be verified by checking the force
and moment equilibrium in tire cross section.
Later, in 1992, the European Rail Research
Institute (ERRI) (Ref 30) reported new measure­
ments by neutron diffraction perfonned by Web­
ster et al. (Ref 31). Neutron diffraction is a non­
destructive testing method. In contrast to x-rays,
neutrons can penetrate material more easily, al­
lowing tire measurement of residual stresses in
the interior of the material. However, it is a
rather expensive and very time-consuming
method; moreover, a nuclear reactor is necessary
to provide the neutrons. Monochromatic neu­
trons can be scattered at the lattice planes of a
crystalline material. If the beam path length be­
tween the planes is a multiple of tire wavelength
of the neutron, then constrictive interference oc­
curs. Therefore, only under certain beam angles
will diffraction take place. Also, if stresses in the
material alter the lattice distances, the scatter an­
gle changes. For more details about the neutron
scattering method see the article “Methods for
Determination of Inhomogeneous Residual
Stress Fields” in this Handbook. Unfortunately,
the investigation of the interior of the specimen
is limited. Due to the scattering, fewer and fewer
neutrons reach points deep inside the material.
To ensure that a reasonable amount of neutrons
reach the detector, a certain total beam path
length should not be exceeded. In steel, for ex­
ample, the maximum path length is only a few
centimeters. Webster (Ref 31), therefore, chose
a longitudinal and a normal plate of the rail for
the analysis. The gage volume was 2 X 2 X 2
mm) which is typical for neutron diffraction.
Hence, the results are averaged values inside this
volume. In qualitative tenns, his results are well
in accordance with the ORE Report (Fig. 23 and
24) . Just near the head surface a certain stress
reversal was observed. The longitudinal tensile
stresses dropped from a maximum beneath the
surface to a lower value at the surface. Already
the ERRI report mentioned that results near the
specimen surface must be interpreted with cau­
tion due to the extrapolation of the data. An ad­
ditional problem near the surface is parasitic
peak shifts if the neutron gage is not entirely
immersed in the specimen. Hauk and Kockel-
mann (Ref 32) also reported a steep stress gra­
dient near the surface with compressive stresses
at the surface. The stresses were measured by x-
ray diffraction. But in their paper the longitudi­
nal residual stresses changed from compressive
to tensile stresses within 0.1 mm beneath the sur­
face. Thus, the general stress pattern seems to be
clear, although near the surface there are still un­
certainties (Fig. 24).
Behavior of Rail Steel under Plastic Defor­
mation. There are different types of rail steel:
the plain carbon, the alloy, and the heat treated
qualities. The different qualities should maxi­
mize the lifetime of the rails under different op­
erating conditions. In this case the focus is on
describing the behavior of these steels under cy­
clic plastic deformation. Plastic deformation
causes the material to undergo a certain change
in shape and remains after the removal of the
outer forces. In the case of straightening of rails
and rails in service, the loading occurs repeatedly
and with changing signs. Therefore, the empha­
sis is on the cyclic plastic deformation.
Plastic deformation is based mainly on the
gliding of lattice planes in the crystalline struc­
ture of metals; this gliding requires dislocations
in the lattice. Although a certain amount of dis­
locations are always present in a metal, they are
also generated by the plastic deformation itself.
On the other hand, the piling up of dislocations
decreases the mobility of the dislocation again,
and the material shows hardening. If loading is
reversed, it has often been observed that tire elas­
tic limit increases in one loading direction while
it decreases in the opposite loading direction.
This is called the Bauschinger effect and has to
be considered in the case of cyclic loading (Fig.
25) .
Polycrystalline materials in tire virgin state are
isotropic, von Mises assumed that only the sec­
ond invariant of the stress tensor accounts for the
elastic limit. The material shows elastic behavior
as long as the stress state stays within the von
Mises yield surface. Thus, his theory is also
called J2-flow theory, which is a good approxi­
mation of real metal behavior.
After plastic deformation the material is no
longer isotropic, and additional internal state
432 / Residual Stress Formation During Manufacturing Processes
variables must be used to define the hardening
of the material. A common approach for cyclic
plasticity uses the decomposition of the hard­
ening into kinematic and isotropic parts. These
models still contain the von Mises yield function
and evolution laws for the internal state variables
such as the yield stress cjy, which defines the
radius of the elastic range (Mises cylinder) and
the backstress tensor aip which describes the
shift of the Mises cylinder in the principal stress
space (Fig. 26).
The main issue of a material model is to de­
scribe the evolution of elastic yielding and the
state variables during plastic deformation. In
1979 Chaboche et al. proposed a multiple com­
ponent non-linear hardening model. Today this
model is widely accepted and a basis for further
developments in plasticity models.
The decomposition of the stress tensor into a
hydrostatic and deviatoric part gives:
Oij = ofv + of3 = % + Sy V-str(o^) (Eq 23)
Then a modified vori Mises yield surface for ki­
nematic hardening is necessary, where oY is the
common elastic yield value in a simple tensile
test:
Stress, MPa
600 t
Fig. 25 Cyclic loading of rail steel UIC 900A
¿h
Fifi 26 von Mises yield surface and its shift due to ki-
nematic hardening in the principal stress space
tytyj - ay) = ‘Afój - ayXSj - ajj) = i/30y history. The evolution of the yield radius is as­
(Eq 24) sumed to be:
°y = °Y>0 + 6(1 “ (Eq 26)
The flow rule is modified to:
where aY 0 is the initial yield stress, Q and b are
hardening parameters, and tyqv is the accumu­
sfj = - ay) (Eq 25)
lated plastic strain.
Next, the backstress tensor is decomposed into
where X is a constant dependent on deformation
an arbitrar}' number of components:
M
a/Pa Oij = 2 «y (Eq 27)
n=1
where each backstress component evolves due
to a nonlinear' law:
«íj = (Eq 28)
cn and y” are the kinematic hardening parame­
ters, which are different for each backstress com­
ponent.
The kinematic hardening equations take into
account the transient hardening effects in each
stress-strain loop. The merit of Chaboche’s
model is its easy mathematical structure, which
allows a simple way to determine model param­
eters. The parameters can be determined from a
simple cyclic uniaxial tension-compression test.
a/Pa
Chaboche’s model allows an almost exact rep­
resentation of the hysteresis curve under cyclic
loading if the material shows no “out-of-phase
hardening.” This out-of-phase hardening or ad­
ditional hardening may occur if the strain paths
change from longitudinal to shear paths and vice
versa during the loading. Such nonproportional
paths occur during the roller contacts. A com­
prehensive study about the latest developments
in material models can be found in the thesis of
Jiang (Ref 33) and in Chaboche (Ref 34) (Fig.
27).
Because rail steel shows no “out-of-phase
hardening,” a good representation of the plastic
response of the material can be obtained with
Chaboche’s multiple component plasticity
model. The use of a simpler material model re­
quires caution because it can strongly influence
a/Pa the calculated results on residual stresses.
Simulation of the Roller Straightening. Dif­
ferent attempts were made to simulate the roller
straightening. Brünig (Ref 35) used beam ele­
ments of different widths accounting for the spe­
cial cross section of the rail. He already used an
enhanced two-surface plasticity model. Because
elements covering the whole width do not allow
a variation of stresses along the width, his results
are, at best, average values. He also stated that
the contact pressure at the rollers had only a mi­
nor influence on the residual stresses. Naumann
(Ref 36) investigated a full three-dimensional
FEM model with an explicit integration method,
a coarse mesh, and linear kinematic hardening.
However, he did not publish residual stress re­
sults from Iris calculations. In contrast to Brünig,
Naumann stated that the pressing of the rollers
pjo4 27 (a) Measurement: cyclic tension-compression into the rail head and foot is in fact responsible
test (b) compared with a linear kinematic ma­
terial model and (c) Multiple component model of Cha­ for the residual stress pattern. Weiser (Ref 37)
boche. applied straightening mechanics on a slice of
 Residual Stress Formation and Distortion of Rail Steel / 433

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 AB AQU S/ 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 (s33), shorter in height (s22), and wider
zig-zag pattern of longitudinal stresses. Hender­ 29). (S|,). 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
blance to measured U- (or C-) shaped patterns.
After the material parameters had been adjusted
to unstraightened and straightened conditions,
the simulation gave better results.
Although these studies explain many mecha­
nisms of straightening and offer help in under­
standing the process, none of them has yet
solved the formation of residual stresses quan­
titatively. The key problem is that limited com­
puting resources made various simplifications
necessary, either by using beam or two-dimen­
sional elements, neglecting the rolling of the
rollers or using linear kinematic hardening for
the material. Especially two-dimensional simu­
lations with linear kinematic material hardening
lead to zig-zag patterns of the longitudinal resid­
ual stresses, which are not in agreement with the
measurements. In addition, the residual stresses
after straightening, which are calculated in a
two-dimensional model, strongly depend on the
plasticity model used. However, an FEM simu­
lation is quite time consuming, and contact prob­
lems make the time problem even worse. Nev­
ertheless, the authors tested a new concept for a
full three-dimensional simulation of the roller
straightening process with a minimum of sim­
plification.
In order to save computation time, the simu­
lation was split into two FEM processes. In the
first step a global model, 16 m long with a coarse
mesh and linear kinematic hardening law, was
applied. In the second step a submodel, only
linee times as long as the height of the rail with
a fine mesh and Chaboche’s multiple component
hardening law, was used. The front and back sur­
face of the submodel was driven by the nodal
displacements of the global model. This ensured

Submodel

. (+) (+)
(t) <A)
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. s„ is the vertical
straightener strain (width), s22 is the horizontal strain (height), and s33 is the longitudinal strain.
434 / Residual Stress Formation During Manufacturing Processes
flanges and web and gives the C-shaped longi­
tudinal stress distribution.
Rails in Service
Temperature Influence. The influence of
ambient temperature on the residual stresses
should be mentioned. Like all other materials,
steel has a certain thermal expansion coefficient.
Therefore, rails expand or shrink due to tem­
perature changes. With an expansion coefficient
of a= 12 X 10 ~6 the longitudinal stresses shift
by 25 MPa (4 ksi) with a temperature change of
10 °C. Under hot conditions rails can buckle,
while under cold conditions again tensile
stresses increase the possibility of rail fracture.
Therefore, railway administrations try to mount
the rails at average temperatures.
Residua] Stresses due to Welding. Railway
rails are produced in lengths up to about 100 m.
In the past bolting was the common method of
joining rails on the track, but at these joints re­
peated impacts occur, increasing the possibility
of rail failure. Also, a different residual stress
pattern at the rail ends—the longitudinal stresses
in the head and in the base change to vertical
tensile stresses in the web—support web cracks.
And finally, passenger comfort is decreased by
the bumps and additional side forces in curves.
Currently rails are joined by welding. As a
result, the rail is continuous, and no bumps or
F¡o 31 Longitudinal residual stresses in an alumino-
” thermic weld. Source: Ref 42
vertical residual stresses at the rail ends occur.
During welding the rail ends are heated up and
the fonner residual stresses vanish. Then, the
new joint cools down again, and new residual
stresses develop. The most common method for
joining rails on the track is aluminothermic (ter­
mite) welding: The two rails become bonded by
superheated metal, which is the result of a highly
exothermic reaction of iron alloy, iron oxide, and
aluminum powder. The cooling of the welded
gap then forms new residual stresses. Although
this welded joint is of superior quality, some
welds fail. Again, Webster et al. (Ref 41) inves­
tigated residual stresses in and near the welded
joint of a rail. They reported tensile longitudinal
stresses in the web region with steep gradients
to high compression in the head and the foot.
The stress pattern almost looks completely op­
posite to the distribution in new rails (compare
Fig. 23 and 31). The length of this zone depends
on the length of the mold, which has an insulat­
ing effect. However, it was found that approxi­
mately 90% of aluminothermic welds fail due to
porosity caused by dampness that can arise if the
molds are not thoroughly dried before welding.
Residua] Stress Formation in Rolling Con­
tact. Many investigations of residual stresses of
rails in service have been made. The motion of
a wheel on a rail has a complex character con­
sisting of elasto-plastic rolling and sliding under
many circumstances (braking, acceleration of the
locomotive, running in curves). Wheel passages
on a rail cause plastic deformation in the running
surface layer and lead to particular changes of
the stress distribution in a rail head. Under heavy
traffic, wheel loads can be so severe that rails
fail due to the plastic deformation. A zone 1 to
res
Ox/Po
(a)
F¡g 33 Longitudinal residual stresses ox due to free rolling, q = 0, (a) acceleration q > 0 and (b) braking q < 0. y is
the depth, a is the contact half length, p0 is the maximum of the Hertz contact pressure distribution, and q is
the ratio of normal and tangential force. Source: Ref 46
2 mm (0.04 to 0.08 in.) deep is sheared relative
to the bulk material, and the strains can exceed
100% deformation. This deformation is caused
by the high normal and tangential forces of the
wheels. Each pass of a wheel leads to additional
plastic flow until the shakedown limit is reached.
The following is a brief overview of the results
of experimental and theoretical investigations
that are an important step toward understanding
the mechanisms of railway track failures.
Webster et al. (Ref 31) reported neutron mea­
surements of used 370HB and 340HB rails. The
tensile longitudinal stresses in the subsurface
layer of the rail head of new rails are reduced to
zero or even negative values during operation.
This of course enhances the crack resistance of
the running surface (Fig. 32). Also, Bower et al.
(Ref 42) showed measurements of residual
stresses of used rails, which are definitely com­
pressive near the running surface.
Looking at theoretical investigations different
approaches have been proposed to evaluate re­
sidual stresses after two-dimensional rolling
contact. Sehitoglu and Jiang (Ref 43) proposed
an analytical method for the determination of re­
sidual stresses in elasto-plastic rolling contact.
They found compressive longitudinal stresses
that reach a maximum at a distance of approxi­
mately 0.5 to 1 times the contact half length “a”
beneath the surface. In 1997 McDowell pro­
posed a new hybrid scheme (Ref 44) that as­
ymptotically approaches the solution of Sehito­
glu and Jiang. Zochowski et al. (Ref 45), who
applied FEM, showed the additional effects of
acceleration or braking of a wheel on residual
stresses (Fig. 33).
In the free-rolling case Zochowski found ten-
res
Ox/Po
(b)

sile stresses at the surface, where McDowell’s
results tend to zero. Nevertheless, the general re­
sidual stress patterns of both investigations are
similar. Zochowski’s results also show that brak­
ing and acceleration lead to compressive stresses
at the surface. These theoretical results agree
with the measurements of Webster et al. (Fig.
32) in the sense that where the theoretical results
show the generation of compressive stresses in
the subsurface layer of a formerly stress-free ma­
terial, the measurements exhibit a decrease of the
tensile residual stresses.
ACKNOWLEDGMENT
We gratefully appreciate the cooperation with
Voest-Alpine Schienen GmbH & Co KG, which
has been supporting our research for more than
15 years. We also want to express our gratitude
toward the Austrian Science Foundation Óster-
reichischer Forschungsforderungsfonds (FFF
project no. ZL 3/12384) for its financial support.
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Residual Stresses during Gear
Manufacture
K. Funatani, Nihon Parkerizing Co., Ltd., Japan
CARBURIZING is a commonly used process
for improving fatigue strength and wear resis­
tance of mechanical components such as gears
and many other automotive components. The
surface and core hardness and case depth are
specified in design drawings, which influence the
strength of carburized-and-hardened steels. The
hardness and case depth are influenced by steel
hardenability and various processing variables
such as carburizing and quench condition.
Along with heat treatment results affecting
with hardness, carburizing and quenching opera­
tions introduce compressive residual stress into
the surface layer of steels. Compressive stress
contributes very effectively to the fatigue
strength of case-hardened products by reducing
applied tensile stresses. Surveys of various in­
vestigative results showed that measured peak
compressive residual stresses ranged from -200
to - 550 MPa.
It is very important to introduce compressive
residual stress into the surface of carburized
parts; this is performed by appropriate compo­
nent design and proper processing technologies.
Similar compressive residual stress is attainable
by surface induction hardening, which also has
a large influence on bending fatigue strength.
Additional posttreatment such as shot blasting
and/or double-hard peening can further increase
the surface compressive residual stress and con­
tribute more to the improvement of fatigue
strength than can the traditional shot peening
methods. This article explains the fundamental
state of residual stress of carburized-and-
hardened steels in relation to each factor.
Case hardening by carburizing or carbonitrid-
ing and quench processes provides the major
benefit of introducing large compressive residual
stress into the surface of the parts. It results from
uneven volume expansion caused by transfor­
mation from austenite to martensite. The residual
stress at the surface of case-hardened steel is
generally compressive because of the larger ex­
pansion of high-carbon and/or nitrogen layer
into martensite during transformation. The com­
pressive residual stress at the surface layer is ef­
fective for increasing fatigue durability of the
case-hardened steels. However, distribution and
peak of residual stress vary, depending on dis­ ments of the core. When the carbon concen­
tribution of carbon, quench condition, and prop­ tration becomes higher than 0.75 or 0.8% C, re­
erties of the steel used. Various investigations on tained austenite is observed in relation to alloy
the residual stress state of case-hardened steels elements and results in a decrease of surface
have been done, and many simulation models are hardness as retained austenite volume increases.
being developed to estimate the distribution of Generally, 20 to 30% of residual austenite is ob­
residual stress in relation to various controlling served when surface carbon percentage is around
factors as follows (Ref 1-7): 0.85 to 0.9%. The amount of retained austenite
increases by increasing carbon concentration at
• Distribution of longitudinal, tangential, and the surface layer.
axial residual stresses Distribution of Residual Stress in
• Difference of residual stress of carburized and Carburized-and-Hardened Steels. The surface
pseudocarburized steel layer of carburized-and-hardened steels has com­
• Influence of carburizing condition and carbon pressive residual stresses as shown in Fig. 1, and
gradient the compressive residual stresses counteract ap­
• Influence of quenching media and cooling
plied tensile stresses and improve bending fa­
condition
tigue strength. The typical profile of residual
• Influence of steel grades and their hardena­ stress produced in carburized-and-hardened steel
bility
• Influence of specimen or work size and case
depth
• Influence of microstructure and other factors
Residual Stress in Carburized-and-
Hardened Steels
Carbon Gradient, Hardness, and Residua)
Stress in Carburized Steels. The typical distri­
bution of hardness, carbon gradient, and longi­
tudinal residual stress in case-hardened steels are
shown in Fig. 1. The surface hardness is about
700 to 850 HV and gradually decreases to the
same hardness as the core or center of hardened
steel. Effective case depth (ECD) is the depth
from the surface at which 513 or 550 HV, equiv­
alent 50 or 55 HRC is maintained. Total case
depth (TCD) is the depth at which the carbon
content is 0.04% higher than that of the core. The
TCD varies depending on steel chemistry, time,
temperature, and carbon potential of the carbu­
rizing process. The ECD is affected by the car­
burizing condition similar to that of TCD,
quenching condition, hardenability of the core,
and mass and size of the workpiece. Surface Fifi 1 Carbon gradient, hardness, and longitudinal re-
° sidual stress produced in carburized-and-
hardness varies depending on carbon concentra­ hardened steel. Carburized 5 h at 925 °C, quenched at 360
tion, which is controlled by carburizing atmo­ °C. A: SCM 22, 9 mm diam; B: S15CK, 25 mm diam; C:
sphere and the amount and types of alloying ele­ SCM 420, 9 mm diam. Source: Ret 6
438 / Residual Stress Formation During Manufacturing Processes

is shown in Fig. 2. Residual stress distribution,
especially at the surface, varies depending on
steel properties and carburizing-and-hardening
conditions such as carbon potential, time,
quench media, and cooling method as explained
later in this article. Generally, residual stress pro­
files in the longitudinal and tangential direction
are similar, while that of axial direction differs
from the other two directions. High compressive
residual stresses are produced by expansion of
carburized case at the end of quench-cooling
process, which balance with the tensile stress in
the core.
The state of residual stresses introduced in
hardened case of carburized-and-hardened steel
is generally in compression. Low-carbon case-
hardening steels are carburized and quenched in
selected quench media. During quenching, the
subsurface portion of the core transforms first at
a high temperature to ferrite and pearl ite, bainite,
or low-carbon martensite (700-550 °C, depend­
ing on steel grade) in relation to transformation
plasticity. Later, at a lower temperature (lower
than 300 °C), the carburized case transforms to
martensite with volume expansion under influ­
ence of the transformation plasticity caused by
the preceding transformation phase of the core.
High-carbon case of 0.8% C expands nearly
1.2%, while that of low-carbon core of 0.2% C
is about 0.3%, and this large difference in carbon
level and expansion determines the sequence of
phase transformation and resultant development
of compressive stress in the case. Compressive
residual stress in the case is influenced by core
hardness or strength; however, the relation be­
tween core strength and residual stress is not
simple and is explained in later sections.
However, the control of carburizing-and-
hardening conditions is very important to pre­
vent introduction of tensile residual stress at the
surface. Especially, when the surface layer has
considerably thick grain-boundary oxidation, the
quenching time after pullout from the furnace
and the subsequent cooling speed should be op­
timized to reduce formation of nonmartensite
phases. The lack of surface hardenability results
from grain-boundary oxidation and low-carbon
contents easily cause transformation products of
Case Core
nonmartensitic phases such as bainite, troostite, for the effective penetration depth of x-ray and
or pearlite to form. Also, when surface carbon changes in residual stress resulting from layer
concentration increases to higher than 0.9% the removal. Layer removal with the x-ray method
surface mi cro structure retains m ore austenite and has shown excellent agreement when used to
reduces hardness and compressive residual stress evaluate residual stress distribution.
by reducing the expansion that accommodates Measurement of the residual stress discussed
the transformation to martensite. in this section used scanning x-ray method under
Generally, distribution of residual stress as the following conditions (Ref 5,6):
shown in Fig. 1 and 2 has the following char­
• Parallel beam counter methods
acteristics: • Cr Ka, 30 kV, 8 or 10 mA, vanadium filter
• Count range: 200 cps, time constant: 16 s
• Compressive residual stresses have a peak at
some distance from the surface. • Dispersion angle: 0.35°, focus: / = 2 X w =
5 or 6 mm
• Distribution of residual stresses in longitudi­
nal and tangential directions is nearly the • Sin2 Y: Y = 0, 15, 30, 40°
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
creases retained austenite, which decreases
surface hardness and compressive residual
stresses.
• Maximum value and distribution of residual
stress are influenced by heat treatment meth­
ods such as carbon potential of carburizing
atmosphere and quenching.
Although some investigators concluded that the
influence of steel type and the conditions of car­
burizing and quenching are minor (for example,
Ref 3, 7, and 9), these factors have a profound
influence on the performance of carburized-and-
hardened products as explained later in this ar­
ticle.
Influence of Steel Grade on Residual
Stress. Steel grade has a profound influence on
0 0.2 0.4 0.6 0.8 1.0
distribution of residual stresses. Figure 3 shows
Depth from surface, mm
the distribution of residual stresses of two case-
hardening grades steels, nickel-chromium alloy
K13NiCrl2 steel (Fig. 3a) and straight carbon
Cl 5 steel (Fig. 3b). Residual stress of alloy steel
shows lower stress near the surface due to re­
tained austenite, and plain carbon steel shows the
highest stress at the surface.
Influence of Size and Workpiece Shapes.
Size and shape of testpiece or work have pro­
found influences on magnitude and profiles of
residual stresses. Figure 4 shows the influence of
specimen size on distribution of residual
stresses. Generally, as the size of the specimen
increases, the maximum compressive stress in­
creases, and also the highest stress peak gradu­
ally moves inward. However, residual stress pro­
file near the surface not only varies depending
on carbon concentration and cooling process, but
also is affected by complicated vaporizing and
rewetting phenomena during cooling.

Methods of Measuring Residual

Stress
X-Ray Stress Analysis Methods. There are
several methods of measuring residual stresses,
such as distortion measurement, strain gage, x-
ray diffraction, and neutron radiation methods.
Distribution of residual stress can be measured
by repeating mechanical or chemical methods to
remove core portion or outer layer and correcting
Depth from surface, mm
(b)
Fig 3 Distribution of residual stresses measured by x-
ray produced in gas-carburized hardened steels,
(a) K13NiCr12; ECD: 0.4-0.6 mm, carburized and double
quenched, (b) CK15 (AISI 1015); ECD: 0.5-0.6 mm car­
burized and hardened. aax, atg, and ora are measured resid­
ual stresses in axial, tangential, and radial directions, re­
spectively. Curves with asterisk show corrected curve of
measured residual stress distribution. Source: Ref 7
 Residual Stresses during Gear Manufacture / 439

pm surface layer of specimen is chemically
etched repeatedly. Calibration on the influence
due to removal of surface layer is calculated
from the thickness of removed layer determined
by the diameter and residual stress measure­
ments before chemical etching. This procedure
is repeated to obtain distribution of residual
stresses. This conventional method measures
only one of the ±VP incidental angle directions.
It is thus unclear whether the direction of the
principal stress is perpendicular or inclined to the
sample surface. Therefore, the measured residual
stresses have certain variance and are not as ac­
curate as measurements by the recently devel­
oped position-sensitive proportional counter
(PSPC) method.
The technology in residual stress measure­
ment by x-ray diffraction has made great ad­
vancement, and PSPCs or position-sensitive pro­
portional detectors (PSPDs) are widely accepted.
Compared to old scanning methods, which took
many hours, equipment with a PSPD, such as
PSPC, can measure residual stress in a short
time. The PSPC is a linear counter that obtains
diffracted x-rays simultaneously, counting over
a section of 50 to 100 mm or 20° range (29
range) in the longitudinal direction (Fig. 5). New
systems measure both ± *P tilt directions to as­
certain the direction of the principal stress. Also,
recently developed x-ray analysis equipment en­
ables residual stress measurement of micro­
scopic areas of 0.15 mm diameter in combina­
tion with incident collimator (Ref 10).
In addition, recently developed equipment
uses computers for immediate data processing
with a data base on diffraction and materials con­
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-
terials with fiber flow/ or sharp distribution of
residual stresses, and also care should be taken
to avoid errors in measurement of small diameter
bar or rod and comer or fillet of workpieces such
as gear tooth roots. It is necessary to apply low-
angle diffraction methods to measure residual
stress for investigation of highly oriented micro-
stmctures and sharp stress profiles. The positive-
pole figure analysis for highly oriented micro­
structures is recommended.
Residual Stress Variation in
Testpieces and Gears
Residual Stresses in Testpieces
The distributions of carbon content, hardness,
and residual stress in three 9 mm fatigue test
specimens carburized and quenched in cold oil
shown in Fig. 6 have small variations (±3 kg/
mm2). On the other hand, the residual stress dis­
tribution of rectangular plate and cylinder rod
carburized and quenched in hot oil shown in Fig.
7 has large fluctuation. This variation seems to
be caused by the difference in the cooling pro­
cess; the 9 mm testpieces were cooled more uni­
formly than the rectangular plate. During cooling
of the plate and rectangular bars in hot oil, a
vapor blanket formed in the early stage of cool­
ing at the surface broke nonuniformly, and the
resulting fluctuation of cooling speed caused the
variation of residual stresses observed in Fig. 7.
The wavy distribution of residual stresses
shown in Fig. 7 was introduced in the testpiece
quenched in still hot oil, where the vapor blanket
surrounding the workpiece varied, depending on
the testpiece shape, causing an unstable oil flow
and temporary change of surrounding quenching
condition. However, the surface residual stresses
produced in carburized plates and rods quenched
in hot oil are within a range of agreeable vari­
ance. Table 1 compares total area in compression
of agitated conditions with that of quenching in
still hot oil, which increases slightly with in­
creasing quench oil agitation.
Residual Stresses in Production
Gears
The durability of gears used for automotive
transmission should be qualified by standardized
processing condition of carburizing-and-
hardening operation carried out in the heat treat­
ment plant. Fatigue strength of those gears varies
as influenced by processing variables such as
carburizing and quenching conditions. The qual­
ity of produced gears is usually evaluated based
on surface and core hardness, case depth, and
microstructure of testpieces carburized simulta­
neously with gears. In some cases, metallurgical
quality is checked and residual stresses of gear

Depth from surface, mm

Influence of specimen size on the distribution of

F ig. 4
residual stress. A: 1 2.7 mm diam, AISI 861 0steel,
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 861 0 steel, TCD = 1.524
mm, tempered at 148.9°C. D: 6.35 mm diam, AISI 8610 F¡g 5 Principle of detector used in x-ray stress measurement by PSPC system. Delay time per unit: Dm/mm : time to
steel, TCD = 1.27 mm, tempered at 1 90.6 °C. E: 38.1 mm produce output at A: 7A; at B: 7e; 7B — 7A a> position %. 9, x-ray angle; %, distance from edge of counter end;
diam, AISI 861 0 steel, TCD = 1.02 mm, tempered at 148.9 T|,reflection angle of x-ray; L, length of counter; D, delay time [n s/mm); cl, lattice space of the crystal grain. Source: Ref

°C. A-D, source: Ref 3; E, source: Ref 2 10

440 / Residual Stress Formation During Manufacturing Processes

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

------AZ—_______________________________i_____________
0 0.5 1.0 1.5 2.0
Depth from surface, mm
(b)

Depth from surface, mm pjo 7 Distribution of residual stress produced in car-

® burized plate and cylinder rod. Steel: JIS SCM
Carbon gradient, hardness, and residua! stress variation produced in carburized specimens. Steel: SCM 420 420 (Jominy hardenability V2 in. = 26.5 HRC), Test piece
(jominy hardenability Vz 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 (35-50 °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.
 Residual Stresses during Gear Manufacture / 441

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 har denability, 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 gr ade 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 stressand 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 (V2 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 oü Slow agitation
Areas in compressive stress increase as case
Fast agitation
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
J IS 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 liigher hardenability AISI 8640
Residual stress of samp le, kg/mm2 is lower than that of AISI 8620, the depth in
Heat treatment A-l A-2 A-3 B-l 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 -400 -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 -02 — 19.5 — 27.1 The impact strength of carburize d-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. 1-3 show different
portions.
tigue strength of carburized-and-hardened steels
is influenced by hardenability of steel in relation
with the hardness profile andmicrostructure pro­
duced during the carburizing-and-hardening
operation. Influence of steel har denability on re­
sidual stress distribution is partly shown in Fig.
9 and 10.

Influence of Hardenability Variation of

a Steel Grade
Influence of Steel Hardenability on Core
Hardness and Case Depth. Steel hardenability
is controlled by keeping the content of alloying
elements within a specified limit. However, stan­
dard specifications of steels have a range, and
this affects the variation of resulting hardenabil­
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.
f=3s 30 s 60s 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
442 / Residual Stress Formation During Manufacturing Processes

JIS SCM 420 chromium-molybdenum case-
hardening steel grade of different melting lot is
shown in T able 3. Case depth and core hardness
of higher-hardenability steel increase even when
they are carburized and hardened in the same
conditions, as shown in Fig. 11. However, the
surface hardness is not influenced by hardena­
bility of steel produced under a controlled car­
burizing atmosphere (Ref 6).
Influence of Steel Hardenability on Fa­
tigue Limit and Residual Stresses. Generally,
the residual stress at the surface layer of
carburized-and-hardened steel is compressive
due to the larger expansion caused by transfor­
mation to martensite at the near-surface higher-
carbon layer that balances out the already trans­
formed subsurface lower-carbon concentration
region. Even though the amount of expansion by
transformation is reduced to some extent due to
transformation plasticity, still the carburized
case introduces compressive stresses at the sur­
face layer and tensile stresses at the inner side of
the high-carbon hard case.
The compressive residual stresses introduced
in the outer carburized layer are caused by the
timing of transformation at the last part of
quenching balancing to strength of core. The
core strength is related to the steel hardenability,
and the timing of transformation to low-carbon
martensite proceeds earlier than that of liigh-
carbon case. This preliminary'' transformation of
the core has a direct influence on the distribution residual stress and distribution. However, little
of residual stresses and distortion in relation with difference is observed in surface hardness and
transformation plasticity at higher temperature, residual stress where the carbon concentration at
where the surrounding matr ix is soft and under the surface layer of longer carburizing time tends
large temperature difference between surface to increase retained austenite and to reduce hard­
and core. ness and compressive residual stresses. High
Influence of core hardness (core strength) on hardness case produced by the carburizing-and-
fatigue strength investigated using the rotary quenching operation introduces compressive re­
bending fatigue test is shown in Fig. 12 (Ref 9). sidual stresses in the surface layer, which in­
Variation in endurance limit reaches maximum crease as case depth increases; however, the
when the core hardness of a beam specimen is highest residual stresses are in the same level.
around 430 to 450 HV. In the lower core hard­
ness zone, a large percentage of fracture starts Influence of Carburizing Processes
from the inner side of hardened case, called fish-
eye fracture. By increasing the core hardness or
case depth, fisheye fracture disappears and en­ Influence of Carburizing and
durance limit increases. In the higher core hard­
Quenching
ness zone, endurance limit seems to decrease
when carburizing time exceeds 5 h in tliis fatigue The profiles of residual stresses and maximum
test condition. Besides the important contribu­ peak values vary depending on miscellaneous
tion of core hardness, the influence of case depth
also has a profound influence on fatigue strength,
which is explained later in this article. The fa­
tigue test results of rotating beam evaluated in
relation to core strength has a peak near 140 to
150 kg/mm2, which coincides with the fatigue
test results of module 3 gears as shown in Fig.
13 (Ref 1, 13).
Influence of Core Hardness on Residual
Stress. Steel hardenability has direct influence on
core hardness and indirect influence on surface

Table 3 Chemical composition and hardenability of five lots of chromium-molybdenum

steel |IS SCM 415, 420H
Jominy
Composition, °/o hardenability
Lot C Si Mn P S Cr Mo (% in.), HRC
A 0.13 0.26 0.80 0.013 0.011 1.03 0.21 20.0
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 Fig 10 Res'4ual stresses produced in gas-carburized
E 0.23 0.35 0.82 0.013 0.014 1.11 0.28 40.1 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

(a) (b) (c)

Influence of steel grade and case depth on residual stress profile, (a) 1 2.7 mm (V2 in.) diam; AISI 8620; surface 0.80% C; ECD = 0.76, 1.27, 2.54 mm. (b) 1 9.05 mm (¥4 in.)
Fig. 9 diam;AISI 8617; surface 0.95% C; ECD = 0.76, 1.40, 2.29 mm. (c) 19.05 mm (% 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
when a certain number of parts are heat treated
in the same condition or batch, it is quite difficult
to get the same residual stress magnitude and
profile, for it is almost impossible to completely
control every factor of carburizing and quench­
ing in the same manner.
Figure 14 compares the distribution of resid­
ual stresses introduced in AISI8620 steel by dif­
ferent carburizing-and-quenching methods. A
pack-carburized testpieee has very high carbon
content (1.2% C) compared with that of gas car­
burizing (0.8% C) and salt-bath carburizing
(0.5% C). Residual stresses produced in pack-
carburized specimens differ depending on
quench methods. Where water quenching pro­
duces deeper and larger compressive residual
stresses compared with that of oil-quenched
specimen, even the carbon gradient is the same.
Residual stresses near the surface of both pack-
carburized specimens drop sharply because of a
high-carbon layer with a large volume of re­
tained austenite. The difference in carburizing
methods such as liquid and gas methods produce
different carbon distribution, and the resulting
distributions of residual stresses differ as ob­
served in Fig. 14 (Ref 2). Salt-bath carburizing
has a very thin case and low carbon gradient;
however, the case hardenability of salt-bath car­
burizing is improved by nitrogen diffused during
the carburizing process and then the near-surface
residual stresses drop. Also, residual stresses of
gas-carburized specimens have a mild drop of
near-surface residual stresses compared to the re-
20 25 30 35 40
Hardenability (Jominy 1/2 in.), HRC
F ifi 1 1 ln^uence steel hardenability on effective
case depth, core hardness, and surface hard­
ness of carburized-and-hardened gears. Carburizing tem­
perature at 920 °C with carburizing atmosphere of 0.9% C
potential for 2.5, 5, 3, and 20 h, quenched in JIS-1 -1 cold
oil, held at 40-60 °C with agitation and tempered at 1 60
°C for 2 h. ECD: A cycle, 1.4 mm; B cycle, 1.2 mm; C cycle,
1.0 mm. Source: Ref 6
Residual Stresses during Gear Manufacture / 443
sidual stresses of the pack-carburized specimens.
The influence of steel grade and quench meth­
ods on three-dimensional residual stresses are
compared in Fig. 15. Three quench media— 10%
saltwater, water, and oil—are compared on a
pack-carburized specimen. Surface carbon con­
centration is about 1.0% C and produced about
10 to 16% retained austenite in an oil-quenched
specimen. However, the longer carburizing time
seems to introduce a greater percentage of re­
tained austenite and reduces hardness.
The longitudinal and tangential residual stress
near the surface differs where a saltwater quench
produces highest residual stresses, and an oil
quench seems to produce the lowest residual
stress. Saltwater quench for AISI 1020 (JIS
S20C) and water quench for AISI 5120 (JIS
SCr420) can produce higher surface residual
stresses compared with that of oil quench, as
shown in Fig. 15 (Ref 14).
100 150 200
Core strength, kg/mm-
Relation between core hardness and endur­
F ig. 12
ance limit of 9 mm diam rotating beam fatigue
test. JIS SCM 420, carburized in muffled gas-carburizing
furnace at 920 °C for selected duration and quenched di­
rectly in JIS 1 -1 -1 cold oil (45-60 °C), and tempered at 160
°C for 2 h. Source: Ref 9
Core strength, kg/mm-
pjo j 3 Influence of core strength on fatigue strength of
carburized-and-hardened gears. Fatigue limit
of gears of different core strength. Nonalloyed and alloyed
case-hardened steels. Modulus = 3. Source: Ref 1,13
The control of residual stress profile is not
easy even if the carburizing-and-hardening
operation is the same and is influenced by steel
lots. Difficulty of control of residual stresses is
shown by two gears processed to same specifi­
cations, but from different but acceptable heats
of 43BV14 steels in Fig. 16. Residual stress dis­
tribution of lot C is much lower, and surface re­
sidual stress is in tension if shot peening is not
provided. Residual stress distribution of lot D is
much better even before shot peening. Residual
stresses at the surface are increased by post-
quench shot peening to the same level and depth
of about 0.13 to 0.25 mm (0.005-0.01 in.) and
resulted from work hardening and stressing by
the impact of blasted shots.
Figure 17 shows the two extremes in residual
stress distribution found in 40 production gears
of various specifications and steels. Residual
stress distribution of A (large gear of approxi­
mately 3 pitch AISI 4320 reheat quenched and
shot peened) is very poor, and residual stress at
the surface layer is tensile before shot peening.
Residual stress of B (medium gear of approxi­
mately 10 pitch mar quenched and not peened) is
liighly compressive. The carburizing process
specification including carburizing and quench­
ing should be well standardized so as not to pro­
duce type A distribution.
Depth from surface, mm
0 12 3
F ig. 14 Comparison of residual stresses produced in
® AISI 3620 steel 33.1 mm diam rods by different
carburizing-and-quenching methods. Pack-carburized and
reheat quenched in water or oil, and gas or liquid carbu­
rized and oil quenched. Source: Ref 2
444 / Residual Stress Formation During Manufacturing Processes

Influence of Carbon Potential During

Carburizing

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
boost-and-diffuse control method (Ref 16).
Carbon Potential Control of Carburizing
Processes. Usually, the carburizing process is
controlled by carbon potential by measurement
of dew point, methane (CH4), carbon dioxide
(CO2), or oxygen sensor, and various other gas
elements contained in carburizing atmosphere in
recent gas-carburizing processes. Compared
with pack-carburizing and salt-bath-carburizing
processes, gas-carburizing processes are more
stable by the application of such gas analysis and
control methods. However, throughout the car­
burizing operation the carbon potential of the
used gas atmosphere varies depending on carrier
gas carbon potential, enriching gas types and
flow volume, total surface area of works, and
furnace design and construction materials.
The specificationes usually designated in part
drawings are case depth, surface hardness, and
core hardness. There are various control methods
F ig. 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 Hie 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.
Alloying elements such as nickel and carbon
concentration above the eutectic percentage in­
creases retained austenite in carburized case.
Therefore, carbon potential during carburizing
should be carefully controlled to prevent exces­
sive retained austenite in carburized gears.
Figure 18 shows the influence of carbon con­
tent on hardness distribution by two different
CN
E carbon potential atmospheres. The hardness and
E carbon distribution treated in higher 0.9% C po­
tential has lower hardness due to a larger amount
of retained austenite and deeper carbon diffu­
sion, while that of 0.7% C potential hardness is
higher in surface layer to the depth of 1 mm but
carbon distribution is lower than in the former
condition. Careful carbon potential control is
very important for deep-case treatment to pre­
vent excessive retained austenite, and optimal
control of diffusion process is the key to fabri­
cating quality products.
Relation between Carburizing Time, Car­
bon Potential,and Residual Stress. Carbonpo-
tential control is important not only for hardness
and residual stresses, but also for reducing treat­
ing time. Boost-and-diffuse carburizing methods
F ig. 16 Two gears processed to the same specifications made from different but acceptable heats of steels. C and D:
Different heats of 43BV14 steel gears processed in the same schedule. Open circles, total case depth; closed have been widely applied since the late 1950s
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
residual stresses is shown in Fig. 19. In spite of
large differences in carbon potential during car­
burizing and carburizing time where that of
shortest method is less than half of the longest,
the case depth and distribution of compressive
residual stresses differ only slightly. The varia­
tion of residual stress is within 10 kg/mm2, and
the total depth of compressive layer is similar.
Additionally, the endurance limit of shortest cy­
cle A is 6 to 7% higher than that of B and C. It
means optimizing the carburizing method by
controlling carbon potential is very important
not only for the improvement of durability, but
is also effective for improving processing effi­
ciency and manufacturing cost.
The profiles of longitudinal residual stresses
produced in carburized-and-hardened steel differ
from each other depending on case depth, as
shown in Fig. 20. The surface compressive re­
sidual stress of ECD 0.8 mm is highest and de­
creases as case depth increases, while the com­
pressive residual stress zone expands inward as
case depth increases.
Influence of Quenching Oil on Residual
Stress. Quench methods influence the residual
stress state. Surface residual stress produced in
9 mm diam rotating beam bending fatigue spec­
imens quenched in hot and cold oils are com­
pared. The surface compressive residual stresses
in the carburized fatigue specimen made of JIS
SCM 420 increase as the quench oil temperature
is raised from 30 to 135 °C. Surface residual
stresses of specimens carburized and quenched
in 30 °C oil was 39.7 ± 0.7 kg/mm2 and that of
specimens quenched in 130 °C oil was 46.0 ±
Depth from surface, mm
Fig 1 7 Extremes in residual stress distributions found among 40 production gears of various modules and heats made
® of the same steel. Open circles, total case depth; closed circles, effective case depth (50 HRQ. A, large gear
(approximately 3 pitch) AISI 4320 reheat, quenched and shot peened; B, medium gear (approximately 1 0 pitch) mar-
quenched, no peening. Source: Ref 15
Residual Stresses during Gear Manufacture / 445
1.7 kg/mm2. Similar results were reported when
quench oil temperature was raised from 50 to
270 °C, and the most significant increase is at­
tained above 200 °C (Ref 18). However, influ­
ence of quenching media such as hot or cold oil,
Hardness, HV(5)
salt-bath, and water-base polymer solution is not
simply defined. Not only the types of quench
media but their viscosity, heat transfer coeffi­
cient, Leidenfrost point, and flow speed change
corresponding to the solution temperature.
Influence of Tempering on Residual
Stresses. Carburized-and-hardened components
are usually tempered at low temperatures (130—
190 °C) for about 1.5 to 2 h to prevent the chip­
ping or cracking often observed in grinding
0 1.0 2.0 3.0 4.0
Depth from surface, mm
Fig. 19 Surface residual stress of test specimen in re-
® I at ion to effective case depth. Material: JIS SCM
pie. 1 8 lr|fluence °f carbon potential on longitudinal
residual stress distribution produced in AISI 420. 0.9 mm diam rotating beam fatigue testpieces. Car­
861719 mm diam specimen carburized and quenched di­ burizing condition in three different carbon potential his­
rectly in oil. Source: Ref 3 tories: A, 1.2-0.9% C/6 h; B, 0.9% C/constant8 h; C, 0.6-
0.9% C/1 3 h. Source: Ref 17
Fig 20 Influence of case depth on residual stress dis­
tribution produced in 6.5 mm diam cylinder
rod made from AISI 8620 carburized and directly
quenched in oil. Source: Ref 3
446 / Residual Stress Formation During Manufacturing Processes
operations. Tempering after quenching at 160 °C
reduces residual stresses about 1 to 2 kg/mm2 and
reduces the volume of retained austenite. Reduc­
tion of surface residual stresses measured at each
of the surfaces of 12 by 35 by 80 mm plates and
20 mm diam rods are shown in Table 4.
Tempering temperature has considerable in­
fluence on the decrease of residual stress and the
increase of temperature resulting in a larger de­
crease of residual stress. Tempering after
quenching at 165 °C reduced a compressive re­
sidual stress produced in AISI 4130 and 1526
about 50 to 60 MPa in both steels (Ref 18). How­
ever, the influence of temperature depends on
tempering methods such as type and construc­
tion of furnace corresponding to the heat capac­
ity, temperature control system, and measuring
methods of holding time, which is explained in
a later section.
Influence of Carburizing Time and
Case Depth on Fatigue Strength
The influence of case depth on fatigue prop­
erties has been investigated for about a half cen­
Table 4 Surface compressive residua) stresses in relation to effective case depth
JIS SCM 420, jominy hardenability (V2 in.) = 25.0. Plate 1 3 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
from 860 °C in JIS-1 -1 cold oil held at 35-50 °C with agitation and tempered at 160 °C for 2h
Residual compressive stress, kg,'mm2
Average
Effective case depth, mm As carburized Tempered
0.2 30.3 27.0
0.5 28.9 30.9
1.0 34.7 30.3
2.0 29.8 30.0
Average 30.9 29.6
Effective case depth, mm
Fie. 21 Influence of effective case depth on endurance
limit. Material: JIS SCM 420 9 mm diam fatigue
test specimen carburized at 920 °C, quenched in cold oil
and tempered at 1 60 °C. Source: Ref 6
tury, and various conclusions were drawn. How­
ever, Fig. 21 shows a clear relationship between
ECD and endurance limit investigated by 9.00
mm diam rotating beam bending fatigue tests.
The approximate value of the optimal ECD for
the 9 mm diam specimen is 1 to 1.2 mm. En­
durance limits of shallow ECD and low core
hardness specimen are low due to subsurface
fracture and by increasing case depth or core
hardness fatigue strength. Even though the car­
burized case is strengthened, the core to case
boundary often originates a fracture, which prop­
agates outward leading to a breakage called fish-
eye fracture. By increasing case depth the dis­
tribution of materials strength inside the
specimen increases, and all fracture starts from
the surface. The strength of the surface becomes
the key factor, and damage such as grain­
boundary oxidation, nonmartensite phases at the
surface, and retained austenite reduce the endur­
ance limit. By increasing case depth or core
hardness, fatigue strength can be increased.
However, the peak ECD becomes deeper as the
core hardness increases, and there seems to be a
possibility of obtaining higher endurance limit
Plate Rod
As carburized Tempered As carburized
30.8-32.0 23.9-29.5 26.5-32.8
27.8-29.5 27.0-33.5 27.8-33.0
34.5-37.5 31.0-34.3 32.3-35.5
30.0-33.3 29.5-33.5 20.8-33.0
32.0 30.2 29.8
Effective case depth, mm
pjo 22 Ration between effective case depth and sur-
0 face residual stresses produced in carburized-
and-hardened steel. A: 1 0 by 1 0 mm, Jominy hardenability
(V2 in.) (J-V2) = 14 HRC; B: 10 by 10 mm, J-V2 = 22 HRC;
C: 20 mm diam, J-Y2 = 25 HRC; D: 1 0 by 35 mm, J-V2 =
25 HRC; E: 1 0 by 1 0 mm, J-V2 = 20 HRC; F: 1 0 by 1 0 mm,
J-V2 = 35 HRC. Source: Ref 6
by a combination with lugher-hardeliability
steels.
Influence of Case Depth on Residual
Stress
The goal of the carburizing process is to pro­
duce high hardness case and also give Itigh com­
pressive residual stresses in the hardened case.
The influence of case depth on fatigue strength
is also related to the influence on residual stress.
Figure 22 shows the influence of ECD on surface
residual stresses, indicating the peak of the re­
sidual stresses is around an ECD of 1.0 to 1.5
mm, where the highest endurance limit exists.
The figure also shows another important point
that the optimal ECD and residual stresses are
influenced by core hardness, and by increasing
core hardness the surface compressive residual
stresses increase Itigher than that of lower core
hardness peak. The region over the peak of case
depth influence turns negative because of grain­
boundary oxidation and retained austenite.
Fatigue durability of testpieces or parts with
stress concentration becomes a little different
from that of unnotched specimens. It is related
to the balance of applied stress and distribution
of materials strength leading to the sltift of op­
timal case depth. Carburized components such
as gears have stress concentration at the tooth
foot portion, and the relation between ECD and
endurance limit differs from the results observed
Tempered in Fig. 22. However, the basic factors related to
26.3-29.0
the influence of case depth, residual stress, and
29.0-33.0 gram-boundary oxidation play the key role as
28.2-32.3 explained in a later section.
27.3-31.8
29.1
Influence of Microstructure on
Residual Stress and Fatigue Strength
Influence of Retained Austenite on
Residual Stress and Strength of
Carburized Steels
The distribution of carbon has an important
influence on fatigue strength and the profile of
residual stresses and is controlled by the carbu­
rizing condition. In particular, the variation of
carbon potential in relation to operating tem­
perature is the key to designed strength and du­
rability. Microstmctural changes introduced by
carburizing and quenching vary depending on
carbon gradient and quench severity, in relation
to alloy elements. The carbon content of the sur­
face layer decides the percentage of high-carbon
martensite and retained austenite changes and af­
fects wear properties and strength of carburized
products.
Retained Austenite in Carburized-and-
Flardened Case. Generally, carburized-and-
hardened case contains 20 to 35% retained aus­
tenite phase that has considerable influence on
the fatigue properties of carburized steels.
Retained austenite at the surface layer due to
high carbon content reduces compressive resid­
ual stresses as shown in Fig. 23. Therefore, car-
 Residual Stresses during Gear Manufacture / 447

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
Compar ed with pack car burizing 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
of the oxygen sensor is very' important to prevent ing tempering, cold working, or stressing, which
excess or shortage of carbon potential due to the 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,
resulting from different quenching methods. Di­
rect or single reheat quench after carburizing
produces more retained austenite, while double
Depth from surface, mm reheat and quench operations can reduce the
0 0.5 1.0 1.5 amount of retained austenite to some extent.

Influence of Tempering and Cryogenic

Depth from surface, mm
(b)
Fig. 23 Relation among carbon gradient, retained aus­
tenite, and residual stress produced in
carburized-and-hardened steels, (a) AISI 8620. (b) AIS I
1118. Source: Ref 4
Trea tmen t on Retained Austenite
Low-Temperature Tempering and Re­
tained Austenite, Usually, carburized parts are
tempered at about 150 to 190 °C to prevent prob­
lems such as chipping or cracking in the finish
machining process. Tempering at this tempera­
ture range after carburizing and hardening re­ 0 0.25 0.50 0.75 1.0 1.25
duces hardness, residual stresses, and retained Distance below surface, mm
austenite depending on temperature and holding
time. Figure 25 shows the decrease of residual Fig. 24 Profile of retained austenite in carburized-and-
hardened steel produced by different quench
stress by tempering at each temperature. Re­
methods. Retained austenite, measured by x-ray diffrac­
tained austenite also decreases by tempering at tion, as a function of distance from the surface of an AISI
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,
austenite transforms to martensite by subzero or respectively. Source: Ref 19
cryogenic treatment, cooling down to deepfreez­
ing temperature and increasing martensite vol­
ume and residual stresses. Retained austenite
volume at the surface is lower than that of sub­
surface results from nonmartensite anomaly lay­
ers. Austenite volume increases by polishing
away a few microns of the surface anomaly
layer. From the surface to a depth of 10 to 30
pm, the retained austenite volume decreases to
less than half. Although the retained austenite Quenchant temperature, °C
volume is governed by the carburizing and (a)
quenching conditions the values listed in Table
5 seem to be in the generally acceptable range.
The volume of retained austenite changes by
tempering and subzero treatment as shown in Ta­
ble 5. The carburized-and-hardened and tem­
pered conditions retained almost the same level
of austenite volume (±10%). Ciyogenic treat­
ment reduces retained austenite, and the volume
decreases as treatment temperature is lowered
Tempering after cryogenic treatment is im­
portant, for there is a possibility of introducing
microdefects caused by forced transformation by Fig. 25 lnfluence of quench oil temperature and tem-
very-low-temperature subzero treatment. Mi­ ®’ pering on resi dual stresses. Variati on i n surface
retained austenite content of untempered and tempered
croextrusion is often observed at the grain carburized (a) AISI 4130 steel, and (b) AISI 1526 steel for
boundary', caused by transformed martensite and various quenchant temperatures. Source: Ref 18
448 / Residual Stress Formation During Manufacturing Processes
Table 5 Influence of tempering and subzero treatment on volume of retained austenite
jlS SCM 420, gas carburized at 920 °C, quenched from 850 °C in cold oil of 35-50 °C, tempered at 160 °C for 2h
Treatment At carburized surface
Carburized-and-hardened surface 14.7
Tempered 16.5
Subzero, 25 °C, treated 10.6
Subzero, 75 °C, treated 6.7
(a) Reliability range: vol% ± 10%
pig 26 Change of retained austenite content by hard
shot peening investigated on carbonitrided
steel. 20 to 50 vol% of austenite retained at surface layer
of carbonitrided steel. Retained austenite volume decreases
by shot peening, depending on shot peening condition.
Hard shot peening is more effective for reducing retained
austenite than traditional shot peening. Source: Ref 21
pjg 27 Relation between volume of change of re­
tained austenite and maximum residual stress
produced by shot peening of carbonitrided steel. Retained
austenite before shot peening was 32 vol% at the point of
measurement 25 pm from surface. Shot hardness and shot
speed are as indicated. Hardness of shot is indicated by
HRC values. Source: Ref 21
Retained austenite (a), vol°/o
At 10 pm, etched At 30 pm, etched
21.8 9.15
18.5 10.7
18.6 11.3
11.0 6.7
30 to 40% of retained austenite is selected in
special components used for rolling fatigue ap­
plications. Retained austenite transforms by me­
chanical stressing such as rolling and shot peen­
ing, causing stress-induced transformation into
martensite. The stress loading that accompanies
rolling fatigue or bend loading during mechani­
cal operation also assists transformation of aus­
tenite.
The shot peening process is effective to in­
crease hardness, reduce retained austenite, and
improve fatigue durability (Ref 11). Figure 26
shows the volume change of retained austenite
by shot peening using different hardness shots.
Retained austenite of the as-quenched condition
can be reduced by various shot peening methods,
and a great decrease is observed by hard peening.
Figure 27 shows the relation among hardness in­
crement results from shot peening blasted on
various levels of retained austenite. It shows that
the hardness increase results from transforma­
tion of retained austenite to martensite acceler­
ated by shot impact. The depth of hardness in­
crease caused by shot peening reaches down to
nearly 200 pm by the hardest peening condition
(Ref 21).
Influence of Grain-Boundary Oxidation
on Residual Stress and Fatigue Strength
Variations of surface hardness and volume of
retained austenite of carburized-and-hardened
steels are related to the steel type and grain­
boundary oxidation. The formation of nonmar­
tensite phases—such as bainite, troostite, or
pearlite phases at the grain boundary in the sur­
face layer—directly results in decrease of hard­
ness and compressive residual stress.
Grain-boundary oxidation accompanying tra­
ditional carburizing processes is caused by re­
action of the steel surface with the carburizing
atmosphere containing carbon monoxide. The
grain-boundary oxidation itself and the associ­
ated introduction of surface anomalies such as
nonmartensite phases are closely related, but Hie
basic phenomena are different from each other
(Ref 22-24).
Grain-Boundary Oxidation. During carbu­
rizing in an atmosphere containing carbon mon­
oxide, gas grain-boundary oxidation progresses
simultaneously with carburizing by metal gas re­
action caused by dissociation of carbon mon­
oxide. Also, the amount of carbon monoxide has
a direct relation to the degree of grain-boundary
oxidation (Ref 25), and as carburizing time or
concentration of carbon monoxide increases, the
depth of gram-boundary oxidation increases.
Grain-boundary oxidation decreases the harden-
ability of near-surface grain boundary and re­
duces the volume of transformation into marten­
site and reduces surface hardness and
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.
The depth of oxidation increases as carburiz­
ing time increases, as shown in Fig. 28. How­
ever, the depth of grain-boundary oxidation var­
ies by condition. Etched microstructure shows a
deeper anomaly than that of an unetched micro­
structure. Diffusion depth of oxygen investi­
gated by electron probe microanalysis is much
deeper tiran that observed by optical microscopy.
Formation of Nonmartensite Phases. Depth
of gr ain-boundary oxidation measured on nonet-
ched and etched microstructures differs as shown
in Fig. 29. Alloying elements such as chromium,
silicon, and manganese are oxidized rather easily
by the reaction with carbon monoxide in carbu­
rizing atmosphere (for example, Ref 22-25).
Those alloy elements move to the grain bound­
ary where oxygen is supplied from atmosphere
through the grain boundary and forms metallic
oxides. The depth of oxygen diffusion is far
deeper than that measured by optical microscopy
observing nonmartensite phases such as upper
bainite, troostite, or pearlite. The transformation
from austenite to nonmartensite phases is caused
Carburizing time, (f), h
_n0 1 2 46 9 16 25
JU ---------- ----1------- 1------------- ---------
0 ______ ______ ______ ,_____ ,_____
0 1 2 3 4 5
VF
Fie. 28 Relation between carburizing time and depth
of grain-boundary oxidation. Material: JlS SCM
420, SCr 420 steels, gas carburized at 920 °C in 0.9% C
atmosphere for various times. Quenched from 860 °C in
hot and cold oil. Crain-boundary oxidation measured as-
polished and etched with nital 10%. Source: Ref 26
 Residual Stresses during Gear Manufacture / 449

by reduced hardenability resulting from a de­
crease in alloy elements from austenite grains.
This phenomenon is accelerated by a poor cool­
ing rate caused by delayed quenching operation,
prolonged vapor blanket stage during quench,
and poor quench power. The hardenability of
grain boundary of surface layer to obtain mar­
tensite can be recovered by the addition of other
alloying elements such as nickel, molybdenum,
boron, and nitrogen or by maintaining sufficient
carbon higher than eutectic content in austenite.
In addition to the influence of grain-boundary
oxidation, the case hardenability of the surface
layer is related to the surface carbon concentra­
tion and has considerable influence on the case
hardenability. However, the influence of grain­
boundary oxidation is overstated because of lack
of knowledge on the difference of oxidation it­
self and nonmartensite formation related to poor
cooling speed or quench operation.
In a comparison of the influence of quench
media, hot oil quench produces a more nonmar-
tensitic structure than do cold oil quench and salt
quench. In the early vapor blanket stage in
quenching, the cooling speed is slow and the low
hardenability surface with reduced alloy ele­
ments tends to produce the nonmartensite phases
rather easily.
Influence of Nonmartensite Phases on Re­
sidual Stress. The compressive residual stress
produced in carburized-and-hardened case de­
creases if the surface layer has nonmartensite
phases or excessive retained austenite; the sur­
face residual stresses are lost and turn to tension
in an extreme case. Therefore, grain-boundary
oxidation, the associated formation of nonmar­
tensite, and excessive residual austenite result
from excessive high-carbon content should be
prevented by appropriate processing specifica­
tion (Ref 28).
Removal of the nonmartensite layer can im-
proveresidual stress distribution andresultsin im­
provement of fatigue durability. Figure 28 shows
how to eliminate negative effects of the nonmar­ by tempering, as internal stresses are released by
tensite layer. It is clear that shot peening can easily aging effects that precipitate over saturated car­
eliminate the influence of grain-boundary oxida­ bon and other elements from martensite phases.
tion and works better than removal of the layer
by chemical etching or grinding.
The influence of nonmartensite phases is eas­
ily eliminated by various methods as shown in
Fig. 30 and 31. However, shot peening and hard
peening processes directly shot on as a
carburized-and-hardened surface give the best
result, as observed in the figures. Recently, vari­
ous gears have applied hard or double peening
to improve fatigue strength of carburized gears.
Optimization of shot peening conditions such as
size, shape, and hardness of shots, shot peening
machine, and its operating speed and combina­
tion with those of the double peening condition
is being investigated, and further progress is an­
ticipated.
Benefit and Change of Compressive
Residua] Stress after Heat
T reatment
The particular' benefit of carburizing is the in­
troduction of high hardness case and introduc­
tion of compressive residual stresses. The com­
pressive residual stresses produced in the
hardened case counteract the applied stresses and
improve bending fatigue strength. As the neces­
sity of improving the performance of carburized
parts emerges, much effort has been devoted to
developing quick measuring methods, modeling,
and simulation technologies to understand and
increase compressive residual stresses. The ben­
efit of compressive residual stresses in addition
to the fatigue strength of the hardened surface
layer is that longitudinal compr essive stresses in­
crease the endurance limit about 10% of the re-
si dual stress (Fig. 32) (Ref 1, 30).
Changing Residual Stress by Aging and
Tempering
Aging. Residual stress decreases by aging and
Aging effects proceed gradually and reduce re­
sidual stresses as shown in Fig. 33; the change
of residual stress distribution due to aging is dif­
ferent depending on steel grade. As observed in
Fig. 33(a), straight carbon steel loses residual
stress more easily than does nickel and chro­
mium alloy steel (Fig. 33b).
Tempering. Similar to aging phenomena,
tempering also reduces residual stress as ob­
served in Fig. 34 and 35. The reduction of resid­
ual stress resulting from tempering differs de­
pending on factors such as steel grade and state
of carbon gr adient in relation to microstructures
and tempering condition, as observed in Fig. 34
(Ref 3). The decrease in compressive stress in­
fluences distribution, and the stress peak disap­
pears at tempering at temperatures higher than
200 °C.
Changing Residual Stress Profile by
Repeated Stressing
Residual stress decreases during fatigue (re­
peated) loading. However, compressive residual
Limited time life strength, kg/mm2 x 10s
J -¥2 , Jominy hardenability (V2 in.)
Fifi. 30 Influence of posthardening finishing method
® on rotating beam bending fatigue life. Surface:
0.9% C. 920 °C for 8 h, Cold oil quench: 860 °C. J-'h,
jominy hardenability ('& in.). A: as-carburized and
quenched; B: carburized, quenched, and shotblasted; C:
carburized, quenched, and chemically etched; D: carbu­
rized, quenched, etched, and shotblasted. Source: Ref 26

(b)
(a)

Fifi. 29 M¡crostructures 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. 750X. (b) AISI 4118 steel, gas carburized at 955 °C. Crain-boundary anomaly to a depth of approximately 0.02 mm. As polished. 750X. (c) AISI 8822 steel,
gas carburized 15 h at 925 °C, reheated to 840 °C, and held 40 min, oil quenched, andtempered 2 h at 150 °C. Bainite-pearlite mixture near the surface is visible because ofthelighter
etching. 2% picral. 500X. Source: Ref 27
450 / Residual Stress Formation During Manufacturing Processes
stresses do not disappear completely, even after
fatigue failure. The process of stress decrease is
(a) 1 not simple, and reduction and partial increase is
observed until fatigue failure.
(b) | (+1.4%) Changing Surface Residual Stress by Re­
peated Stressing. The change of surface resid­
ual stress investigated by rotating beam fatigue
(c) | (+10 %)
test samples made of JIS SCM 420 is shown in
Fig. 36 (Ref 5). The surface compressive resid­
I ual stresses decrease at first and then turn to in­
(d) (+12 %) crease at around 0.5 million cycles, then turn to
I decrease again after a million cycles. The point
of fatigue failure does not correspond to the up-
I (+25%) and-down fiend of residual stresses (Ref 5).
(+47%) The process of reducing surface residual stress
(e)
differs by testpieces as decrease, increase and de­
1
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
Rotate bending fatigue strength, kg/mm2
the increase stage of surface residual stress that
F¡o 3"| Comparison oí various finishing methods to results from partial irregular distribution of the
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
dition. Ammonium gas addition at the final stage of car­ Changing Residua) Stress Distribution by
burizing. (c) Vacuum carburizing, (d) Alloying. Experimen­ Repeated Stressing. The decrease of residual
tal steel with Ni-0.2%, reduce Si to V2 of standard steel. Mo stresses is not only a phenomenon that occurs at
increased, (e) Electrochemical etching and shot peening
the surface, but the decrease of compressive re­
compared by fatigue test. Source: Ref 29
sidual stress is also observed as the change of
residual stress distribution as shown in Fig. 38
and 39. Figure 38 shows the process of reducing
residual stresses at several layers in a fatigue
testpiece made of nickel-chromium case-
hardening steel (SNC21:0.13C, 2.16Ni, 0.38Cr).
Near the surface, the change or decrease of re­
sidual stresses is clear, but change at the inner
core is not so large and is rather simple compared
with the surface changes (Ref 31). The progress
of relaxation of compressive residual stress by
repeated stressing is clear in residual stress dis­
tribution as shown in Fig. 39. The decrease of
area in compressive stress by fatigue is com­
pared with the residual stress distribution pro-
(a)
Decrease of residual stress distribution due to aging, (a) AISI 101 5 (SI 5CK) carbon steel, (b) AISI 8620 (JIS-
Fig. 33
SNC21) nickel-chromium steel. Source: Ref 31
duced in the same lot of carburizing and hard­
ening as shown in Fig. 6.
The change in the surface residual stresses
does not directly correspond to the change in dis­
tribution of residual stresses shown in Fig. 37.
The change of residual stress distribution is not
simple, and their wavy distribution patterns have
no characteristic tendency. The general trend in
decrease of residual stresses is in Table 6, where
the total area in compressive stresses decreases
as stress cycle increases, even when the cyclic
stress level is lower than that of high-stress
short-life test condition (Ref 5). The reduction
of area in compressive stress is compared with
that of average distribution of three carburized-
and-hardened samples shown in Fig. 6.
Influence of Residual Stress and
Grain-Boundary Oxidation on Gear
Strength
Case depth influences the endurance limit and
fatigue lifetime of gear teeth as shown in Fig.
40. When the endurance limit exhibits double
peak, the first peak exists at very thin case depth
and second peak at about 1.0 mm ECD. This
tendency is different from unnotched rotating
beam fatigue test results; however, the case
depth of the second peak is similar to that of
rotating beam bending fatigue test as shown in
Fig. 21. The same tendency is observed in im­
pact bending fatigue test results of carburized
notched square bar (Ref 25).
Carburized-and-hardened case gives high
hardness, strength, and compressive residual
stress and contributes to the improvement of fa­
tigue durability, while the static and impact
strength deteriorate. The compressive residual
stresses possess an independent feature that has
the highest value when certain case depth is ob­
tained at the surface layer, as shown in Fig. 22.
Depth from surface, mm
F¡o 3 4 Influence of tempering on longitudinal residual
® stress of gas-carburized AISI 8617 steel. Gas
carburized and directly oil quenched AISI 8617 19 mm
cylinder rod. Source: Ref 3

The depth of grain-boundary oxidation increases
as carburizing time is elongated, as shown in Fig.
28, and their influence on fatigue strength in­
creases too. These two main factors combine and
result in a complicated influence on fatigue prop­
erties. Apparently, although grain-boundary ox­
idation has deleterious effects, the importance of
residual stress is more profound and should be
taken into account when designing gear durabil­
ity. Figure 40 shows the influence of residual
stress and grain-boundary oxidation on gear
tooth bending fatigue strength.
The bending fatigue strength of a carburized-
and-hardened gear tooth depends on the fatigue
strength of gear tooth root where applied stresses
concentrate. Fatigue strength of notched speci­
men or mechanical components has the highest
peak at thin case depth zone as observed in Fig.
40. On the other hand, tooth contact areas have
rolling fatigue strength in relation to contact
pressure and Hertz shear stress, which means the
tooth pitch area needs a thick case depth to with­
stand high rolling loads. Therefore, the design
specification of ECD for gear teeth is not as sim­
ple as the optimal case depth for flat specimens.
Specification of ECD should take the operation
condition into account to satisfy application
needs to guarantee total gear life against rolling
fatigue and bending fatigue life. In addition to
the fatigue strength given by carburizing and
hardening, the influence of the postheat treat­
ment process is increasing in importance. A part
of postheat carburizing-and-hardening treat­
ment, such as shotblasting, is explained earlier
in this article; however, the recent hard peening
technology has made great advancement and
contributes to the improvement of load-carrying
capacity of carburized-and-hardened gears. The
following section explains the influence of re­
cent shot peening technology.
pjo 35 Change of residual stress distribution by tempering. Pack carburized, oil quenched from 880 °C, and tempered
® at each temperature for 2 h. Surface carbon 1.0% C, retained austenite 9-1 6.5%, case depth (0.6% C) = 0.3
mm, TCD = 0.9 mm. JIS SCr 420 steel, 11.3 mm diam by 80 mm. Source: Ref 32
Residual Stresses during Gear Manufacture / 451
Influence of Residual Stresses Table 6 Decrease of area in compressive
residual stress by fatigue test in relation to
Produced by Hard Shot Peening
nominal stress and repeated cycles
General strengthening effects of compressive Testpiece Nominal stress, Stress Area in
No. kg/mm2 cycles, N compression, %
residual stress are well known, as shown in Fig.
32. The important influence of residual stresses Average of 3 Before fatigue test 100
1 86.6 2.6 X 106 -4.8
have been reevaluated and investigated inten­ 2 78.2 4.6 X 106 -15.1
sively (Ref 21, 29, 33-38). Figure 41 shows the 3 74.1 1.0 X 107 -21.2
relation between compressive residual stress in­
troduced by intensive peening methods and fa­ Source: Ref 5
tigue strength investigated via control of com­
pressive residual stress profile and simulation of
their effects on fatigue strength (Ref 35).
Posthardening Shotblast Finish
In mass production, transmission gears are
blast cleaned to eliminate adhered soot and/or
color resulting from the dissociation of quench
oils. Shotblasting and peening increase com­
pressive residual stresses. However, general
shotblasting equipment cannot introduce the uni­
form arc height and coverage necessary to im­
prove surface fatigue durability.
By appropriate control of blasting condition
to attain uniform coverage and arc height, shot­
blasting can increase fatigue durability of pro­
duction gears by increasing surface compressive
residual stresses, although the durability is far
less than that attained by shot peening and hard
peening. The details of shot peening and hard
peening operations are explained later in this ar­ Fig 36 Changes in surface residual stresses during fa-
ticle. For example, compressive residual stresses tigue. Gas carburized at 920 °C for 5 h (1 8 ks)
in 0.8% C atmosphere, quenched from 860 °C in cold oil
of production gears that were 0.1 ±6 kg/mm2 of 35 °C , and tempered at 160 °C for 2 h (7200 s). x,
can be improved up to 30 kg/mm2. If the con­ fracture point. Source: Ref 5
dition is controlled in an optimal level, it can
increase surface residual stresses up to 48 ± 5
kg/mm2 in compression even by traditional shot­
blasting machines. It is very important to notice
0 0.1 0.2 0.3 0.4 0.5 0.6
Depth from surface, mm
pjp 37 Change in residual stresses due to repeated
stressing. Materials: SNC21, pack carburized
for 2 h at 900 °C, annealed, reheated up to 750 °C, and
quenched in cold oil of 15 °C and tempered at 1 50 °C for
30 min. Stress amplitude: 40 kg/mm2. Source: Ref 31
452 / Residual Stress Formation During Manufacturing Processes

those accomplishments that can almost eliminate
the negative effect of surface anomalies due to
intergranular oxidation (Ref 28).
Contribution of Residual Stresses
Introduced by Hard Shot Peening
Bending fatigue durability of carburized gears
is improved by surface compressive stresses in­
troduced by hard shot peening. The influence of
compressive residual stress introduced by shot
peening on bending fatigue strength of module Distortion of Carburized-and-
2.55 gears was studied—using JIS SCr 420 and Hardened Steels
experimental steels to analyze retained austenite
effects, taking various shot peening conditions
Distortion is an irreversible dimensional
into account and using statistical analysis—and
led to the following conclusive results (Ref 35): change in the component during heat treatment.
From a metallurgical standpoint, there are ther­
• Linear relationship is concluded between mally induced distortion, transformation-
maximum values of compressive residual induced distortion, and distortion induced by
stress introduced by shot peening and bend­ both principal causes. In many cases, uneven
ing fatigue strength of gears. cooling often causes distortion corresponding to
• 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 heater and heat treat industries
were simulated to give optimal results. on a daily basis. Changes in straightness or
• The maximum compressive residual stress warpage of shafts are reversible by applying
does not depend simply on the shot peening stress in the elastic range or during tempering,
condition, but also on the relative effects of for size and shape are not reversible by applied
retained austenite before peening. Retained stresses.
austenite volume is increased by carbonitrid-
ing or by increase of carbon content in rela­
tion to other alloying elements such as nickel
or molybdenum.
The conclusive result proved by a linear re­
lationship between maximum compressive re­
sidual stress and bending fatigue strength of gear
tooth leads to Eq 1 (Ref 35). This result fits well
with that of Fig. 42 concluded from various ma­
terials and heat treatment.

ow = 0.931or + 0.275 ( E q 1)
104 105 106 107
Number of cycles where aw is the endurance limit (MPa) and aR
is the peak compressive stress (MPa).
F¡o 38 Change in residual stresses due to repeated
& stressing. Materials: SNC21, pack carburized
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
for 30 min. Stress amplitude: 40 kg/mm2. Source: Ref 31

Depth from surface, mm

pjo 4"J Change of hardness and residual stress distri­

bution by shotblasting. Source: Ref 11

Effective case depth, mm

F¡g 3Q Changes in residual stress distribution due to
® fatigue. Materials and test conditions are the
same as that of Fig. 6 and 37. Source: Ref 5
pjo 4Q Influence of residual stress and grain-boundary
oxidation on gear tooth fatigue strength, tested
hydraulic pulsating machine. Module 3 JIS SCr 420 gears
are gas carburized at 920 °C and quenched to JIS 1-1-1
cold oil, and tempered at 1 60 °C for 2 h. Source: Ref 26
Peak compressive stresses, GPa
F¡g 42 Relation between compressive residual stress
® (oR) and fatigue strength (ow). See Eq 1. Source:
Ref 35

Recent advancement in modeling and simu­
lation to estimate hardness, microstructure, and
stresses is offering new ways to understand the
mechanism of distortion and appropriate mea­
sures to reduce distortion problems. Transfor­
mation plasticity influences distortion at the
higher-temperature region, where the tempera­
ture difference influences the expansion due to
transformation, and at the lower-temperature re­
gion where the region transformation at the final
stage is affected by surrounding stress field. De­
pending on the type of heat treatment, causes of
distortion are different, and the solution to dis-
F¡2 43 Mluence °f steel hardenability, quench oil
® flow, and case depth on distortion of hypoid
ring gears. Gas carburized at 920 °C and press quenched
with cold oil. (a) Maximum pitch error and change of pitch
error in relation to steel hardenability (jominy, V2 in.)
quench oil flow volume, and effective case depth, (b) Ra­
dial distribution of pitch error in relation to fastener hole
placement. Press quench oil flow is adjusted from mini­
mum (S), regular (M), and about 1.5X volume (L) com­
pared with regular flow volume. Approximate effective
case depth is A, 1.1 mm; B, 0.9 mm; C, 0.7 mm. Source:
Ref 39
Residual Stresses during Gear Manufacture / 453
tortion problems vary. However, by the appli­
cation of appropriate countermeasures in jigging
and quenching methods, many distortion prob­
lems can be minimized.
Types of Distortion
Distortion can be classified into several cate­
gories, such as geometrical change as warpage,
twisting, bending, waving, expansion or shrink­
age, and nonsymmetrical dimensional change.
Shape and small size changes such as gear tooth
profiles and changes in lead angles also quite
common phenomena that always raise problems.
Distortion related to gears are classified into
three basic categories:
• Body distortion in the form of warpage
• Twasting introduced in body shape itself
• Body shape distorted out of concentricity
The most serious complicated distortions include
tooth shape change on lead angle, tooth contour
shape as pressure angle, teeth width and height
balance, and pitch errors, which affect gear
noise, vibration, and tooth fatigue life. These
types of distortion have a profound influence on
tooth contact, fatigue durability, local wear and
scuffing problems, and contact noise.
Examples of Methods to Reduce
Distortion
Gear distortion is affected by various factors
such as steel grade, hardenability, grain growth
during carburizing, and quench methods. Most
automotive gears are carburized in continuous
gas-carburizing furnaces and quenched into cold
or hot oil. Recent new technologies applying
vacuum or reduced-pressure carburizing fur­
naces use a pressurized gas quench system and
the differences of the cooling media from the
traditional process necessitate new cooling tech­
nologies.
Influence of Steel Hardenability on Dis­
tortion. The following paragraphs discuss the
100
E
A 80 —rirJtfcri—
E <|>110 mm
S occaj#'
"a 60 OQpi**
6 40-
OCCQ**
« 20
O HT = carburizing (920 °C) and
semihot oil quenching (90 °C)
24 26 28 30
Jominy (V2 in.) HRC
Fie. 44 Influence of steel hardenability of SCr 420, on
over ball diameter of module 2.8 carburized-
and-hardened transmission spur gears. Source: Ref 40
influence of steel hardenability on the distortion
of differential ring gears and its affect on the
over ball diameter (OBD) of transmission gears.
Distortion of Differential Ring Gears (Ref39).
Differential ring gears have been press quenched
to prevent warpage caused by uneven geometry,
for example, when one side has a gear tooth and
the other side is flat but has many fastener holes.
However, even with press quenching, distortion
of ring gear causes many problems. Most of the
distortion types resulting from quenching are
flatness, taper, inner diameter, elHpticity, pitch
error, and tooth angle and pressure angle.
The pitch error of a ring gear increases with
increasing steel hardenability, as shown in Fig.
43. It also affected by gear design with regard to
placement of fastener holes. The decrease of
thickness behind the gear tooth increases hard­
ness, causes deflection of gear teeth, and in­
creases pitch error. Oil flow rate also has consid­
erable influence, and pitch error increases with
increasing the volume of oil flow. Even with
press quenching, the minimum volume of oil
flow' exceeds the level of oil flow' necessary to
quench small ring gears used for popular pas­
senger vehicles.
Distortion increases as hardenability in­
creases. Observations show' that a quench
method appropriate for small ring gears is hot oil
quench with a rather high cooling rate. As ring
gears have gear teeth on one side and cooling
severity of the tooth side and the fastener hole
side differ very much, it is important to prevent
overcooling of gear tooth side. Therefore, appli­
cation of a hot oil jig quench is recommended
for small-pitch hypoid ring gears.
Distortion Affecting OBD of Transmission
Gear (Ref 40). Steel hardenability has a pro­
found influence on heat treatment distortion.
Generally, the higher the hardenability of steel,
the larger the core hardness and distortion in­
crease. The average variation of steel hardena­
bility indicated by Jominy (Vz in.) value has a
hardness of about 15 to 20 HRC if appropriate
chemical composition control is not provided.
Therefore, the control or selection of steel har­
denability is important to reduce lot-by-lot scat­
ter of distortion. The same influence is observed
in many components, especially on gears having
high core hardness and ring gears that have a
fastener hole behind the gear teeth. The distor­
tion indicated in Fig. 44 is JIS SCr 420 (chro­
mium case-hardening steel), and the hardenabil­
ity is Jominy ‘A in. HRC. Transmission gear of
module 2.8 are carburized at 920 °C and
quenched into semihot oil of 90 °C (Ref 40).
Influence of Machining Condition on Dis­
tortion (Ref 40). Residual stress resulting from
previous machining has profound effects on dis­
tortion, and as shaved thickness increases, dis­
tortion such as OBD and its variations also in­
creases (Fig. 45). Such effects may result from
32
difference of machinability, tool sharpness, and
also by other machining conditions. Therefore,
the process control for stable quality production
even before heat treatment should be carefully
maintained.
454 / Residual Stress Formation During Manufacturing Processes
Influence of Setting Methods
Jig Design for Gears (Ref 40). Jig design to
set components is very important to reduce part
shape distortion. Usually, gears are stacked or
hung on several layers of holding shafts depend­
ing on the size and shape of components. The
influence of gear-setting methods on lead error
and pitch error is compared to minimize distor­
tion due to the difference of lower side and upper
side of gear flange. A vertical holding method
can reduce the difference of cooling speed at
both sides of the gear flange and seems to reduce
gear tooth distortion (Fig. 46) (Ref 40).
Improvement of Ratchet Gear Roundness
by Jig Design Change (Ref 41). Distortion of
ratchet gear made from straight carbon plate was
corrected by a special jig design developed for
the parts. The hole diameter varies depending on
the fine blanking direction and the cooling con­
dition after carbonitriding. The distortion of
shaft hole diameter (12.06 ± 0.01 mm) of car-
bonitrided (900 °C) hot-rolled plate (5 mm thick)
results in additional reamer finishing to maintain
Fig. 45 Influence of shaving thickness on over ball di­
ameter. Source: Ref 40
A B C
Influence of setting jig design in gear tooth dis­
Fig. 46
tortion. Source: Ref 40
tight fit. The first design to hold 15 ratchet plates
could not maintain roundness and necessitated
additional reamer finishes. This type of hole dis­
tortion, called out-of-roundness (OOR) can be
corrected by changing the design of holding jigs.
Reducing the cooling speed by using the type C
jig shown in Fig. 47 successfully reduces the
OOR and contributed to the elimination of
reamer finish after treatment. Change in distri­
bution of jig mass near the assembly hole results
in extensive improvement of hole roundness and
completely eliminated rejection.
Direct Hot Quench of Hypoid Gear
(Ref 40)
Hypoid ring gears have been using press
quench methods for more than 60 years. The
elimination of press quench enables reduction of
production cost via the improvement in produc­
tion efficiency. A stacking jig using a vertical
stacking shaft with massive base plate enables
direct hot oil quench of ring gears. This stacking
jig enabled the reduction of setting work as ob­
served from direct automatic gear-mounting
methods after machining compared to gear set­
ting and removing with each spacer jig gear. The
repeated quenching of the jig distorted the mas­
sive base (Fig. 48) and necessitated periodic re­
x-y diameter after carburizing and quenching
Ajig
Fig. 47 Influence of holding jig design on ratchet gear distortion. Hot-rolled plate gas carbonitrided at 900 °C and
quenched in cold oil. Source: Ref 41
grinding to keep flatness of quenched gear's in
specification (Ref 40).
Influence of Quenching Media and
Cooling Condition on Distortion
Ultrahigh Temperature Oil Quenching of
Ball Bearing Race (Ref 42). Generally, salt-
bath quenching can produce minimum distortion
products compared with oil quench. The oil-
quench temperature is usually lower than that of
salt bath. However, new oil usable at 210 °C en­
ables the reduction of distortion to a level almost
the same as salt-bath quenching, as shown in Fig.
49. Compared with distortion results from
quenching in the traditional temperature of 80
°C, each of the ultrahigh temperature oil and salt
kept at 210 °C reduced distortion to almost the
same level (Ref 42).
Influence of Quenching Oils on Distortion
of Steering Sector Shaft. Quench severity of
quenching oil has profound effects on case
depth, core hardness, and distortion of carbu­
rized components. Figure 50 shows the relation
between the H value (quench severity index) and
core hardness, case depth, and distortion, re­
spectively, of a carburized shaft. The shaft has
gear teeth on one limited portion, which accel­
erates local cooling faster than on Hie other side
B jig Cjig
 Residual Stresses during Gear Manufacture / 455

and causes bending of straight shaft. Figure 50 Distortion Control by Control of Vapor With quenching after vacuum heat treatment, the
shows the relation between case depth and core Blanket Stage. By controlling quench chamber cooling power of the quenching oil does not fit
hardness as almost linear as the H value in­ pressure, the vaporizing character of oil changes the necessary cooling speed to increase hardness
creases, resulting in deeper case depth and higher and the cooling power of quench oil can be ad­ and reduce distortion. By changing the quench
core hardness, while the relation between H justed to get better results (Fig. 51) (Ref 43, 44). chamber pressure from 500 to 100 torr, distor-
value and distortion is nonlinear, as observed in
Fig. 50. Some oils increase distortion, and other
oils can reduce distortion even if their H value
is high. The characteristic feature of the best oil
that enables distortion reduction is a long vapor
blanket stage; this seems to reduce overcooling
of the gear tooth portion. A similar phenomenon
(Fig. 51) enables the control of vapor blanket
stage of oil quench by the adjusting quench
chamber pressure (Ref 41).

jig base
Jig usage, months

Fie. 48 Influence of base jig distortion on flatness of

ring gears, jig: second generation; eight gears
stacked, no spacer. DHR gear: SCM 420H (Cr-Mo case-
hardening steel, jominy V? in. controlled. Heat treatment:
carburized and hot oil direct quenched (130 °C). Source:
Ref 40

H value,cm-2 Agitator pump

pressure, kg/mm2

F¡g 50 Relation between H value of quenching oil and ECD, core hardness, and distortion, respectively. Gas car-
® burized at 920 °C and quenched from 850 °C in cold oil JIS SCr 420 shaft. Warpage is measured at center of
shaft. TP, test piece; R, range of variation; x, average value. Source: Ref 41

(80 °C) (210 °C) (210 °C)

(a)

0 20 40 60 80 100 0 20 40 60 80 100
Cooling rate, °C/s Cooling rate, °C/s

(80 °C) (210 °C) (210 °C)

(b)
pig 49 Influence of quenching media on distortion of
helical transmission gears, (a) Cylindrical dis­
tortion. (b) Elliptical distortion. Source: Ref 42 Fig. 51 Reduction of distortion by adjustment of quench chamber pressure. Source: Ref 44, 45
 456 / Residual Stress Formation During Manufacturing Processes
tion of bearing steel parts was reduced and hard­
ness was also improved (Fig. 52) (Ref 43). Simi­
lar pressure-control quenching is applied to
carburizing of automotive gears. The distortion
in pressure angle and helical angle becomes
smallest at 100 torr as shown in Fig. 51.
Distortion Control by Piug Quenching
Roundness and taper distortions of ring-
shaped products can be con'ected by plug
quenching. This method enables precise control
of diameter and roundness by putting a prepared
plug inside the ring work before quenching and
dip or supply cooling media in a way similar to
the press quench machine. Mesh-belt-type con­
tinuous reheating furnace or induction reheating
can be fit with plug quench station, and the plug
is pulled out of work after quenching (Ref 41).
Ways to Reduce Distortion by Various
Measures
Depending on component shape and size, de­
sign and materials such as shafts, flanged gears,
sector shaft, weld products, and pressed sheet,
quenching or cooling methods are selected to re­
duce distortion. Also, the cooling process should
not only be simple, but various cooling stages
should be designed for distortion reduction.
Such cooling methods as quick-slow-quick
quenching, immersion time quench, delayed
quench, and many other methods can be used for
reduction of distortion. In the future, technology
to reduce distortion should be established with
the computer-simulation technology to under­
stand the cooling and transformation processes
that may open better routes to minimizing dis­
tortion.
influence of Transformation Plasticity
Recent advancement in computer simulation
has enabled the analysis of progress of cooling,
internal stress, and transformation timing (Ref
12, 46). Distortion of heat treated steel can be
analyzed by watching intermittent steps of
quenching by computer simulation, and this en­
No. of works
FÍS 52 Distortion of SUJ 2 part quenched under dif­
ferent pressures. Hardness, 66 HRC. Source:
Ref 43
ables understanding of the effects of cooling on
distribution of temperature, pressure, micro­
structure, and progress of transformation.
In quenching carburized components, the
early stage of about 30 s after dipping the outer
portion of core materials just inside of carburized
case starts to transform. The influence that high
compressive pressure caused by cooling from
the outer austenite shell has on transformation
plays a very important role in distortion. Under
high compressive stress, transformation starts
from the outer noncarburized core portion and is
affected by the pressure and direction of new
martensite phase expansion to the direction to
reduce pressure. After 50 to 60 s from immersion
and following cooling, the outer-carburized case
reaches the transformation start temperature un­
der the restriction of transformed core, and the
influence of transformation plasticity plays an­
other role on transformation of high-carbon case
and affects residual stresses and distortion (Ref
46).
-------- With transformation plasticity
-------- Without transformation plasticity
-------- Initial shape
♦ Experimental
Carburized quenching
-------- t= 10 s
-------- f = 60 s
-------- t= 2400 s
With transformation plasticity
Without transformation plasticity
Carburized quenching
Fig. 53 Influence of transformation plasticity on distortion, (a) Simulated distortion during quenching and measured
data after quenching, (b) Comparison of the simulated results depending on the effect of transformation plas­
ticity. Dimension is enlarged 1 00 X, and central axis is on left. Source: Ref 46
Figure 53 shows the difference of ring distor­
tion (outer diameter, 75 mm; inner diameter, 25
mm; and thickness, 10 mm) comparing calcu­
lated results with and without transformation
plasticity. Simulation results of distortion esti­
mated for carburized-and-hardened ring showed
large differences in diameter change and distor­
tion of ring body. The simulated results show
that outer and inner diameter without transfor­
mation plasticity expand, and the final shape of
the cut section becomes like a hand drum. On
the other hand, simulated results with transfor­
mation plasticity shrink both the inner and outer
diameter, and shape of cut section expands and
becomes dmm shape. The simulation results of
the same specimen for estimating quenching and
tempering are also shown in Fig. 53. The distor­
tion in diameter change simulated with and with­
out transformation plasticity is quite similar to
that of a carburized-and-hardened ring, while
that of changes in cut section does not differ as
much as that observed in carburized case. Simu-
Normal quenching
With transformation plasticity
Without transformation plasticity
Normal quenching

lation technologies should be improved further
to get satisfactory results through the improve­
ment of model and validation efforts and con­
struction of the necessary database, but even at
this stage it can contribute greatly to understand­
ing and improving heat treatment conditions for
reduction of distortion.
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Metric Conversion Guide

This Section is intended as a guide for expressing weights and mea­
sures in the Systeme International d’Unités (SI). The purpose of SI units,
developed and maintained by the General Conference of Weights and
Measures, is to provide a basis for worldwide standardization of units
and measure. For more information on metric conversions, the reader
should consult the following references:
• “Standard for Metric Practice,” E 380, Annual Book of ASTM Son­
darás, American Society for Testing and Materials, 1916 Race Street,
Philadelphia, PA 19103
• “Metric Practice,” ANSI/IEEE 268-1982, American National Stan­
dards Institute, 1430 Broadway, New York, NY 10018
• The International System of Units, SP 330, 1986, National Institute
of Standards and Technolog)'. Order from Superintendent of Docu­
ments, U.S. Government Printing Office, Washington, DC 20402-
9325
• Metric Editorial Guide, 4th ed (revised), 1985, American National
Metric Council, 1010 Vermont Avenue NW, Suite 1000, Washing­
ton, DC 20005-4960
• ASME Orientation and Guide for Use of SI (Metric) Units, ASME
Guide SI 1, 9th ed, 1982, The American Society of Mechanical
Engineers, 345 East 47th Street, New York, NY 10017

Base, supplementary, and derived SI units

Mouure Unit Symbol Measure Unit Symbol

Entropy.................................................. joule per kelvin J/K

Base units
Force...................................................... newton N
Amount of substance.......................... ... mole mol Frequency.............................................. hertz Hz
Electric current .................................. ... ampere A Heat capacity......................................... joule per kelvin J/K
Length................................................. ... meter m Heat flux density.................................... watt per square meter W/m2
Luminous intensity............................. ... candela cd Illuminance............................................ lux lx
Mass.................................................... ... kilogram kg Inductance.............................................. henry H
Thermodynamic temperature.............. ... kelvin K Irradiance............................................... watt per square meter W/m2
Time.................................................... ... second s Luminance............................................. candela per square meter cd/m2
Luminous flux....................................... lumen Im
Supplementary units Magnetic field strength..........................ampere per meter A/m
Magnetic flux......................................... weber Wb
Plane angle......................................... ... radian rad
Magnetic flux density............................ tesla T
Solid angle.......................................... ... steradian sr
Molar energy..........................................joule per mole J/mol
Molar entropy ..........................................joule per mole kelvin J/mol • K
Derived units
Molar heat capacity .............................. joule per mole kelvin J/mol ■ K
Absorbed dose.................................... ...gray Gy Moment of force.................................... newton meter ‘ N•m
Acceleration........................................ ... meter per second squared m/s2 Permeability........................................... henry per meter H/m
Activity (of radionuclides).................. ... becquerel Bq Permittivity............................................ farad per meter F/m
Angular acceleration........................... ... radian per second squared rad/s2 Power, radiant flux................................. watt W
Angular velocity................................. ... radian per second rad/s Pressure, stress....................................... pascal Pa
Area.................................................... ... square meter m2 Quantity of electricity,
Capacitance......................................... ... farad F electric charge.................................... coulomb C
Concentration (of amount of Radiance................................................ watt per square meter steradian W/m2 • sr
substance)....................................... ... mole per cubic meter mol/m Radiant intensity.................................... watt per steradian W/sr
Conductance........................................ ... siemens S Specific heat capacity............................ joule per kilogram kelvin J/kg • K
Current density.................................... ... ampere per square meter A/m2 Specific energy...................................... joule per kilogram J/kg
Density, mass...................................... ... kilogram per cubic meter kg/m3 Specific entropy..................................... joule per kilogram kelvin J/kg • K
Electric charge density....................... ... coulomb per cubic meter C/m3 Specific volume..................................... cubic meter per kilogram m3/kg
Electric field strength......................... ... volt per meter V/m Surface tension ...................................... newton per meter N/m
Electric flux density............................ ... coulomb per square meter C/m2 Thermal conductivity............................. watt per meter kelvin W/m • K
Electric potential, potential Velocity.................................................. meter per second m/s
difference, electromotive force .. ... volt V Viscosity, dynamic.................................pascal second Pa • s
Electric resistance............................... ... ohm ft Viscosity, kinematic............................... square meter per second m2/s
Energy, work, quantity of heat______ ... joule J Volume................................................... cubic meter m3
Energy density......................................... joule per cubic meter J/m3 Wavenumber.......................................... I per meter l/m
460 / Metric Conversion Guide

Conversion factors
To convert from to multiply by To convert from to multiply by To convert from to multiply by

Angle Heat Input in. Hg (60 °F) Pa 3.376 850 E + 03

lbf/in.2 (psi) Pa 6.894 757 E + 03
degree rad 1.74J 329 E - 02 J/in. J/m 3.937 008 E + 01 torr (mm Hg, 0 ”C) Pa 1.333 220 E + 02
kJ/in. kJ/m 3.937 008 E + 01
Area Specific heat
Length
in.2 mm2 6.451 600 E + 02 Btu/lb ■ °F J/kg-K 4.186 800 E + 03
in.2 cm2 6.451 600 E + 00 A nm 1.000 000 E - 01 cal/g • °C J/kg- K 4.186 800 E + 03
in.2 m2 6.451 600 E - 04 pin. jun 2.540 000 E - 02
ft2 m2 9.290 304 E - 02 mil pm 2.540 000 E + 01 Stress (force per unit area)
in. mm 2.540 000 E + 01
in. cm 2.540 000 E + 00
Bending moment or torque tonf/in.2 (tsi) MPa 1.378 951 E + 01
ft m 3.048 000 E - 01
kgf/mm2 MPa 9.806 650 E + 00
Ibf • in. N•m 1.129 84* E - 01 yd m 9.144 000 E -01
ksi MPa 6.894 757 E + 00
Ibf • ft N•m 1.355 818 E + 00 mile km 1.609 300 E + 00
lbf/in.2 (psi) MPa 6.894 757 E - 03
kgf- m N•m 9.806 650 E + 00 MN/m2 MPa 1.000 000 E + 00
ozf•in. N•m 7.061 552 E - 03 Mass
Temperature
oz kg 2.834 952 E - 02
Bending moment or torque per unit length
lb kg 4.535 924 E - 01
°F °C 5/9 • (°F - 32)
Ibf • in./in. N • m/m 4.448 222 E + 00 ton (short, 2000 lb) kg 9.071 847 E + 02
°R °K 5/9
Ibf-ft/in. N • m/m 5.337 866 E + 01 ton (short, 2000 lb) kg x I03(a) 9.071 847 E - 01
ton (long, 2240 lb) kg 1.016 047 E + 03
Temperature interval
Current density
Mass per unit area °F °C 5/9
A/in.2 A/cm2 1.550 003 E - 01
A/in.2 AJmm 2 1.550 003 E - 03 oz/in.2 kg/m2 4.395 000 É + 01
oz/ft2 kg/m2 3.051 517 E - 01 Thermal conductivity
A/ft2 A/m2 1.076 400 E + 01
oz/yd2 kg/m2 3.390 575 E - 02
lb/ft2 kg/m2 4.882 428 E + 00 Btu • in./s • ft2 • °F W/m • K 5.192 204 E + 02
Electricity and magnetism Btu/ft • h • °F W/m • K 1.730 735 E + 00
Btu • in./h • ft2 • °F W/m • K 1.442 279 E - 01
gauss T 1.000 000 E - 04 Mass per unit length cal/cm • s • °C W/m ■ K 4.184 000 E + 02
maxwell pWb 1.000 000 E - 02
mho S 1.000 000 E + 00 lb/ft kg/m 1.488 164 E + 00
Thermal expansion
Oersted A/m 7.957 700 E + 01 Ib/in. kg/m 1.785 797 E + 01
O ■ cm n*m 1.000 000 E - 02
fl circular-mil/ft pif - m in./in. • °C m/m • K 1.000 000 E + 00
1.662 426 E - 03
Mass per unit time in./in. • °F m/m • K 1.800 000 E + 00

Energy (impact, other) Ib/h kg/s 1.259 979 E - 04 Velocity

lb/min kg/s 7.559 873 E - 03
ft • Ibf J 1.355 818 E + 00 Ib/s kg/s 4.535 924 E - 01
ft/h m/s 8.466 667 E - 05
Btu
ft/min m/s 5.080 000 E - 03
(thermochemical) J 1.054 350 E + 03
Mass per unit volume (Includes density) ft/s m/s 3.048 000 E - 01
cal
in./s m/s 2.540 000 E - 02
(thermochemical) J 4.184 000 E + 00 g/cm3 kg/m3 1.000 000 E + 03 km/h m/s 2.777 778 E - 01
kWh J 3.600 000 E + 06 lb/ft3 g/cm3 1.601 846 E - 02 mph km/h 1.609 344 E + 00
Wh J 3.600 000 E + 03 lb/ft3 kg/m’ 1.601 846 E + 01
Ib/in.3 g/cm3 2.767 990 E + 01 Velocity of rotation
Flow rate Ib/in.3 kg/m3 2.767 990 E + 04
rev/min (rpm) rad/s 1.047 164 E - 01
ft5/h L/min 4.719 475 E - 01
ftVmin L/min Power rev/s rad/s 6.283 185 E + 00
2.831 000 E + 01
gal/h L/min 6.309 020 E - 02 Btu/s kW 1.055 056 E + 00 Viscosity
gal/min L/min 3.785 412 E + 00 Btu/min kW 1.758 426 E - 02
Btu/h W 2.928 751 E - 01 poise Pa • s 1.000 000 E - 01
Force erg/s W 1.000 000 E - 07 stokes m2/s 1.000 000 E - 04
ft • Ibf/s W 1.355 818 E + 00 ft2/s m2/s 9.290 304 E - 02
Ibf N 4.448 222 E + 00 ft • lbf/min W 2.259 697 E - 02 in.2/s mm2/s 6.451 600 E + 02
kip (1000 Ibf) N 4.448 222 E + 03 ft • lbf/h W 3.766 161 E - 04
tonf kN 8.8% 443 E + 00 hp (550 ft ■ Ibf/s) kW 7.456 999 E - 01 Volume
kgf N 9.806 650 E + 00 hp (electric) kW 7.460 000 E - 01
in.3 m3 1.638 706 E -05
Force per unit length Power density ft3 m3 2.83! 685 E - 02
fluid oz m3 2.957 353 E - 05
lbf/ft N/m 1.459 390 E + 01 W/in.2 W/m2 1.550 003 E + 03 gal (U.S. liquid) m3 3.785 412 E - 03
lbf/in. N/m 1.751 268 E + 02
Press capacity Volume per unit time
Fracture toughness
See Force ft3/min m3/s 4.719 474 E - 04
ksi V5T MPA VS 1.098 800 E + 00 ft3/s m3/s 2.831 685 E - 02
Pressure (fluid) in.3/min m3/s 2.73! 177 E - 07
Heat content
atm (standard) Pa 1.013 250 E + 05 Wavelength
Btu/lb kJ/kg 2.326 000 E + 00 bar Pa 1.000 000 E + 05
cal/g kj/kg 4.186 800 E + 00 in. Hg (32 °F) Pa 3.386 380 E + 03 A nm 1.000 OOOE - 01

(a) kg x 103 = I metric ton or I megagram (Mg)

 Metric Conversion Guide / 461

SI prefixes—names and symbols

Exponential
expression Multiplication factor Prefix Symbol

1018 1 000 000 000 000 000 000 exa E

10'5 1 000 000 000 000 000 peta P
1012 1 000 000 000 000 tera T
10» 1 000 000 000 giga G
10s 1 000 000 mega M
103 1 000 kilo k
102 100 hectola) h
10' 10 deka(a) da
10° 1 BASE UNIT
10-' 0.1 deci(a) d
i<r2 0.01 centi(a) c
i<r3 0.001 milli m
i<r6 0.000 001 micro M-
io-’ 0.000 000 001 nano n
io-'2 0.000 000 000 001 pico P
10“15 0.000 000 000 000 001 femto t
jo-'8 0.000 000 000 000 000 001 atto a
(a) Nonpreferred. Prefixes should be selected in steps of 103 so that the resultant number before the prefix is between 0.1 and 1000. These
prefixes should not be used for units of linear measurement, but may be used for higher order units. For example, the linear
measurement, decimeter, is nonpreferred, but square decimeter is acceptable.
462 / Metric Conversion Guide

Temperature Conversions
The genera! argument of this conversion table was devised by Sauveur and Boylston. The middle columns of numbers (in boldface type) contain the
temperature readings (°F or °C) to be converted. When converting from degrees Fahrenheit to degrees Celsius, read the Celsius equivalent in the column
headed °C. When converting from Celsius to Fahrenheit, read the Fahrenheit equivalent in the column headed °F.

®F •c °F 8C Of °c °F •c *F •c
-458 -272.22 -328 -200.00 -324.4 -198 -127.78 -90.4 -68 -55.56 143.6 62 16.67
-456 -271.11 -326 -198.89 -320.8 -196 -126.67 -86.8 -66 -54.44 147.2 64 17.78
-454 -270.00 -324 -197.78 -317.2 -194 -125.56 -83.2 -64 -53.33 150.8 66 18.89
-452 -268.89 -322 -196.67 -313.6 -192 -124.44 -79.6 -62 -52.22 154.4 68 20.00
-450 -267.78 -320 -195.56 -310.0 -190 -123.33 -76.0 -60 -51.11 158.0 70 21.11
-448 -266.67 -318 -194.44 -306.4 -188 -122.22 -72.4 -58 -50.00 161.6 72 22.22
-446 -265.56 -316 -193.33 -302.8 -186 -121.11 -68.8 -56 -48.89 165.2 74 23.33
-444 -264.44 -314 -192.22 -299.2 -184 -120.00 -65.2 -54 -47.78 168.8 76 24.44
-442 -263.33 -312 -191.11 -295.6 -182 -118.89 -61.6 -52 -46.67 172.4 78 25.56
-440 -262.22 -310 -190.00 -292.0 -180 — 117.78 -58.0 -50 -45.56 176.0 80 26.67
-433 -261.11 -308 -188.89 -288.4 -178 -116.67 -54.4 -48 -44.44 179.6 82 27.78
-436 -260.00 -306 -187.78 -284.8 -176 -115.56 -50.8 -46 -43.33 183.2 84 28.89
-434 -258.89 -304 -186.67 -281.2 -174 -114.44 -47.2 -44 -42.22 186.8 86 30.00
-432 -257.78 -302 -185.56 -277.6 -172 -113.33 -43.6 -42 -41.11 190.4 88 31.11
-430 -256.67 -300 -184.44 -274.0 -170 -112.22 -40.0 -40 -40.00 194.0 90 32.22
-428 -255.56 -298 -183.33 -270.4 -168 -111.11 -36.4 -38 -38.89 197.6 92 33.33
-426 -254.44 -296 -182.22 -266.8 -166 -110.00 -32.8 -36 -37.78 201.2 94 34.44
-424 -253.33 -294 -181.11 -263.2 -164 -108.89 -29.2 -34 -36.67 204.8 96 35.56
-422 -252.22 -292 -180.00 -259.6 -162 -107.78 -25.6 -32 -35.56 208.4 98 36.67
-420 -251.11 -290 -178.89 -256.0 -160 -106.67 -22.0 -30 -34.44 212.0 100 37.78
-418 -250.00 -288 -177.78 -252.4 -158 -105.56 -18.4 -28 -33.33 215.6 102 38.89
-416 -248.89 -286 -176.67 -248.8 -156 -104.44 -14.8 -26 -32.22 219.2 104 40.00
-414 -247.78 -284 -175.56 -245.2 -154 -103.33 -11.2 -24 -31.11 222.8 106 41.11
-412 -246.67 -282 -174.44 -241.6 -152 -102.22 -7.6 -22 -30.00 226.4 108 42.22
-410 -245.56 -280 -173.33 -238.0 -150 -101.11 -4.0 -20 -28.89 230.0 110 43.33
-408 -244.44 -278 -172.22 -234.4 -148 -100.00 -0.4 -18 -27.78 233.6 112 44.44
-406 -243.33 -276 -171.11 -230.8 -146 -98.89 + 3.2 -16 -26.67 237.2 114 45.56
-404 -242.22 -274 -170.00 -227.2 -144 -97.78 +6.8 -14 -25.56 240.8 116 46.67
-402 -241.11 -457.6 -272 -168.89 -223.6 -142 -96.67 + 10.4 -12 -24.44 244.4 118 47.78
-400 -240.00 -454.0 -270 -167.78 -220.0 -140 -95.56 + 14.0 -10 -23.33 248.0 120 48.89
-398 -238.89 -450.4 -268 -166.67 -216.4 -138 -94.44 + 17.6 -8 -22.22 251.6 122 50.00
-396 -237.78 -446.8 -266 -165.56 -212.8 -136 -93.33 + 21.2 -6 -21.11 255.2 124 51.11
-394 -236.67 -443.2 -264 -164.44 -209.2 -134 -92.22 + 24.8 -4 -20.00 258.8 126 52.22
-392 -235.56 -439.6 -262 -163.33 -205.6 -132 -91.11 + 28.4 -2 -18.89 262.4 128 53.33
-390 -234.44 -436.0 -260 -162.22 -202.0 -130 -90.00 + 32.0 ±0 -17.78 266.0 130 54.44
-388 -233.33 -432.4 -258 -161.11 -198.4 -128 -88.89 + 35.6 +2 -16.67 269.6 132 55.56
-386 -232.22 -428.8 -256 -160.00 -194.8 -126 -87.78 + 39.2 +4 - 15.56 273.2 134 56.67
-384 -231.11 -425.2 -254 -158.89 -191.2 -124 -86.67 + 42.8 +6 -14.44 276.8 136 57.78
-382 -230.00 -421.6 -252 -157.78 -187.6 -122 -85.56 + 46.4 +8 -13.33 280.4 138 58.89
-380 -228.89 -418.0 -250 -156.67 -184.0 -120 -84.44 + 50.0 + 10 -12.22 284.0 140 60.00
-378 -227.78 -414.4 -248 -155.56 -180.4 -113 -83.33 + 53.6 + 12 -11.11 287.6 142 61.11
-376 -226.67 -410.8 -246 -154.44 -176.8 -116 -82.22 + 57.2 + 14 -10.00 291.2 144 62.22
-374 -225.56 -407.2 -244 -153.33 -173.2 -114 -81.11 +60.8 + 16 -8.89 294.8 146 63.33
-372 -224.44 -403.6 -242 -152.22 -169.6 -112 -80.00 + 64.4 + 18 -7.78 298.4 148 64.44
-370 -223.33 -400.0 -240 -151.11 -166.0 -110 -78.89 + 68.0 +20 -6.67 302.0 150 65.56
-368 -222.22 -396.4 -238 -150.00 -162.4 -108 -77.78 + 71.6 +22 -5.56 305.6 152 66.67
-366 -221.11 -392.8 -236 -148.89 -158.8 -106 -76.67 + 75.2 +24 -4.44 309.2 154 67.73
-364 -220.00 -389.2 -234 -147.78 -155.2 -104 -75.56 + 78.8 +26 -3.33 312.8 156 68.83
-362 -218.89 -385.6 -232 -146.67 -151.6 -102 -74.44 + 82.4 +28 -2.22 316.4 158 70.00
-360 -217.73 -382.0 -230 -145.56 -148.0 -100 -73.33 + 86.0 +30 -1.11 320.0 160 71.11
-358 -216.67 -378.4 -228 -144.44 -144.4 -98 -72.22 + 89.6 +32 ±0.00 323.6 162 72.22
-356 -215.56 -374.8 -226 -143.33 -140.8 -96 -71.11 + 93.2 +34 + 1.11 327.2 164 73.33
-354 -214.44 -371.2 -224 -142.22 -137.2 -94 -70.00 + 96.8 +36 + 2.22 Í30.8 166 74.44
-352 -213.33 -367.6 -222 -141.11 -133.6 -92 -68.89 + 100.4 +38 + 3.33 334.4 168 75.56
-350 -212.22 -364.0 -220 -140.00 -130.0 -90 -67.78 + 104.0 +40 +4.44 338.0 170 76.67
-348 -211.11 -360.4 -218 -138.89 -126.4 -88 -66.67 + 107.6 +42 + 5.56 341.6 172 77.78
-346 -210.00 -356.8 -216 -137.78 -122.8 -86 -65.56 + 111.2 +44 +6.67 345.2 174 78.89
-344 -208.89 -353.2 -214 -136.67 -119.2 -84 -64.44 + 114.8 +46 + 7.78 348.8 176 80.00
-342 -207.78 -349.6 -212 -135.56 -115.6 -82 -63.33 + 118.4 +48 +8.89 352.4 178 81.11
-340 -206.67 -346.0 -210 -134.44 -112.0 -80 -62.22 + 122.0 +50 + 10.00 356.0 180 82.22
-338 -205.56 -342.4 -208 -133.33 -108.4 -78 -61.11 + 125.6 +52 + 11.11 359.6 182 83.33
-336 -204.44 -338.8 -206 -132.22 -104.8 -76 -60.00 + 129.2 +54 + 12.22 363.2 184 84.44
-334 -203.33 -335.2 -204 -131.11 -101.2 -74 -58.89 + 132.8 +56 + 13.33 366.8 186 85.56
-332 -202.22 -331.6 -202 -130.00 -97.6 -72 -57.78 + 136.4 +58 + 14.44 370.4 188 86.67
-330 -201.11 -328.0 -200 -128.89 -94.0 -70 -56.67 + 140.0 +60 + 15.56 374.0 190 87.78

(continued)
 Metric Conversion Guide / 463

°F •c °F °c °F °c °F °c °F °c
377.6 192 88.89 629.6 332 166.67 881.6 472 244.44 1580.0 860 460.00 2840.0 1560 848.89
381 2 194 90.00 633.2 334 167.78 885.2 474 245.56 1598.0 870 465.56 2858.0 1570 854 44
384.8 196 91.11 636.8 336 168.89 888.8 476 246.67 1616.0 880 471.11 2876.0 1580 860.00
388.4 198 92.22 640.4 338 170.00 892.4 478 247.78 1634.0 890 476.67 2894.0 1590 865.56
392.0 200 93.33 644.0 340 171.11 896.0 480 248.89 1652.0 900 482.22 2912.0 1600 871.11
395.6 202 94.44 647.6 342 172.22 899.6 482 250.00 1670.0 910 487.78 2930.0 1610 876.67
399.2 204 95.56 651.2 344 173.33 903.2 484 251.11 1688.0 920 493.33 2948.0 1620 882.22
402.8 206 96.67 654.8 346 174.44 906.8 486 252.22 1706.0 930 498.89 2966.0 1630 887.78
406.4 208 97.73 658.4 348 175.56 910.4 488 253.33 1724.0 940 504.44 2984.0 1640 893.33
410.0 210 98.89 662.0 350 176.67 914.0 490 254.44 1742.0 950 510.00 3002.0 1650 898.89
413.6 212 100.00 665.6 352 177.78 917.6 492 255.56 1760.0 960 515.56 3020.0 1660 904.44
417.2 214 101.11 669.2 354 178.89 921.2 494 256.67 1778.0 970 521.11 3038.0 1670 910.00
420.8 216 102.22 672.8 356 180.00 924.8 496 257.78 1796.0 980 526.67 3056.0 1680 915.56
424.4 218 103.33 676.4 358 181.11 928.4 498 258.89 1814.0 990 532.22 3074.0 1690 921.11
428.0 220 104.44 680.0 360 182.22 932.0 500 260.00 1832.0 1000 537.78 3092.0 1700 926.67
431.6 222 105.56 683.6 362 183.33 935.6 502 261.11 1850.0 1010 543.33 3110.0 1710 932.22
435.2 224 106.67 687.2 364 184.44 939.2 504 262.22 1868.0 1020 548.89 3128.0 1720 937.78
438.8 226 107.78 690.8 366 185.56 942.8 506 263.33 1886.0 1030 554.44 3146.0 1730 943.33
442.4 228 108.89 694.4 368 186.67 946.4 508 264.44 1904.0 1040 560.00 3164.0 1740 948.89
446.0 230 110.00 698.0 370 187.78 950.0 510 265.56 1922.0 1050 565.56 3182.0 1750 954.44
449.6 232 111.11 701.6 372 188.89 953.6 512 266.67 1940.0 1060 571.11 3200.0 1760 960.00
453.2 234 112.22 705.2 374 190.00 957.2 514 267.78 1958.0 1070 576.67 3218.0 1770 965.56
456.8 236 113.33 708.8 376 191.11 960.8 516 268.89 1976.0 1080 582.22 3236.0 1780 971.11
460.4 238 114.44 712.4 378 192.22 964.4 518 270.00 1994.0 1090 587.78 3254.0 1790 976.67
464.0 240 115.56 716.0 380 193.33 968.0 520 271.11 2012.0 1100 593.33 3272.0 1800 982.22
467.6 242 116.67 719.6 382 194.44 971.6 522 272.22 2030.0 1110 598.89 3290.0 1810 987.78
471.2 244 117.78 723.2 384 195.56 975.2 524 273.33 2048.0 1120 604.44 3308.0 1820 993.33
474.8 246 118.89 726.8 386 196.67 978.8 526 274.44 2066.0 1130 610.00 3326.0 1830 998.89
478.4 248 120.00 730.4 388 197.78 982.4 528 275.56 2084 0 1140 615.56 3344.0 1840 1004.4
482.0 250 121.11 734.0 390 198.89 986.0 530 276.67 2102.0 1150 621.11 3362.0 1850 1010.0
485.6 252 122.22 737.6 392 200.00 989.6 532 277.78 2120.0 1160 626.67 3380.0 1860 1015 6
489.2 254 123.33 741.2 394 201.11 993.2 534 278.89 2138.0 1170 632.22 3398.0 1870 1021.1
492.8 256 124.44 744.8 396 202.22 996.8 536 280.00 2156 0 1180 637.78 3416.0 1880 1026.7
496.4 258 125.56 748.4 398 203.33 1000.4 538 281.11 2174.0 1190 643.33 3434.0 1890 1032.2
500.0 260 126.67 752.0 400 204.44 1004.0 540 282.22 2192.0 1200 648.89 3452.0 1900 1037.8
503.6 262 127.78 755.6 402 205.56 1007.6 542 283.22 2210 0 1210 654.44 3470.0 1910 1043.3
507.2 264 128.89 759.2 404 206.67 1011.2 544 284.44 2228.0 1220 660.00 3488.0 1920 1048.9
510.8 266 130.00 762.8 406 207.78 1014.8 546 285.56 2246.0 1230 665.56 3506.0 1930 1054.4
514.4 268 131.11 766.4 408 208.89 1018.4 548 286.67 2264.0 1240 671.11 3524.0 1940 1060.0
518.0 270 132.22 770.0 410 210.00 1022.0 550 287.78 2282.0 1250 676.67 3542.0 1950 1065.6
521.6 272 133.33 773.6 412 211.11 1040.0 560 293.33 2300.0 1260 682.22 3560.0 1960 1071.1
525.2 274 134.44 777.2 414 212.22 1058.0 570 298.89 2318.0 1270 687.78 3578.0 1970 1076.7
528.8 276 135.56 780.8 416 213.33 1076.0 580 304.44 2336.0 1280 693.33 3596.0 1980 1082.2
532.4 278 136.67 784.4 418 214.44 1094.0 590 310.00 2354.0 1290 698.89 3614.0 1990 1087.8
536.0 280 137.78 788.0 420 215.56 1112.0 600 315.56 2372.0 1300 704.44 3632.0 2000 1093.3
539.6 282 138.89 791.6 422 216.67 1130.0 610 321.11 2390.0 1310 710.00 3650.0 2010 1098.9
543.2 284 140.00 795.2 424 217.78 1148.0 620 326.67 2408.0 1320 715.56 3668.0 2020 1104.4
546.8 286 141.11 798.8 426 218.89 1166.0 630 332.22 2426.0 1330 721.11 3686.0 2030 1110.0
550.4 288 142.22 802.4 428 220.00 1184.0 640 337.78 2444.0 1340 726.67 3704.0 2040 1115.6
554.0 290 143.33 806.0 430 221.11 1202.0 650 343.33 2462.0 1350 732.22 3722.0 2050 1121.1
557.6 292 144.44 809.6 432 222.22 1220.0 660 348.89 2480.0 1360 737.78 3740.0 2060 1126.7
561.2 294 145.56 813.2 434 223.33 1238.0 670 354.44 2498.0 1370 743.33 3758.0 2070 1132.2
564.8 296 146.67 816.8 436 224.44 1256.0 680 360.00 2516.0 1380 748.89 3776.0 2080 1137.8
568.4 298 147.78 820.4 438 225.56 1274.0 690 365.56 2534.0 1390 754.44 3794.0 2090 1143.3
572.0 300 148.89 824.0 440 226.67 1292.0 700 371.11 2552.0 1400 760.00 3812.0 2100 1148.9
575.6 302 150.00 827.6 442 227.78 1310.0 710 376.67 2570.0 1410 765.56 3830.0 2110 1154.4
579.2 304 151.11 831.2 444 228.89 1328.0 720 382.22 2588.0 1420 771.11 3848.0 2120 1160.0
582.8 306 152.22 834.8 446 230.00 1346.0 730 387.78 2606.0 1430 776.67 3866.0 2130 1165.6
586.4 308 153.33 838.4 448 231.11 1364.0 740 393.33 2624.0 1440 782.22 3884.0 2140 1171.1
590.0 310 154.44 842.0 450 232.22 1382.0 750 398.89 2642.0 1450 787.78 3902.0 2150 1176.7
593.6 312 155.56 845.6 452 233.33 1400.0 760 404.44 2660.0 1460 793.33 3920.0 2160 1182.2
597.2 314 156.67 849.2 454 234.44 1418.0 770 410.00 2678.0 1470 798.89 3938.0 2170 1187.8
600.8 316 157.78 852.8 456 235.56 1436.0 780 415.56 2696.0 1480 804.44 3956.0 2180 1193.3
604.4 318 158.89 856.4 458 236.67 1454.0 790 421.11 2714.0 1490 810.00 3974.0 2190 1198.9
608.0 320 160.00 860.0 460 237.78 1472.0 800 426.67 2732.0 1500 815.56 3992.0 2200 1204,4
611.6 322 161.11 863.6 462 238.89 1490.0 810 432.22 2750.0 1510 821.11 4010.0 2210 1210.0
615.2 324 162.22 867.2 464 240.00 1508.0 820 437.78 2768.0 1520 826.67 4028.0 2220 1215 6
618.8 326 163.33 870.8 466 241.11 1526.0 830 443.33 2786.0 1530 832.22 4046.0 2230 1221.1
622.4 328 164.44 874.4 468 242.22 1544.0 840 448.89 2804.0 1540 837.78 4064.0 2240 1226.7
626.0 330 165.56 878.0 470 243.33 1562.0 850 454.44 2822.0 1550 843.33 4082.0 2250 1232.2
(continued)
464 / Metric Conversion Guide

•F •c T •c T •c •F •c •F •c
4100.0 2260 1237.8 4586.0 2530 1387.8 5072.0 2800 1537.8 5558.0 3070 1687.8 7772.0 4300 2371.1
4118.0 2270 1243.3 4604.0 2540 1393.3 5090.0 2810 1543.3 5576.0 3080 1693.3 7862.0 4350 2398.8
4136.0 2280 1248.9 4622.0 2550 1398.9 5108.0 2820 1548.9 5594.0 3090 1698.9 7952.0 4400 2426.6
4154.0 2290 1254.4 4640.0 2560 1404.4 5126.0 2830 1554.4 5612.0 3100 1704.4 8042.0 4450 2454.4
4172.0 2300 1260.0 4658.0 2570 1410.0 5144.0 2840 1560.0 5702.0 3150 1732.2 8132.0 4500 2482.2
4190.0 2310 1265.6 4676.0 2580 1415.6 5162.0 2850 1565.6 5792.0 3200 1760.0 8222.0 4550 2510.0
4208.0 2320 1271.1 4694.0 2590 1421.1 5180.0 2860 1571.1 5882.0 3250 1787.7 8312.0 4600 2537.7
4226.0 2330 1276.7 4712.0 2600 1426.7 5198.0 2870 1576.7 5972.0 3300 1815.5 8402.0 4650 2565.5
4244.0 2340 1282.2 4730.0 2610 1432.2 5216.0 2880 1582.2 6062.0 3350 1843.3 8492.0 4700 2593.3
4262.0 2350 1287.8 4748.0 2620 1437.8 5234.0 2890 1587.8 6152.0 3400 1871.1 8582.0 4750 2621.1
4280.0 2360 1293.3 4766.0 2630 1443.3 5252.0 2900 1593.3 6242.0 3450 1898.8 8672.0 4800 2648.8
4298.0 2370 1298.9 4784.0 2640 1448.9 5270.0 2910 1598.9 6332.0 3500 1926.6 8762.0 4850 2676.6
4316.0 2380 1304.4 4802.0 2650 1454.4 5288.0 2920 1604.4 6422.0 3550 1954.4 8852.0 4900 2704.4
4334.0 2390 1310.0 4820.0 2660 1460.0 5306.0 2930 1610.0 6512.0 3600 1982.2 8942.0 4950 2732.2
4352.0 2400 1315.6 4838.0 2670 1465.6 5324.0 2940 1615.6 6602.0 3650 2010.0 9032.0 5000 2760.0
4370.0 2410 1321.1 4856.0 2680 1471.1 5342.0 2950 1621.1 6692.0 3700 2037.7 9122.0 5050 2787.7
4388.0 2420 1326.7 4874.0 2690 1476.7 5360.0 2960 1626.7 6782.0 3750 2065.5 9212.0 5100 2815.5
4406.0 2430 1332.2 4892.0 2700 1482.2 5378.0 2970 1632.2 6872.0 3800 2093.3 9302.0 5150 2843.3
4424.0 2440 1337.8 4910.0 2710 1487.8 5396.0 2980 1637.8 6962.0 3850 2121.1 9392.0 5200 2871 1
4442.0 2450 1343.3 4928.0 2720 1493.3 5414.0 2990 1643.3 7052.0 3900 2148.8 9482.0 5250 2898.8
4460.0 2460 1348.9 4946.0 2730 1498.9 5432.0 3000 1648.9 7142.0 3950 2176.6 9572.0 5300 2926.6
4478.0 2470 1354.4 4964.0 2740 1504.4 5450.0 3010 1654.4 7232.0 4000 2204.4 9662.0 5350 2954.4
4496.0 2480 1360.0 4982.0 2750 1510.0 5468.0 3020 1660.0 7322.0 4050 2232.2 9752.0 5400 2982.2
4514.0 2490 1365.6 5000.0 2760 1515.6 5486.0 3030 1665.5 7412.0 4100 2260.0 9842.0 5450 3010.0
4532.0 2500 1371.1 5018.0 2770 1521.1 5504.0 3040 1671.1 7502.0 4150 2287.7 9932.0 5500 3037.7
4550.0 2510 1376.7 5036.0 2780 1526.7 5522.0 3050 1676.7 7592.0 4200 2315.5 10022.0 5550 3065.5
4568.0 2520 1382.2 5054.0 2790 1532.2 5540.0 3060 1682.2 7682.0 4250 2343.3 10112.0 5600 3093.3
 Index
ABAQUS computer program .. 21, 155, 202,
303, 425
ABAQUS/Explicit software program, to
model rail steel residual stresses..............433
ABAQUS/Standard software program, to
model rail steel residual stresses..............433
ABB .................................................................. 11
Abel’s kernel ................................................... 128
Abrasive-jet drilling......................................... 123
Abrasive jet machining (AJM).......................... Ill
Ac3 .................................................................. 189
Acoustic emission ..................................13, 14(F)
crack growth in low-alloy steel .................... 75
evaluating residual stresses in P/M
products............................................... 413
measuring kinetics of stress-corrosion
cracking................................................. 80
for studying delayedfracture in steels .......... 77
Activation enthalpy............................... 56, 57, 58
Activation enthalpy for residual stress
relaxation ....................................... 56, 58(F)
Activation enthalpy of self-diffusion................. 58
Active-part corrosion (APC)
main gas-pipe line steels ......................... 82
mechanism .................................................... 79
Additional light deformation
drawing .............................................. 146(F)
Adhesion, effect of thermal treatment on
coatings ................................................ 16(F)
Admixed powder.........................................400(F)
Aex, carbon and alloying element
effects ....................................................... 200
Ae3, carbon and alloying element
effects ....................................................... 200
Aging
and distortion .............................................. 172
effect on residual stress of carburized
steels ......................................449, 450(F)
Agitation ..................... 258, 259(F), 274, 279(F)
effect of heat transfer........... 271 -273, 274(F),
275(F), 276(F), 277(F)
effect on quench oils ......................264, 268(F)
effect on residual stress and
distortion ............... 275-277(F), 283(F),
284(F), 285(F, T)
Agitation rate ....................... 262, 266(F), 267(F)
of aqueous polymer quenchants .................264,
269(F)
Aggregates of impurities ................................ 260
Ain calibration coefficient..................................12
Aircraft coupling rods, shot peening effect on
fatigue life.............................................20(T)
Aircraft engines, P/M parts .............................398
Aircraft Material Specifications (AMS),
specific types
AMS-S-131 65, Almen strip system .... 349,
350(F)
2770, quench media selection..................... 257
Air drying ........................................................412
Airey’s stress function tp(x, y) ........................106
Air quenching ............. 257, 259(T), 260, 264(F)
Alkaline-earth elements, addition effect on
stress-corrosion cracking.......................... 81
Alkaline solutions, and stress-corrosion
cracking..................................................... 79
Alligatoring ..................................................... 147
Alloying Mo + 0.5% Si, rotate bending
fatigue strength ..................................450(F)
Alloying Ni + 2% Si, rotate bending fatigue
strength ............................................. 450(F)
Alloy steel reactor pressure vessel,
inhomogeneous residual stress
investigated ............................... 136—137(F)
Alloy steels
cryogenic cooling ....................................... 331
dimensional instability .......................... 337(F)
martensitic transformation ............. 332,333(F)
nitriding.........................................................212
plasma nitriding ........................................... 210
quenching materials.....................................312
residual stresses due to turning ............. 109(F)
time of intension cooling
calculation ..............................322-323(T)
Almen block(s) with the strip ................... 349(F)
Almen intensity.................................................. 19
Almen strip................ 91,96, 151, 152, 351, 352
controlling shot peening intensity .... 349(F)
development of............................................ 345
monitoring degree of shot peening ..............91,
93(F)
system............................................ 349, 350(F)
types....................................................... 349(F)
Alpha ferrite (ferrite-martensite), first-order
residual stress parameters.................. 335(T)
Alternating bending fatigue .............................. 48
Alternating bending tests ...................64(F), 65(F)
Alternating magnetic fields, for inducing
residual stress relaxation .......................... 54
Alumina grinding wheel...................................150
Aluminothermic (termite) welding, of rail
steel ................................................... 434(F)
Aluminum
alloying effect on hydrogen embrittlement
of steel .................................................. 83
alloying element effect on crack growth . .80
as alloying element to help obtain fine grain
at heating ............................................ 325
density ....................................................367(T)
effect on transition temperature.................76(T)
first-order residual stress parameters 335(T)
heat capacity in liquid.............................367(T)
heat capacity in solid ............................. 367(T)
initial temperature.................................. 367(T)
latent heat .............................................. 367(T)
mechanical properties ........................... 367(T)
melting temperature............................... 367(T)
plasticity loss after hydrogenation.............76(T)
Poisson’s ratio ...................................... 367(T)
resistance to hydrogen embrittlement ,.76(T)
thermal conductivity in liquid................ 367(T)
thermal conductivity in solid ................. 367(T)
thermal expansion coefficients ............. 367(T)
thermal properties ................................. 367(T)
time up to fracture ................................... 76(T)
work of propagation of a duc tile
crack ................................................ 76(T)
Young’s modulus ................................. 367(T)
Aluminum alloys
modulus of elasticity ............................... 96(T)
Poisson’s ratio ......................................... 96(T)
residual stresses in castings with
solidification time ........................ 362(F)
shear modulus ..........................................96(T)
Aluminum alloys, specific types
2014-T6
residual stress of soft metallic
material ..................................... 346(F)
7010-T76
material library screen printout .... 352(F)
7075
casting speed....................................... 378(T)
density ................................................ 378(T)
dilation due to solidification.............. 378(T)
gradient of liquidus time .................. 378(T)
gradient of solidus line ...................... 378(T)
hardening coefficient ......................... 378(T)
heat conductivity .............................. 378(T)
initial yield stress .............................. 378(T)
latent heat due to solidification .... 378(T)
liquidus temperature ......................... 378(T)
pipe and mold of centrifugal
casting ...........................380, 382-383,
384(F), 385(F), 386(F)
466 / Index
Aluminum alloys (continued)
Poisson’s ratio .................................. 378(T)
solidus temperature .......................... 378(T)
specific heat....................................... 378(T)
thermal expansion coefficient .......... 378(T)
viscosity ............................................ 378(T)
Young’s modulus ............................. 378(T)
Aluminum-magnesium alloys, macro and
micro residual stress relaxation ................ 55
Aluminum nitride (AIN).......................... 209, 325
effect on transition temperature................76(T)
influence on residual stress ....................214(T)
plasticity loss after hydrogenation ...........76(T)
resistance to hydrogen embrittlement ,.76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Aluminum oxide coating ................................ 118
Aluminum-silicon alloys, permanent mold
casting .....................................................369
American Standard of Testing Materials
(ASTM) test methods, specific types
D6200, cooling-curve analysis ................... 266
E 837 - 92 hole-drilling method ............ 123(T)
Amorphous materials ...................................... 400
Anharmonic property of the solid ...................113
Anisotropic transformation strain
modeling of 7-9(F)
and transformation plasticity ..................... 7(F)
Annealing
eliminating residual stresses........................ 144
factors affecting ............................................ 54
hardened or machined materials ..............55(F)
inducing residual stress
relaxation ............................... 54-60(F,T)
before nitriding ........................................... 209
P/M parts..................................... 406, 407, 408
soft, and distortion .......... 153,154(F), 155(F)
temperature.................................................... 56
time.......................................................... 54, 56
Annealing twinning, shape change ................5(T)
Anodizing.........................................................118
ANSYS software program ...................... 127, 202
Antimony
alloying effect on hydrogen embrittlement of
steel ................................................. 83, 84
alloying element effect on crack growth . .80
effect on transition temperature................76(T)
plasticity loss after hydrogenation............ 76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Antioxidants, in quench oils .................263, 264
Approximation method................................334
Aqueous acid solutions, and stress-corrosion
cracking..................................................... 79
Aqueous polymer quenchants............. 257, 264,
268(F), 269(F), 314-316, 319-320,
323-324, 326-327
Aqueous polymer quenching .............. 269, 270,
272-277(F), 279(F), 280(F), 283(F),
285(F,T)
computer simulation of steel cylinder ... 289,
291(F)
Arx ..................................................... 91(F)
Ar3 ..................................................... 91(F)
ARBITRARY computer modeling
program................................................... 429
Arbitrary cut-out indicator
method .............................................132-133
Arc height ........................................................349
Arc welding .....................................................405
Area reduction ............ 144(F), 145, 146, 147(F)
Argon, as quenchant ..........................261,265(F)
Armco iron, nitriding ...................................... 212
Armor-iron, delaj^ed fracture............................ 74
Arsenic, alloying element effect on crack
growth ....................................................... 80
Associated ammonia furnace atmosphere,
composition ....................................... 404(T)
Associated methanol furnace atmosphere,
composition ....................................... 404(T)
Asymmetry
of axle components ......... 159-161, 163(F,T),
164(F)
and distortion of components .................... 165,
167(F,T), 168(F)
Atmosphere
composition of constituents ...................404(T)
gas velocity differences and distortion ... 184
hot pressing .................................................408
oxygen-containing, and carbon fibre
composite materials............................ 184
requirements for sintering......................4Q4(T)
sintering ................................ 402 -403, 404(T)
Atmosphere control, and
distortion ...........................256-257, 259(T)
Atomization of molten metal .......................... 399
Auger spectroscopy, to study brittle fracture
in hydrogen embrittlement in steel ...........79
Austempering ..252-253, 257, 261-263, 280,
281,417
Austenite
aniso thermal decomposition ........ 200-202(F)
atomic volume in ferrous alloys ............250(T)
electronic states of ....................................... 3,4
expansion coefficient ................................. 4(F)
heat capacity and magnetic
properties ........................................3-4(F)
homogenization with induction
hardening ................................233-234(F)
nitrocarburizing of, deformation
tendency ........................................ 170(T)
in schematic representation of relative
transformation of mild steel
plate ................................................. 91(F)
thermal expansion coefficient ....................7(F)
transformation products .................... 4(F), 5(F)
transformation to acicular lower bainite,
volumetric change..........................250(T)
transformation to feathered upper bainite
volumetric change..........................250(T)
transformation to martensite at cryogenic
temperatures ......................... 331,332(F)
transformation to martensite volumetric
change ........................................... 250(T)
Austenite grain growth ....................................325
Austenite grain size..........................................325
Austenite transformation
after carburizing and carbonihiding ........... 189
during hardening processes, computation
of ............................................ 200-202(F)
Austenitic stainless steels.................................110
abrasive jet machining...................................Ill
residual stresses due to grinding ............109(F)
strain hardening .......................................... 109
Austenitic steels
floccules not observed................................... 73
residual stress vs. temperature ................... 7(F)
shot peening of chemical process
vessels ...................................354, 356(T)
Austenitic steels, specific types
X 2 CrNiMoN 22-5-3 (14462)
stress-corrosion cracking test
results ....................................... 356(T)
X 6 CrNiTi 17-12-2 (1.4571)
stress-corrosion cracking test
results ....................................... 356(T)
X 6 CrNiTi 18-10 (1.4541)
stress-corrosion cracking test
results ....................................... 356(T)
Austenitizing ................................................... 407
of high-speed steels .................................... 337
high-temperature .......................................... 81
of low-alloy steels ................................ 337(T)
supercarburized high-speed steels .... 337(T)
two-stage ...................................................... 81
Austenitizing temperature ... .77, 248(F), 251
and volume changes ......................252, 254(F)
Autofrettaged tube, crack propagation .. 35(F)
Autofrettaging process, and crack propagation
35(T)
Autofretting .......................................................12
Automated stress mapping ..............................100
Automobiles, ferrous P/M parts ......................398
Automotive gears, carburization of ................ 453
Avrami approach ................. 56, 57, 59(F), 60(T)
parameters........................................... 56, 58(F)
Avrami equation ..............................................217
Avrami kinetic law ......................................... 201
Axial internal residual stresses from
induction
hardening..................... 234-235(F), 236(T)
Axial residual stresses, after induction
hardening .......................................... 240(F)
Axial stresses .. 144(F), 145, 146, 147, 148(F),
149
for bearing ring....................................... 317(F)
residual stress distribution in radial direction
at t = 8.32 s using a plane-strain
assumption .................................... 368(F)
residual stress variation in the axial direction
at t = S.3202 s with a traction-free top
surface .......................................... 368(F)
semicontinuous casting distribution ......... 378,
380(F)
specimen heating ................................... 313(F)
thermal stress history with a plane-strain
assumption .................................... 368(F)
thermal stress history with a traction-free
top surface..................................... 369(F)
Axle components
asymmetry of ... 159-161, 163(F,T), 164(F)
distortion ............ 159-161, 163(F,T), 164(F)
quenching of .......................................... 174(F)
B
Back stress ........................................299, 300(F)
Backstress tensor, of rail steel .......................432

Bain distortion..................................................332 Bending fatigue crack initiation,
Bainite............................................... 4(F), 250(T) types................................................. 197-198
deformation systems associated with Bending fatigue limit, in medium-strength
transformations ..................................5(T) steel ........................................... 49(F), 50(F)
in schematic representation of relative Bending fatigue resistance
transformation of mild steel plate of carburized steels ..................................... 195
..........................................................91(F) and residual stresses of carburized
shape change...............................................5(T) steels ........................................... 197-198
transformation-start temperature, stress Bending fatigue strength
effects on .......................................6(F)(T) deep rolling effect.....................................37(F)
Bainite habit plane, volume fraction of, of gear teeth, grain-boundary oxidation
tensile load effects .........................7-8, 9(F) effect .............................450-451, 452(F)
Bainitic steel, residual stress vs. gear wheels............................................ 244(F)
temperature............................................. 7(F) grinding effect ..........................................37(F)
Ball of induction-hardened gear teeth and
Kondratiev form factor, K, .................... 323(T) machine parts ........................243-244(F)
quenching and heating computational and and milling residual stress
experimental results...........32'1-323(F,T) influence .....................................36-37(F)
Ball-bearing steels milling vs. grinding of steels ........................ 38
cryogenic cooling ........................................340 roughness effect on surface of low-strength
dimensional stability of French steels ................................................ 39(F)
specimens .......................... 339(F),340(F) shot peening with grinding, S-N curves and
Ball screw, distortion of ..................... 166, 168(F) residual stress effect ..................37-381F)
Banded segregation of carbide, and vs. surface hardness in low-strength
quenching distortion .................. 168,169(F) steel ..................................................40(F)
Barkhausen noise analysis (BNA) .................112, Bending fatigue testing, quenched-and-
114-115, 156(F) tempered steels in seawater..................34(F)
Bars Bending moment ..........91-92, 93, 94(F), 95(F),
drawing .................................................. 141(F) 143(F), 145
hollow cylinder, rotationally symmetric symbol and units of.................................. 93(T)
stresses, measurement ........................ 106 Bending of sheet .... 142(F), 143(F), 144-145
solid cylinder, with/without rotationally Bending out (d) .................................. 152, 154(F)
symmetric stresses, measurement... 105 Bend testing .......................................64(F), 65(F)
Basquin relation........................................... 30, 34 Bent-beam stress corrosion test, specimen
Batch quench system........................................ 258,259(F) preparation practices.................................110
Biaxial residual-stress state, determination
Bauer-Heyn method.........................................102
of .................................................... 96-97(F)
for destructive residual-stress
Biaxial stress analysis ..................................... 122
measurement.................................. 102(T)
Bidimensional dislocation networks .............. 342
Bauschinger effect ............ 62, 66, 142-143, 299
Bielastic bands......................................... 129, 131
in rail steel ..................................... 431,432(F)
piecewise-homogeneous, residual stress
Bauschinger-induced work-softening................. 66
determination ..................................... 131
Beam stress...................................................92-93
Biharmonic differential equation.....................106
Bearing rings
Bimetallic bands, edge cracking ................129(F)
deformation prediction during
Bimetallic materials (bimetals)
hardening ........................... 317-320(F,T) inhomogeneous residual stress
distortion ....................................... 152—155(F) fields ..............................................137(F)
ovality after hardening ................... 153,155(F) used in power installation shells with
quenching in a hardening press ............. 185(F) corrosion-proof surfacing .................. 129
quenching process and Bin calibration coefficient..................................12
hardening ............................ 315-317(F,T) Binder bonded powder ...................... 399, 400(F)
residual stresses and conicity..................319(T) Binders .................................................... 399, 401
service life....................................................319 Binder systems, for me tal-injection
surface layer removal and service life ... 319 molding ...................................................412
Beilby layer .....................................................214 Biot criterion.................................................... 322
Bending ...............................................151, 154(F) Biot number.............. 265, 282, 314(F), 316, 323
mechanical, thermal, or structural origins of circular residual stresses compared to
residual stress .................................. 13(T) generalized value ..................314—315(F)
modeling and measurement of residual generalized ............................322, 323, 324(T)
stresses................................... 154-156(F) usual..................................................... 314, 315
with superimposed tension ......................... 143 Birefringence
Bending deflection, asymmetrical components shear wave .................................................. 114
165, 167(F,T), 168(F) texture-induced ........................................... 114
Bending fatigue................................................189 Birefringent gages ...........................................109
crack initiation and residual stresses ... 34(F) Birefringent methods ...................................... 110
increased by shot peening .................. 198-199, Blank manufacturing methods ... 167-169(F)
201(F) Blasting ........................................................... 150
Index / 467
Blind hole drilling ..............................99,110-111
Blisters ......................................................... 72,83
Blowpipe positioning, in induction
hardening.................................................. 220
Blue tempering ................................................. 91
Bodner inelastic constitutive equations .. 372
Bodner’s model.................................. 373, 374(F)
Body-centered cubic (bcc) materials, residual
stresses.....................................................333
Boiling film .....................................................314
Bolt, distortion of....................................... 181(F)
Boost-and-diffuse carburizing method .. 189,
190(F), 440, 444
Boreholes, for quenching after induction
hardening................................................. 232
Boriding, deformation tendency.................170(T)
Boring, mechanical, thermal, or structural
origins of residual stress ......................13(T)
Boron
alloying effect on grain-boundary
oxidation..............................................449
alloying element effect on crack growth . .80
content effect on shrinkage and sintered
density ................................................ 404
Boronizing, deformation tendency ............170(T)
Bosch, Robert.................................................... 11
Boundary-value problems for two-
dimensional elasticity theory .................127,
128, 129
Bowing ..............................................................91
Bragg angles ............................................. 112(F)
Bragg reflection .............................................. 120
indices of....................................................... 120
Bragg’s Law' ...........................................113, 333
Brass
first-order residual stress parameters 335(T)
third-order residual stresses........... 334-335(F)
Brass 4-6,
first-order
residual stress .................................... 335(T)
Brass 7-3,
first-order
residual stress parameters ................. 335(T)
Brazing................................. 393(T), 394-396(F)
finite element analysis for modeling residual
stresses...........................394, 395, 396(F)
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
metal-ceramic compounds ..............394-395(F)
parameters influencing complex residual
stress state ................................... 394-395
P/M parts.............................................. 405-406
shrinkage of joints ......................... 394(F), 395
tensile residual stresses and
thickness ratio ....................394(F),395(F)
thermal expansion coefficients and their
differences...........................394(F),395(F)
thickness ratio
influence for
ceramic and steel ...............394(F),395(F)
tungsten carbide-carbon cemented carbide
with steel ................................ 395-396(F)
tungsten carbide-cobalt with steel ............ 394,
395(F)
Brine, as quenchant ..................... 264-265,270(F)
Brine quenching, ......................264-265,270(F)
British Aerospace ............................................. 11
468 / Index
Brittle coatings .............................................. 110 Carbon gradient, of carburized-and-hardened
Brittle fracture, carburized steels.................. 196 steels .................................................. 437(F)
Bubbles..............................................................72 Carbonitrided steels, cryogenic cooling .. 340
Buckling ........................................................... 27 Carbonitriding .................189, 190-191(F), 407,
Built-up crack method........................... 128-129 408(F)
Bushings of gears ...................................................454(F)
eccentric cylinder, distortion..159, 161 (F,T) increasing retained austenite volume and
plug quenched .................................... 257 maximum compressive residual
Butt curl ......................................................... 363 stresses.................................................452
introducing compressive residual stress 437
process temperatures............................190-191
temperature differences and distortion ... 184
C Carbon-manganese steel, stress relief and
yield strength .............................251,254(F)
Carbon monoxide, and carburizing steel
CAD. See Computer-aided design. process .................................................... 448
Calcium Carbon potential ..............................................407
alloying effect on hydrogen embrittlement of and carburizing, influence
steel .......................................................83 during ................................. 444-446(F,T)
alloying element effect on crack growth . .80 control in carburized steels .............446-447(F)
Calcium chloride, as quenchant .................... 326 effect on carburized-and-hardened
Calibration coefficients .................................. 12 steels ...................................................438
Cam springs, shot peering effect on fatigue Carbon profile ................................................. 193
life ........................................................20(T) after boost/diffuse carburizing .............. 203(F)
Canning ..........................................................404 after carburizing of 15CD4
Cantilever beam bending test .............. 102, 119 steel cylinder..........................203, 204(F)
Carbide coagulation, and ritriding................. 209 Carbon steels
Carbide precipitation aging effect on carburized steel .................449,
and ritriding .................................................209 450(F)
of P/M tool steels......................................... 408 austempering............................................... 281
Carbide segregation ..............................168, 260 carbonitriding .........................................191(F)
Carbon case hardening ........................................438(F)
alloying element effect on crack growth . .80 cold plastic deformation................................ 79
composition requirements for powder forged composition ........................................... 407(T)
parts ............................................... 411(T) for gear wheel, induction hardened,
content effect in nitrided compound computer simulation ............ 296, 306(F),
layer .................................................... 213 307-309(F)
content effect on cracking propensity ... 254, hydrogen embrittlement............................76(F)
256(T)
quenching ..........275, 281(F), 282(F), 284(F),
content effect on cylinder distortion .... 159,
285(F)
163(F)
quenching, agitation effect........... 276, 283(F),
content effect on quench cracking.............. 279,
284(F), 285(F)
286(F)
quenching of disk and cylinder computer
content effect on residual stresses and
simulation ..............288-289(F), 290(F),
distortion ...............................249, 250(F)
291(F)
content effect on shrinkage and sintered
for ring, induction hardened and carburized
density ................................................ 404
effect on transition temperature.................76(T) quenched 303(F), 304(F), 305-307(F)
plasticity loss after hydrogenation ...........76(T) stress-corrosion cracking.............................. 110
resistance to hydrogen embrittlement . .76(T) tight scale formation ..................... 255, 258(F)
time up to fracture ................................... 76(T) unalloyed, carburized
work of propagation of a ductile CCT diagram ................192-193, 194(F)
crack ................................................ 76(T) Carbonyl iron process,
Carbonate-bicarbonate earth solutions, pH decomposition of..................................... 400
media for gas pipe line steels .................. 82- Carbonyl process .............................................412
Carbonate solutions, and stress-corrosion Carburization............................. 407, 408(F), 418
cracking......................................................79 atmosphere influence ..................................402
Carbon atoms, effect on micro residual of P/M parts ...................................406, 407(F)
stresses in hardened steels ........................ 63 Carburized-and-hardened steels
Carbon diffusion model .................. 199,202(F) carbon gradient, hardness, and residual
Carbon distribution in steel, and stress- stress ........................437-438(F), 439(F)
corrosion cracking .................................... 80 distortion .........................................452-457(F)
Carbon fibre composite (CFC), not used with residual stress distribution ..............437-438(F)
oxygen-containing atmospheres.............. 184 Carburized bushing, quenching and thermal
Carbon fiber/epoxy composites, incremental stresses.................................... 320-321(F,T)
hole-drilling method for residual stress Carburized case ............................................ 92(F)
evaluation ...................................... 12, 14(F) Carburized parts................................. 196, 199(F)
Carburized products, hardening
methods...................................... 189, 190(F)
Carburized steels. See also Carburized-and-
hardened steels, Carburizing.
aging effect on residual stresses ............... 449,
450(F)
bending fatigue resistance ....195, 197-198
contact fatigue resistance ............................198
cryogenic cooling ........................................340
induction hardening of cylinder,
model ..............203-204, 205(F),206(F)
quenching temperature effect on mold hole
distortion ....................................... 171(T)
repeated loading effect on residual
stresses............ 449-450, 451(F),452(F)
repeated stressing effect on residual
stresses............ 449-450, 451(F),452(F)
retained austenite influence ............ 446-447(F)
tangential stresses of cylinder during
quenching, model ................. 202, 203(F)
tempering effect on residual stresses .... 449,
450(F), 451(F)
tempering evaluation by x-ray
diffraction ............................................ 112
Carburizing. See also Carburized-and-
hardened steels, Carburized steels........... 189
carbon potential influence......... 444-446(F,T)
compressive residual stresses from..............437
compressive stress development ............. 92(F)
diffusion process computation .. 199, 202(F)
distortion tendency...........176(T), 178-179(F)
duration effect on fatigue strength
of steels ...............................................446
heating device distances.............................. 184
heat-transfer model ..............................199-200
and nitriding, compared ..............................209
phenomenological coupling (thermal,
metallurgical, and mechanical
interactions) .......................... 199, 201(F)
pre-cooling quenching................................. 177
rotate bending fatigue strength ............. 450(F)
techniques ................................................... 189
temperature differences and distortion ... 184
temperature field computation.............199-200
transformations and stress
evolution.................191-194(F), 195(F),
196(F), 197 (F)
Carburizing and NH 3 addition, rotate
bending fatigue strength ............... 450(F)
Carburizing and quenching, variation
influence on residual
stresses....................442—444(F), 445(F)
Carburizing at low temperature, deformation
tendency .............................................170(T)
Carburizing-quenching process
of chromium-molybdenum steel ring,
distortion computer simulation.......... 290,
292(F)
of cylinder, computer simulation ............. 296,
302(F), 305
deformation tendency............................. 170(T)
of ring, computer simulation ... 296, 303(F),
304(F), 305-307(F)
simulation of.........................................285-286
Case depth........................................................407
of carburization.................................... 178-179

in carburized gears, residual stresses .... 441,
442(F)
and carburized steel residual stress ... 445(F)
and fatigue strength of carburized
steels .............................................. 446(F)
heat treatment effect on residual stress
distribution ......................................... 194
after induction hardening rollers........... 239(T),
240(F)
influence on residual stresses of carburized
steels .............................................. 446(F)
unevenness and distortion potential ........... 184
Case hardening.......................................... 12,211
compressive stresses from ............................ 90
and crack initiation ....................................... 29
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
P/M parts..............................................406, 407
Case-hardening depths, influence on residual
stresses........................................ 194, 197(F)
C.A.S.E. process .... 350-351, 352(T), 353(F),
354(F)
Case thickness, defined....................................194
Casting .......................99, 361 -370(F,T), 400(F)
air-gap width.................... 365(F), 366(F), 369
axial, hoop, and radial stresses of
solidification .......................... 368-369(F)
continuous....................................................370
defects due to porosity formed from
shrinkage ............................................ 370
distortion .....................................................361
elastic-plastic deformation regimes in
solidifying material ...............361 -362(F)
elastoplastic behavior...................................363
elastoviscoplastic behavior ......................... 363
ferrostatic pressure effects ..........................370
finite-element analysis for
modeling............................. 364-369(F,T)
finite-element analysis of defects ...............363
hysteresis loop of stress ........................ 375(F)
ingot............................................................. 370
interdendritic voids ..................................... 370
locking problems ........................................ 369
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
mixed-section, uneven, cooling causing
constraints ......................................361(F)
permanent mold, of aluminum-silicon
alloys................................................... 369
production of residual stress.......... 362-364(F)
residual porosity...........................................363
shrinkage defect location and size
determination ......................................370
single-component heavy-section..................361
static............................................................. 370
stress concentration regions predicted
367(F)
thermal stress-generated defects, dollar
loss ..................................................... 361
Castings
boundary condition of heat transfer and
thermal radiation ................................ 375
creep ...................................................... 373(F)
distortion factors contributing to . ...167-168
L-shaped, shrinkage cavity prediction ... 370
strain rate effect on hardening
coefficient ..................................... 373(F)
stress related to creep strain in a logarithmic
scale .............................................. 373(F)
tension testing ............................................. 373
T-shaped, shrinkage cavityprediction ... 370
yield stress ............................................. 373(F)
Casting speed, of aluminum alloy ...... 378(T)
Cast iron
roller burnishing effect on
fatigue strength ......................... 19, 20(F)
spray forming....................................... 412-413
Cast steels, stress-corrosion cracking................. 81
Catalytic debinding..........................................412
Catastrophic fracture .........................................90
Cathode polarization method .......................73,74
Cauchy (C) distribution .................................. 334
Cauchy method................................................ 122
Caustic quenching .....................264 -265, 270(F)
Caustic soda, as quenchant ..264 -265, 270(F)
Cavity of concave dies, distortion of.............. 165,
168(F)
Cementation steel, induction
hardening .......................................... 244(F)
Cemented carbides, in brazed joint
with steel ...............................395(F), 396(F)
Cementite......................................................... 249
atomic volume in ferrous alloys ............ 250(T)
Cementite plates, shape change......................5(T)
CEN. See European Committee for
Standardization.
Center of gravity method ................................ 122
Centrifugal atomization .....................400(F), 414
Centrifugal casting ...................................167,168
products formed .......................................... 380
and residual stress formation ... 379-383(F),
384(F), 385(F), 386(F)
Ceracon (CERAmic CONsolidation)
process .................................................... 409
Ceramic coatings................................................12
Ceramic shot, hardness range ......................... 349
Cerium
alloying effect on hydrogen embrittlement of
steel .......................................................83
alloying element effect on crack growth . .80
effect on transition temperature ...............76(T)
plasticity loss after hydrogenation............ 76(T)
resistance to hydrogen embrittlement ,.76(T)
time up to fracture ................................... 76(T)
work of propagation of a
ductile crack .................................... 76(T)
Chaboche’s multiple component plasticity
model ........................................ 432(F), 433
Characteristics data file format........................304
Characteristic x-ray radiation, of first-order
residual stresses of
metallic materials ............................. 335(T)
Charging basket, and distortion .. 172, 173(F)
Chasing, mechanical, thermal, or structural
origins of residual stress ......................13(T)
Chemical driving forces ...................................... 8
limits affected by temperature.................... 6(F)
Chemical etching............................................. 439
Chemically Assisted Surface Engineering
(C.A.S.E.) process............350-351,352(T),
353(F), 354(F)
Chemical polishing ......................................... 109
Chemical species flow .......................362, 363(F)
Chemical strain-measurement methods ..110
Index / 469
Chemical vapor deposition (CVD) ...25, 118,
120
deformation tendency.............................170(T)
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
Chemical vapor deposition (CVD)
coatings ................................................. 11,12
Chen method, for destructive residual-stress
measurement ......................................102(T)
Chills, in L-shaped and T-shaped castings with
shrinkage defects .................................... 370
Chip formation, in milling .............................. 150
Chip-removal methods .............................. 109(F)
Chrome plating.................................................. 12
Chromic steels, floccules present ..................... 73
Chromium
alloying element effect on crack growth . .80
effect on transition temperature................ 76(T)
first-order residual stress parameters ... ,335(T)
increasing retained austenite in case-
hardening steels .................................. 447
for low-alloy P/M steel powders ................ 399
oxidation in carburizing atmosphere ..........448
plasticity loss after hydrogenation............ 76(T)
resistance to hydrogen embrittlement ,.76(T)
time up to fracture ................................... 76(T)
work of propagation of a duc tile
crack ................................................ 76(T)
Chromium-alloyed steels, nitriding ................ 216
Chromium carbides ................................. 403-404
in high-speed steels after cryogenic
cooling ..........................340-341(F), 343
Chromium-manganese steels
floccules present............................................ 73
nitriding.........................................................212
Chromium, (max), composition requirements
for powder forged parts .....................411 (T)
Chromium-molybdenum steels
hardenability effect on core hardness and
case depth ............... 441-442(T), 443(F)
nitriding........................................................ 212
ring distortion, carburized-quenched,
computer simulation ............. 290, 292(F)
for ring, induction hardened and carburized
quenched .... 303(F), 304(F), 305-307(F)
Chromium-molybdenum-nickel steels,
induction hardening........................... 244(F)
Chromium-molybdenum-vanadium steels,
nitriding.............................................. 212(T)
Chromium nickel (cementation) steels,
induction hardening........................... 244(F)
Chromium-nickel steels, floccules
present .......................................................73
Chromium-nickel-tungsten steels,
floccules present........................................ 73
Chromium nitrides ........................ 209, 403-404
Chromium nitride (CrN), influence on
residual stress .....................................214(T)
Chromium nitride (Cr 2N), influence
on residual stress ........................... 214(T)
Chromium-silicon spring wire, residual stress
distribution after shot peening .. 91, 94(F)
Chromium steels, cryogenic cooling .............. 340
Circular hole drilling method ................. 130, 133
Circumferential hoop stress ................... 94, 95(F)
Circumferential (hoop) stress in tube,
formula for calculating residual stress
..................................................95(F), 96(T)
470 / Index

Circumferential stress Cold rolling ..............................................141,419
for bearing ring .......................................317(F) and distortion .......... 152, 153, 154(F), 155(F)
from specimen heating .......................... 313(F) in powder metallurgy processing .......... 397(F)
Circumferential stress in tube from net Cold-shortness threshold, antimony and tin
opening displacement X, formula for alloying effects ......................................... 83
calculating residual stress ....................96(T) Cold sintering...................................................402
Cladding, crack-indicator method Cold slip casting, in powder metallurgy
for determining inhomogeneous processing ......................................... 397(F)
residual stress fields ..................136-137(F) Collectors. See Pores.
Clamping, and distortion .................................166 Compaction, in powder metallurgy
Clausius-Duhem inequality............................. 298 processing ......................................... 397(F)
Clay-coating method ................ 278(F), 281 -282 Compaction cycle .......................................401(F)
quenching, and quench cracking................ 278, Compatibility equations of.......................105, 106
286(T) Compliance method ..........................................91
Climb .................................................................58 Component design, and distortion . ..252-253,
Coagulation phenomenon ................. 342(F), 343 255(F), 256(F)
Coalescence .......................................................15 Compressive hoop stress ...................................95
Coatings Compressive residual stresses ... 193, 196(F),
brittle............................................................. 110 211,216
compressive stress at elevated area decrease by fatigue test, repeated
temperature..........................................118 stressing ................................ 450, 451(T)
compressive stresses ................................... 118 in carburized steels after
and quenching, effects on.............. 273, 278(F) heat treatment.......... 449-450(F), 451(F)
stress determination in ................ 118-124(F,T) after induction hardening ............................239
tensile stress at elevated temperature...........118 induction hardening of gear tooth .... 242(F)
Coating separation .......................................... 118 induction hardening of machine parts .... 243
Cobalt in spring steel ................................................27
alloying effect on hydrogen embrittlement of Compressive residual stress zone ....194-195
steel .......................................................83 Compressive shrinking stresses....................... 193
alloying element effect on crack growth . .80 Compressive stresses
effect on transition temperature.................76(T) increase by shot peening ... 198-199, 200(F)
plasticity loss after hydrogenation ...........76(T) induction hardening........................232-242(F)
resistance to hydrogen embrittlement . ,76(T) Compressive thermal stresses, from
time up to fracture ................................... 76(T) welding ....................... 392, 393(F), 394(F)
work of propagation of a ductile Computational fluid dynamics (CED) ....258
crack ................................................ 76(T) Computer-aided design (CAD) .......................413
Cobalt-chromium-aluminum-yttrium Computer-aided engineering (CAE)
coating......................................................118 systems ........................................... 302-303
Cobalt-free superhigh speed steels HEARTS ................ 296, 301(F), 302-304(F)
composition ........................................... 406(T) Computer-controlled robotics system, five-
designation .............................................406(T) axis for lasershot peening .......................355
hardness ................................................. 406(T) Computer modeling..................................... 100
Weq ......................................................... 406(T) Computer-numerical-controlled (CNC)
Coefficient K, of first-order residual stresses of servohydraulic multiplaten powder
metallic materials ............................. 335(T) press............................................ 410, 411
Coefficient of linear expansion, of bearing Computer programs. See also Computer
ring being hardened............................ 318(F) simulation.
Coefficient of thermal expansion 427 modeling....................................................... 202
.
of ring, induction hardened and carburized
quenched .................296, 303(F), 304(F),
305-307(F)
software for residual-stress
measurement ....................................... 113
stress/strain prediction in case-hardened
parts ....................................... 199, 201(F)
warpage of steel shafts ..........289-290, 291(F)
Concurrent engineering ......................................11
residual stress-integrated design and other
sectors connected.......................24(F), 25
Conductance-time curves ............................... 269
Conformal mapping functions ........................132
Consistency relation held during creep
loading .................................................... 302
Constantinescu and Ballard method ............... 105
Construction, and distortion potential ............ 183
Contact fatigue ...................... 150, 196, 215-216
carburized steels...........................................196
Contact fatigue resistance, and residual
stresses of carburized steels ................... 198
Contact length ................................................. 143
Contamination, of quenchants ........................ 259
Continuous casting
and crack initiation in gas main pipes .......... 82
finite-element method
formulation............................376-377
Continuous casting by twin-roll method,
residual stress formation ................ 383-385,
386(F), 387(F), 388(F), 389(F)
Continuous cooling ........................... 191 —193(F)
Continuous cooling curves,
superposition of ...................................... 249
Continuous-cooling-traasformation (CCT)
diagrams ....................................248-249(F)
of carburized steels ..............191-192, 193(F),
196(F)
cooling austenite transformation
for steel ....................................45, 314(F)
of supercooled austenite.............................. 320
Continuous gas-carburizing furnaces, to
carburize automotive gears .................... 453
Continuous weight functioas .......................... 127
Continuum approach .......................................415
Contour hardening ..........................................241
Control/analysis condition data file
format ..................................................... 304
Convection-cooling stage ............. 268, 269, 270,

Coffin-Mason relation .......................................30 Computer simulation ...................................... 202 271, 274

Coherent-optical interference methods
................................................... 134-136(F)
Cold cracks.........................................................73
Cold die pressing, in P/M processing...........397(F)
Cold-die quenching......................................... 281
Cold forging.....................................................141
Cold forming (working)
definition .....................................................141
steel ................................................147-148(F)
Cold injection molding, in powder metallurgy
processing ......................................... 397(F)
Cold isostatic pressing ............................ 402, 404
in powder metallurgy process ............... 397(F)
Cold oil quenching ............................ 449, 453(F)
Cold-rolled steel ................................................Ill
Cold-rolled steel sheet stampings, distortion
of ............................................... 168-169(F)
of carburizing-quenching process .. .285-286
chromium-molybdenum steel ring distortion
carburized-quenched............. 290, 292(F)
of cylinder, carburized ..........296, 302(F), 305
discrepancies of calculated models with
measured amounts ..................204-206(F)
of gear wheel, dual frequency induction
hardened .........296, 306(F), 307-309(F)
heat-transfer coefficients modeling ............ 268
for jet-hardening and fog-quenching
process ................................................174
of quenching a carbon steel disk and
cylinder ... 288-289(F), 290(F), 291(F)
rail steel roller straightening.......... 432-434(F)
of residual stresses/distortion of scanning
induction hardened cylinder ..............290,
293(F), 294(F)
Convection heat transfer, area of..................... 312
Convective heat transfer (cooling)
(CONV) ......................................258,261(F)
Converters........................................................221
Cooling ................................................... 89-90(F)
circumferential stresses at characteristic
points versus time ..........................314(F)
effect on distortion of
components ........................ 172-177(F,T)
residual stresses experimental vs. calculated
values .............................................314(F)
temperature field changes .............. 313-314(F)
and thermal stress buildup relieved ................7
without transformation ................... 250,252(F)
with transformation ............. 250-251, 252(F),
253(F)
Cooling acceleration effect...................273,278(F)

Cooling atomic reactors, stress-corrosion
cracking of steel ......................................81
Cooling characteristics, effect on residual
stress and distortion from quenching
275-278, 281(F), 282(F), 283(F),
284(F), 285(F),T) 286(T)
Cooling condition, effect on distortion
of gears ..................................... 454-456(F)
Cooling curve ................. 192, 193, 196(F), 259,
262(F), 265-271 (F), 272(F)
agitation effect................................271,274(F)
water temperature effect .....................270(F)
Cooling curve analysis................. 265-267, 268,
270(F), 271(F)
Cooling-curve tests .................................265,274
Cooling factor ................................................322
Copper
alloying addition effect on sintering ....... 402
alloying effect on P/M structural
steels ..................................... 406-407(T)
alloying element effect on crack
growth ..................................................80
composition requirements for powder
forged parts ..................................411(T)
effect on transition temperature .......... 76(T)
first-order residual stress parameters335(T)
modulus of elasticity ..............................96(T)
plasticity loss after hydrogenation........76(T)
Poisson’s ratio ........................................96(T)
quenching ..................................... 273, 279(F)
resistance to hydrogen embrittlement ,.76(T)
shear modulus ........................................ 96(T)
time up to fracture ................................ 76(T)
work of propagation of a ductile crack
76(T)
Copper-infiltrated steels,
composition ...................................... 407(T)
Copper infiltration, cost, relative............ 413(F)
Copper-nickel, first-order residual stress
parameters....................................... 335(T)
Copper steels, composition ..................... 407(T)
Copper-zinc alloys, macro and micro residual
stress relaxation ......................................55
Core hardness, effect on residual stress of
carburized-and-hardened steels.......... 442
Correction in stress c(Zx) ............................. 108
Corrosion, nitrided surfaces ........................ 215
Corrosion fatigue .......................................... 100
resistance improved by shot peening........354
Corrosion pittings, and crack initiation in
seawater ...................................................34
Cost in Euro for production
1.4462 (X 2 CrNiMoN 22-5-3)
cost comparison of 5000L vessel .. 356(F)
1.4539
cost comparison of 5000L vessel .. 356(F)
1.4541 (X 6 CrNiTi 18-10)
cost comparison of 5000 L vessel 356(F)
1.4571 (X 6 CrNiTi 17-12-2)
cost comparison of 5000L vessel .. 356(F)
Crack arrest ..........35, 47, 48, 49(F), 50(F), 52
and deep rolling ................................49-50(F)
and shot peening .......................... 353, 354(F)
in steels ......................................................... 75
Crack growth equation .................................. 29
Crack growth rate ...........................................29
Crack-indicator method ..........................137(F)
Crack initiation .................................. 27, 28, 33-34(F)
carburized steels ........................... 196-197, 199(F)
at notch root, and crack arrest.............................. 47-48
quenched-and-tempered steel
in seawater ................................................... 34(F)
in steels ........................................................................ 75
Crack propagation ...........................................16, 27, 28
carburized steels................................................ 196-197
in high-strength steels ..................................... 48-49(F)
medium-strength steels .........................................49(F)
residual stresses influence............................... 34-36(F)
Crack propagation rate (velocity), work
hardening effect and
residual stresses ................................................35(F)
Crack tip plastic zone.......................................................28
Crack-tip state................................................................ 131
Crack-Nicholson method...............................................376
Crankshafts
induction hardening and
grinding........................................ 244 -246(F)
roller burnishing effect on fatigue
strength ................................................19, 20(F)
shot peening effect on fatigue life .......................20(T)
C-ray stress corrosion test specimens,
practices for making and using .......................... 110
Creep ....................... 4, 58-59, 60(F), 68, 213, 251
in casting models.......................................................364
high-temperature .........................................................60
modeling distortion of bearing rings ......................155
thermally controlled .................................................216
Creep constitutive equation ..........................................302
Creep function................................................................ 302
Creep-hardening parameter...........................................302
Creep-resistant austenitic steel, stress relief
and yield strength ................................... 251.254(F)
Creep strain.......................................................... 301-302
in strip continuous casting by twin-roll
method .............................................................384
Creep strain limit ...................................... 58-59, 60(F)
Creep strain rate..................................................302, 374
C-ring test .......................................................... 91,94(F)
Critical compressive loading
stress............................................................. 61-62(F)
Critical loading amplitude, cyclic
deformation ............................................................66
Critical stress intensity factor .........................................30
Critical temperature of brittleness ................................. 76
Cross correlation method ............................................. 122
Crossland criterion .................................................. 17, 19
Cross slip ..........................................................................58
Cryogenic cooling.................................... 331 -344(F,T)
carbide formation ........................................ 340-341(F)
influence on dimensional stability
of steels .....................336-339(F,T), 340(F)
influence on residual stresses of steels ... 336
influence on structure and substructure
of steels ......................................... 339-343(F,T)
of low-alloy steels .............................................. 337(T)
purpose ......................................................................331
residual stresses evaluated
after ................................................ 333-336(F,T)
residual stresses induced ................... 331 -336(F,T)
and retained austenite in carburized
steels .............................................. 447, 448(T)
steels ............................................................ 331.332(F)
super carburized high-speed steels .... 337(T)
thermal range ........................................................... 331
Index/471
Crystallites .....................................................333
Crystal structure ......................... 249(F), 250(F)
Cube, Kondratiev form factor, K ............323(T)
Cubic boron nitride (CBN) grinding
wheel........................................................150
Cups, deep drawing ...........147(F), 148-149(T)
Curie temperature............................................. 3
Curie transition temperature .... 203, 205(F)
Current surface stresses, vs. time 315(F)
.
Cut-out indicator method ..................... 132-133
Cutting ............................................................150
and distortion .................................... 155, 166
Cyclic bending tests, and residual stress
relaxation ...................................... 66, 67(F)
Cyclic creep .........................................63 -64, 66
Cyclic deformation .............................. 28-29(F)
for inducing residual stress relaxation .... 54,
63-68(F,T)
residual stresses influence................ 31-33(F)
residual stress relaxation ............ 63-68(F,T)
Cyclic hardening ............................................. 27
Cyclic hardening material ..............................20
Cyclic loading................................... 22(F), 23(F)
and fatigue life .......................................20-21
Cyclic plasticity
in low-strength steels .......................39-40(F)
in medium-strength steels...........................41
Cyclic softening .........................27, 31(F), 32(F)
Cyclic softening material.................................20
Cyclic stress-strain curve, of plain carbon
steels ...............................................28-29(F)
Cyclic surface yield strength .............. 66, 68(T)
Cyclic work softening ................... 63- 64(F), 66
Cyclic yield strength, and fatigue
behavior .............................................. 32(F)
Cylinders (cylindrical components)
of carbon steel, quenched, computer
simulation ..............288-289(F), 291(F)
computer simulation of metallo-
thermo-mechanics during
quenching ....................296, 302(F), 305
destructive residual-stress measurement
procedures.....................................102(T)
eccentric hollow, distortion of .. 165, 166(F)
heat treatment distortion ....... 159, 162(F,T),
163(F), 164(T)
hollow distortion ....... 161-165(F,T), 166(F),
167(F)
hollow with different cross sections,
distortion of.......................... 165, 167(F)
quenching and heating computational and
experimental results........ 321-323(F,T)
residual stresses/distortion in scanning
induction hardening........................ 290,
293(F),294(F)
solid, residual stress measurement.......... 108
D
DAM. See Discrete atom method.
Damage parameters ........................................45
Dang Van criterion ..............................17(F), 19
Dang Van diagram .....................................18(F)
DANTE (Deformation Control Technology,
Inc.), software program ....................95-96
472 / Index
Data processing procedure, accuracy
evaluation ........................................................129(F)
Debinding.......................................................412, 419
Debye specific heat function ................................... 3, 335
Debye temperature ........................................ 3, 335,336
Decarbonization ............................................................ 278
Decarburization ..................................................... 254-256
atmosphere influence ............................................... 402
and distortion .................................................... 255-256
Decohesion .......................................................................78
Decreasing plasticity under tension .............................. 72
Deep cooling ..................................................................195
Deep drawing ................................................... 141-142(F)
cups ......................................... 147(F), 148-149(T)
Deep freezing process, and distortion......................... 178
Deep rolling ..................................................................... 55
and crack arrest.................................................49-50(F)
and cyclic deformation behavior............................... 33
and fatigue strength ....................................................52
generating compressive macro residual
stresses................................................................54
microcrack initiation in medium-strength
steels .................................................................. 42
residual stress influence on cyclic
deformation behavior ...................31(F), 32(F)
S-N curves and bending
fatigue strength ............................................38(F)
S-N curves and residual
stresses effect .............................................. 37(F)
Deflection formula derivation ......................... 93, 95(F)
Deflection methods ................................. 89-98(F,T), 120
to determine residual stress in
coating .....................................................118-119
Deflection of Almen strip............................................... 91
Deformation. See also Distortion.
adiabatic .........................................................................3
characteristics of different modes......................... 5(T)
interaction with time, temperature and
microstructure ................................................3(F)
plastic ............................................................................. 5
Deformation-induced
transformation ........................ 198-199, 200(F),
201(F)
Deformation zone
and drawing................................................................145
shape of...................................................................... 143
Deformed material, interplanar spacings and
residual stresses ................................................... 333
DEFORM-HT (SFTC Company), computer
program............... 289-290, 291(F), 302-303
Delayed fracture .............................................................. 72
in steels ........................................................ 73-79(F,T)
Delayed quench ............................................................. 456
Dendrite arm spacing, of metal powders/
substrates for atomization
techniques ...................................................... 400(F)
Deasification process .................................................... 408
Density
of aluminum alloy .............................................. 378(T)
and expansion coefficient ..........................3(T), 4(F)
Densmix powders, warm compacted........................... 413
Deviatoric stress........................................ 288, 297, 299
Deviatoric stress tensor ................................... 202, 288
DHR. See Direct hot quench.
Diamond-like carbon (DLC) coating
.
Diamond pyramid hardness test ............223
Diamonds, artificial, high-speed steel dies for
growing, service life ........................................... 326
Die pressing ................................................... 404
Differential equation of
heat conductivity................................... 312
Diffraction angle ........................................... 333
of first-order residual stresses of metallic
materials ...................................... 335(T)
Diffraction line .............................................. 342
physical width of........................... 334, 335(F)
Diffractogram .........................................333,334
Diffractometers
to measure residual stresses in coatings
portable ............................................. 122
Diffusion, during carburizing ......... 199,202(F)
Diffusion-alloyed powder .............................399
Diffusion coefficient of carbon ... 199, 202(F)
Diffusion-controlled dislocation creep.............60
Diffusion creep .......................................... 54, 58
Diffusion equation
for carbon content..................................... 298
for carbon content during carburizing ... 285
Diffusion zone ..................................211,214,215
Dilatational component ........................... 6(F), 7
Dilation due to solidification, of aluminum
alloy .................................................. 378(T)
Dimensional stability ...................................... 16
of high-alloy tool steels ....................... 343(F)
of steels, cryogenic cooling
influence ................ 336-339(F,T),340(F)
Dimensional tolerance limits ........................186
Direct chill (DC) casting.........................363-364
finite-element analysis predictions of
defects .........................................363-364
Direct hot quench (DHR), of
hypoid gear............................... 454,455(F)
Direct-metal deposition ................................ 419
Direct metal laser sintering (DMLS) .......... 413
Direct method ................................................334
Direct quenching............................................ 189
Direct stretching (plastic deformation), after
shot peening ...............................151, 153(F)
Dirty steels ..................................................... 254
Discrete atom method (DAM)...................... 419
Disk, of carbon steel, quenched, computer
simulation .................................288-289(F),
290(F), 291(F)
Disk deflection method ................................. 120
Disk deflection test....................................119(F)
Dislocation
and crack initiation ............................... 33-34
in quenched surface layer......................... 326
Dislocation arrangement, and thermally
induced stresses from annealing ........... 58
Dislocation-core diffusion-controlled climb
by edge dislocations ................................58
Dislocation creep........................................ 54, 58
Dislocation density................................. 342, 343
of high-alloy tool steels ....................... 343(F)
Dislocation movement .................................... 57
Dislocation pinning ....................................66-67
Dislocation slip ........................................... 54-68
stable obstacles to.........................................59
Dispersion hardening, niobium alloying
effect .......................................................325
25 Dispersoids .....................................................414
Displacement rate vector ...................... 376-377
Displacement vector, of invariant-plane
strain .......................................................... 5
Disruption cracks .............................................. 72
Dissection ..........................................................89
Dissociated ammonia hydrogen
atmosphere ..............................................403
Distance from neutral axis, symbol and
units of..................................................93(T)
Distortion See also Deformation....................... 27
asymmetrical components.... 165, 167(F,T),
168(F)
asymmetry increasing tendency for
component...........................................159
and atmosphere control......... 256-257, 259(T)
ball screw......................................... 166,168(F)
of bearing ring after
quenching ........................... 315-317(F,T)
of bearing rings, prediction
during hardening ............... 317-320(F,T)
bolt ..........................................................181(F)
carbon content effect ...................... 249, 250(F)
of carbon steel from quenching .................275,
281(F), 282(F), 283(F), 284(F), 285(F)
of carburized-and-hardened
steels ..................................... 452-457(F)
of carburized bushing due to high-rate
quenching .......................... 320-321(F,T)
of carburized workpiece....................... 176(T),
178-179(F)
castings ....................................... 167-168,361
causes ..........................................................453
cavity of concave dies ................... 165, 168(F)
of chromium-molybdenum steel ring,
carburized-quenched, computer
simulation ...............................290, 291(F)
clamping apparatus choice...........................166
cold-rolled steel sheet
stampings................................ 168-169(F)
and component design....................252-253(F),
255(F), 256(F)
component design as
control method.............................278-279
cooling process and
equipment .......................... 172-177(F,T)
and decarburization ............................. 255-256
and deep freezing ........................................178
definition .....................................................452
of eccentric cylinder bushing ..159, 161(F,T)
as effect of process equipment
design ....................................183-186(F)
elastic chuck .................................. 166, 168(F)
after final shaping ....................... 151-157(F,T)
forgings .......................................................168
of gears ......... 176(T), 179, 253, 255, 256(F),
307(F), 309, 441-442
generating process equipment .............183-185
gravity causing ................178(F), 179—180(F)
heating rate and
uniformity factors .......................170-171
heat treating procedure influence .. 165-166,
168(F), 169-172(F,T), 173(F)
by heat treatment of component
shapes .............159-161(F,T), 162(F,T),
163(F), 164(F)
high-speed gear wheel ................... 166, 169(F)
hob .......................................................170-171
hot-rolled steels............................................168
hypoeutectoid steels ....................................168

after induction hardening .......................... 238-239(F),
242(F), 243
influences of heating rules .....................171(F), 172
of Japanese sword steel .... 308(F), 309-310
loading methods contributing to .......................178(F),
179-182(F,T)
of machine parts........................................................221
machining process influence........................165-166.
168(F), 169(F), 254, 256(F)
measurement.............................................................. 438
metallurgical sources during reheating and
quenching ................................. 251-252, 254(F)
methods to reduce................................................. 453(F),454(F)
minimized by press and plug quenching
dies ..................................................................281
of nitrided workpiece................................................179
at notch, with quenching ........................253,256(F)
one-dimensional ....................................................... 260
out-of-roundness ................................................ 454(F)
and overheating, localized ...............................256-257
pinion shafts ........................................... 255, 257(F)
plug quenching for control of.................................. 456
prediction, after quenching ........................ 284-293(F)
quench ................................................................259-260
quenchant effect on ................................ 174-175(F,T)
quench chamber pressure control of vapor
blanket stage ...................................... 455-456(F)
and quenching ............................................ 252, 255(F)
quenching, agitation effect.................... 276, 283(F),
284(F), 285(F)
from quenching, cooling characteristics
effects ................275-278, 281(F), 282(F),
283(F), 284(F), 285(F,T), 286(T)
quenching media effect on
gears.................................................... 454-456(F)
and quench press machines ... 181-182(F,T)
and quench severity...........................................279-280
of rail steel ................................................... 424-435(F)
ratchet gear' roundness improved by jig
design ........................................................ 454(F)
reduction and prevention in quenched
parts ................................................................. 323
reduction in quenched parts .................................... 328
reduction measures for gears ...................................456
and retained austenite content ... 257, 259(T)
of ring........................... 303(F), 305(F), 306, 307
of scanning induction hardened steel
cylinder, computer simulation.....................290,
293(F), 294(F)
setting method influence .................................... 454(F)
shape .................................................................. 259-260
of shaped components .......................159 -161 (F,T),
162(F,T), 163(F), 164(F)
size ............................................................................. 260
and stabilization ....................................................... 178
steel grade selection as
control method.....................278, 279, 286(F)
steel hardenability influence ............................. 453(F)
of steering sector shaft ................................454-455(F)
stop ring ................................................... 180(F), 181
and tempering.................... 177-178(F), 283-284,
287(F)
transformation plasticity
influence .............................................456-457(F)
two-dimensional .......................................................260
types............................................................................452
and welding ..........................................391 to 394(F)
in welds....................................................7(F,T)
zero value fixed by heat transfer
intensification .....................................328
DistSIMR (heat treatment simulation
code) ....................................................... 155
DMLS. See Direct metal laser sintering.
Domfer process................................................ 399
Double-action tooling system.................. 401-402
Double-exposure technique (DET) .112, 135
Double-hard peening, to improve fatigue
strength ................................................... 437
Double peening ............................................... 449
Double-press/double-sinter, cost,
relative ............................................... 413(F)
Downcut milling, residual stresses
generated ..............................................36(F)
Drawing ................................................... 99, 141
advantages................................................... 142
bars .........................................................141(F)
contact length...............................................143
deformation zone geometry.........................143
for inducing residual stress relaxation ..........54
mean thickness or diameter......................... 143
residual stresses .......................................... 143
rod ................................... 143(F), 145-146(F)
tube ................................................. 145-146(F)
wire........................................ 141, 145-146(F)
Drilling .................................................... 109, 150
and distortion potential ............................... 183
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
Driving rods, shot peening effect on fatigue
life ........................................................20(T)
Dry bag tooling................................................ 402
Dual shot peening............................................ 347
Ductile-brittle transition temperature,
alloying elements effects...........................82
Dummy gage................................................110
Duplex surface treatments, carburizing
and induction heating and
quenching ........... 203-204, 205(F), 206(F)
Durability, of high-speed steels ... 343 - 344(F)
Durability till complete failure.......................... 80
Dyescan fluorescent tracer liquids, for
inspecting shot peening coverage............ 349
Dynamic deformation ..................................... 335
DYNA2D (computer program) .. 156-157(F)
Eddy currents, and induction
hardening .............................. 242-243, 246
Edge dislocations........................................ 58, 71
Edge effect..............271, 273-274, 276, 279(F),
280(F), 283(F)
EDM. See Electric discharge machining.
Effective case depth (ECD) .......................... 437
and carburized steel residual
stresses .......................................... 445(F)
and fatigue strength of carburized
steels .............................................. 446(F)
of gear teeth, grain-boundary oxidation
effect ..................................... 451, 452(F)
Index/473
of scanning induction hardened cylinder,
computer simulation ......... 290, 293(F),
294(F)
Effective diffusion coefficient...........................71
Effective stress intensity range
(AKeff) ........................................... 35-36(F)
and crack propagation rates
with welding .............................35-36(F)
quantitative determination ........................ 36
Eight-noded quadratic isoparametric
elements, in casting thermal model ... 364
Elastic chuck, distortion of ............. 166, 168(F)
Elastic compression, regime in simple slab
casting .............................................. 362(F)
Elastic constants .................................. 95, 96(T)
Elastic crack tip, as mechanical driving force
coefficient ............................................. 6(T)
Elastic distortion ........................................... 333
Elastic modulus ................................................. 3
of bearing ring being hardened ..........318(F)
effect on residual stress development
in steels ............................................. 3(T)
Elastic-plastic time-independent model,
semicontinuous casting calculated
stress distribution...................... 378,381(F)
Elastic recoverv, after straightening...........151,
154(F)
Elastic residual strains (Ee).............................54
Elastic strain ... 101, 111-112, 113, 125, 285,
298-299, 373
Elastic strain component ..............................217
Elastic strain rate .................................. 202, 312
Elastic stress-strain relation of the
mixture................................................... 298
Elastic tension, regime in simple slab
casting .............................................. 362(F)
Elastic theory ...................................................12
Elastic theory problem solution for regions
with the w edge cutouts ........................130
Elastic-viscoplastic constitutive model ... 378
semicontinuous casting calculated stress
distribution .......................... 378,381(F)
Elastic-viscoplastic solids.............................. 372
Elastic-viscoplastic stress-strain matrix ..376
Elastoplastic behavior .................................. 363
Elasto-plastic rolling contact,
of rail steel ................................ 434-435(F)
Elastoviscoplastic behavior ..........................363
Elastoviscoplastic constitutive equation .. 363
Elastoviscoplastic stress model.....................364
finite-element analysis...............................365
Electrical conductance .................... 259,262(F)
measurement ................................. 269,273(F)
Electrical discharge machining .....................91
Electrically activated pressure
sintering.................................................. 408
Electrical-resistance strain gages ... 101, 102,
103, 104
for strain measurement ....................109, 110
Electric discharge machining (EDM)...........147
Electrochemical etching, rotate bending
fatigue strength ............................... 450(F)
Electrochemical metal corrosion ...................82
Electrodischarge machining ........................ 405
Electrodischarge milling (EDM).................. 109
Electroless deposition ................................... 118
474 / Index
Electrolytic etching method, to measure
residual stresses ...................................... 146
Electrolytic polishing..................................... 109
Electromagnetic-acoustic transducers............ 91
Electromagnetic (EM) casting, finite-element
analysis predictions of defects ............... 363
Electron beam, mechanical, thermal, or
structural origins
of residual stress .................................. 13(T)
Electron beam hardening .............................220
Electron beam heating-quenching,
deformation tendency.........................170(T)
Electron beam welding .................................405
of maraging steel ............................... 60-61 (F)
Electronic digital speckle
interferometry...............130, 132, 135, 136
Electronic packaging....................................... 25
Electronic specific heat coefficient ..................3
Electron probe micro-analysis (EPMA), to
calculate time-dependent distribution of
diffused carbon content in rings .. .304(F),
306
Electroplating.......................................................118, 120
mechanical, thermal, or structural origins of
residual stress .............................................. 13(T)
Electropolishing ...................................... 104-105, 109
combined with x-ray diffraction .............................109
Electroslag heating (ESH)
tundish process .................................................... 405
Enameling ........................................................................ 12
End effect........................... 252, 255(F), 276, 283(F)
Endothermal heat of solution ......................................... 70
Endothermic furnace atmosphere.................................403
composition ......................................................... 404(T)
Endothermic nitrogen-base
atmosphere ...........................................................407
Endothermic nitrogen/methanol
atmosphere ...........................................................407
Endurance limit..................................................28, 30(F)
of carburized-and-hardened steels, 442,
443(F)
case depth influence in carburized
steels .......................................................... 446(F)
hard shot peening effect on carburized
gears........................................................... 452(F)
Endurance ratio................................................................ 17
ENSPED program in Europe ................................ 25
Enthalpy ............................................................................. 4
Entropy ............................................................................... 4
Epsilon carbides............................................................. 342
e-carbonitrides ............................................................... 213
e-nitrides..........................................................................213
Equilibrium
equations of..................................................... 105, 106
of loading mean stresses vs. residual
stresses................................................................28
Equivalent creep strain ...................................... 288, 374
Equivalent loading stress ................................................62
Equivalent octahedral stress .......................................... 21
Equivalent stress ................................144(F), 145, 146
ERRI. See European Rail Research Institute.
Eta (q) carbides ..............................................................342
Etching ........................................................................... 439
Euler backward method.................................................304
Euler’s equation............................................................. 127
European Aeronautic, Defense and Space
(EADS) .................................................................. 11
European Committee for Standardization
(CEN), draft standard, residual stress
measurement of rail steel ...................431(F)
European Network of Surface and Prestress
Engineering and Design (ENSPED) ..11
European Rail Research Institute
(ERRI) ....................................................431
report on rail steel residual stresses ........... 431
Eutectoid, transformation-start temperature
stress effects on....................................... 6(T)
Eutectoid tool steels, distortion of .... 171 -172
Exfoliation........................................................215
Exothermic gas atmosphere ............................403
Expansion coefficient, and density .... 3(T), 4(F)
Explosion welding, to apply cladding to
nuclear reactor casing ........................ 137(F)
Explosive forming .......................................... 402
Explosive Newtonian wetting............ 259,263(F)
Explosive-type wetting.......................259, 262(F)
Extensometer .................................................. 102
Extrusion ............ 141, 142(F), 146-147(F), 399
advantages....................................................142
contact length ..............................................143
deformation zone geometry.........................143
mean thickness or diameter......................... 143
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
open-die .........................................146-147(F)
in powder metallurgy processing .......... 397(F)
of rods .................................................... 147(F)
Fabrication, residual stress introduction...............7
Face-centered cubic (fee) materials, residual
stresses.....................................................333
Facing, residual stresses on
stainless steels ....................................109(F)
Failure modes, castings ..............................361(F)
Fatigue .............................................. 100,150,152
carburized gears and
shot peening effect................. 353, 356(F)
crack initiation..................................... 33-34(F)
crack propagation .............................. 34-36(F)
critical layer thickness approach
for steel ............................................ 18(F)
cyclic deformation in steels ...............28-29(F)
cyclic plastic deformation..............................27
cyclic softening of plain
carbon steels .................................... 29(F)
determined by residual stress interaction
with cyclic loading stresses...................28
local fatigue strength ......................... 45-47(F)
macrocrack propagation
in steels .......................... 28-29(F), 30(F)
mechanisms of residual stress formation . .27
microcrack initiation in steels ........... 28(F), 29
modeling residual stress
influence ....................................43-50(F)
nitrided steel ................................214-216(F,T)
phase-hardening mechanism......................... 29
quenched-and-tempered steels .................29(F)
residual stress alterations of behavior leading
to............................................................27
residual stress on steel surface taken into
account..............................................18(F)
residual stress stability ............................... 27
of steels................................................28-31(F)
unstable crack propagation and failure in
steels ................................................28(F)
Fatigue cracking
and shot peening application .... 353, 354(F)
and subzero cooling .................................. 195
Fatigue damage parameters......................30-31
Fatigue ductility coefficient ............................30
Fatigue ductility exponent ..............................30
Fatigue failure, from repeated stressing in
carburized steels.......................450, 451(F)
Fatigue life .................................................. 19,28
calculation while taking residual stresses into
account............................................ 21(F)
of cold-formed products............................144
deep rolling effect....................................37(F)
distribution of...............................................22
grinding effect ..................................37-38(F)
heat treatment effect on carburized
steels ..................................... 449, 450(F)
of high-strength steel after shot peening and
grinding......................................38-39(F)
increase for mechanical components from
shot peening ........................................ 20
prediction calculations affected by residual
stress ......................................... 16-19(F)
prediction of ..........................22, 23(F), 24(F)
of shot-peened steel, Dang Van
criterion...........................................18(F)
shot peening effect on stainless steel........... 16
Fatigue life distribution ................................. 21
Fatigue limit
hardenability influence on carburized-and-
hardened steels ....................442, 443(F)
in high-strength steels ..................... 48(F), 49
of medium-strength steels........................... 49
nitrided layer.............................................. 216
Fatigue notch factor
of high-strength steels ................................ 51
of low-strength steel ................................... 51
of medium-strength steel............................ 51
Fatigue slip bands ................................ 28(F), 29
Fatigue strength ................................ 14-15(F,T)
of carburized-and-hardened steels .........441
case depth effect on
carburized steels...........................446(F)
gears with induction hardened
flanks........................................... 241-242
of gear teeth, grain-boundary oxidation
effect ............................ 450-451, 452(F)
of gear wheels, and tangential residual
stresses................................................238
of induction-hardened machine
parts ..................................... 243-244(F)
of induction-hardened steel ..................... 224
after induction hardening ................ 239, 246
prediction taking residual stress into
account................................................. 24
residual stress effect ........................ 16-19(F)
surface finish and strain hardening
effects .............................................. 19(F)
Fatigue strength coefficient ............................30
Fatigue strength diagrams ........................30(F)
Fatigue strength exponent ..............................30
Fatigue testing

carburized steels............................. 195, 199(F)
induction-hardened steels ..................... 244(F)
FATIGUE3D (computer program) ....21, 22
Ferric carbide (Fe 3C), dissolving, influence
on residual stress ........................... 214(T)
Ferric nitride (Fe 4N), influence on residual
stress ..............................................214(T)
Ferrite
acicular ....................................................... 4(F)
acicular, shape change................................ 5(T)
acicular, transformation-start temperature,
stress effects on...................................6(F)
allotriomorphic ...........................................4(F)
allotriomorphic, shape change ...................5(T)
atomic volume in ferrous alloys ............ 250(T)
expansion coefficient ................................. 4(F)
heat capacity and magnetic
properties ........................................3-4(F)
idiomorphic ................................................ 4(F)
idiomorphic, shape change ........................ 5(T)
massive .......................................................4(F)
nitrocarburizing of,
deformation tendency.....................170(T)
in schematic representation of relative
transformation of mild
steel plate..........................................91(F)
thermal expansion coefficient ....................7(F)
Widmanstatten ........................................... 4(F)
Widmanstatten, deformation systems
associated with transformations .... 5(T)
Widmanstatten, shape change ................... 5(T)
Widmanstatten, transformation-start
temperature, stress effects on............. 6(F)
Ferrite, allotriomorphic, shape change 5(T)
Ferrite, idiomorphic, shape change
.
Ferrite, nitrocarburizing of, deformation
tendency .............................................170(T)
Ferrite, Widmanstatten, deformation
systems associated
with transformations...............................5(T)
Ferrite, Widmanstatten, shape change .. 5(T)
Ferrite, Widmanstatten, transformation-start
temperature stress effects on ................. 6(F)
Ferrite, 0. IN, influence
on residual stress ............................... 214(T)
Ferrite-pearlite steels
Barkhausen noise analysis for stress
measurement........................................114
hydrogen embrittlement.................................72
hydrogen states ............................................. 72
Ferrite + carbides, atomic volume in
ferrous alloys ..................................... 250(T)
Ferritic steels, floccules not observed................. 73
Ferrochrome ....................................................399
Ferromagnetics, for inducing residual stress
relaxation .................................................. 54
Ferromanganese .............................................. 399
Fiat..................................................................... 11
Fick’s second law ........................................... 199
Film-boiling (FB) process ................. 258-260(F),
261(F), 262(F), 264-265, 268, 269,
270-271,312
Film cooling....................................... 258, 260(F)
Final instability effect........................................ 30
Final part shaping
asymmetry influence ..165, 167(F,T), 168(F)
auxiliary equipment effects and loading
methods................178(F), 179-182(F,T)
axle components............. 159-161, 163(F,T),
164(F)
blank manufacturing methods ... 167-169(F)
cavity of concave dies................... 165,168(F)
chemical heat treatment .................... 176(T),
178-179(F)
cooling process and equipment
influence ........................... 172-177(F,T)
cutting..........................................................166
cylinders ........159, 162(F,T), 163(F), 164(T)
cylinders, hollow .......... 161-165(F,T),166(F),
167(F)
factors and relationships between heat
treatment and distortion .... 159, 160(F)
heat treating procedure influence .. 165-166,
168(F), 169-172(F,T), 173(F)
heat treatment distortion ........ 159-161(F,T),
162(F,T), 163(F), 164(F)
machining process influence........... 165-166,
168(F), 169(F)
screw ...............................................161,164(F)
stress relieving............................................166
Final shaping
distortion after .......................... 151-157(F,T)
prior to heat treatment............ 150-158(F,T)
Final steady-state temperature (ra) ....... 367
Finding coefficients ....................................... 130
Fine-grain steels............................................. 325
Finishing, in powder metallurgy
processing ........................................ 397(F)
Finite cylinder, height: z, Kondratiev form
factor, K ........................................... 323(T)
5(T)Finite-difference two-stage Crank-Nicolson
predictor-corrector method................. 364
Finite-element method (FEM), (finite-
element analysis) ...................................144
for brazing, residual stress prediction ... 394,
395, 396(F)
to calculate residual stresses after shot
peening .............................................. 151
calculation of time variation of internal
stresses............................... 234, 235, 236
of casting defects........................................ 363
casting elastoviscoplastic stress model .. 365
for casting modeling................. 364-369(F,T)
centrifugal casting modeling ............379,380,
383(F)
determining stabilized residual stress after
fatigue loading..................................... 19
formulation for unsteady-state casting ... 376
heat-flow problem in casting ................... 364
measuring distortion of ring ...... 290, 292(F)
modeling bending .................... 155, 156-157
modeling elasto-plastic rolling contact of rail
steel .......................................434-435(F)
modeling phase transformations ... 296, 300,
301(F), 302, 303, 306(F), 307(F), 309
modeling relaxation behavior of multiaxial
macro residual stresses ............ 62-63(F)
for modeling roller straightening .. .432-433
modeling straightening ............... 156-157(F)
predicting distortion and residual stress after
quenching ............................ 284, 288(F)
predicting relaxation of residual stresses ..11
quench-crack formation ...........................313
Index/475
quenching of carbon steel disk
and cylinder...................288-289(F), 290(F)
quenching simulation for
carburized bushing ...................... 320321 (F,T)
rail steel deformation by residual
stresses....................................................... 424(F)
residual stress distribution modeling ... 14(F)
semicontinuous casting numerical calculation
for temperature ...............................................377
for simulating particulate, compaction ..413,
416, 417, 419
for simulating thermomechanical problems
in casting ................................................. 374-375
software programs ....................................................202
solidification modeling ............................................372
for straightening, Swedish steel industry
research project................................................156
stress/strain prediction in case-hardened
parts ............................................... 199, 201(F)
for strip continuous casting by twin-roll
methodmodel .....................383-385, 386(F),
387(F), 388(F), 389(F)
thermoplasticity of carburized bushing .. 320
through-thickness temperature variation of
plate ................................................223-224(F)
unsteady-state heat-conduction problem of
carburized bushing ........................................ 320
warpage prediction of steel shafts with
keyway...................................................... 289-290,291(F)
Finite plate, dimensions of sizes: L x , L 2 , L 3 ,
Kondratiev form factor, K ............................... 323(T)
Fisheye fracture .................................................... 442, 446
Fishtailing .............................................................89(F), 93
Fixture hardening .......................................................... 185
Fixtures
and distortion ............................................ 172, 173(F)
for hardening of ring-shaped bodies..................186(F)
Flame cutting ................................................................. 109
Flame hardening ............................................................220
Flame heating-surface quenching,
deformation tendency.....................................170(F)
Flat rolling ..................................................................... 143
Flocculation ................................................................72-73
prevention in steels .................................................... 73
Floccules ............................................................... 72-73(F)
prevention of formation in steels ..............................73
Flow' rule for plastic strain rate ........................... 299-300
Flow' speed, of quenching media and
carburizing ...........................................................445
Flow' stress......................................................................299
Fluid-flow analysis, for solidification
modeling, benefits listed .............................. 363(F)
Fluidity coefficient......................................................... 366
Fluidized-bed quenching ............................... 263, 267(F)
Foaming, of quenchants ............................................... 259
Fog quenching ............................................................... 282
equipment ..................................................................174
Foreman equation, crack propagation taking
mean stresses into account.................................... 35
FORGE (software program) ........................................ 202
Forging............ 99, 109,141-142, 148-149(F,T),
399
advantages..................................................................142
mechanical, thermal, or structural origins of
residual stress ............................................. 13(T)
in powder metallurgy processing ..................... 397(F)
process conditions................................................148(T)
476 / Index
Forging (continued)
workpiece geometry .............................. 148(T)
Forging reduction ratio................................. 254
Forgings
cylindrical steel neutron diffraction
methods............................................... 113
distortion ...................................................... 168
steel rocket case, neutron diffraction
methods............................................... 113
Forming.......................................... 141-149(F,T)
bending ................... 142(F), 143(F), 144-145
deep drawing.................. 141-142(F), 147(F),
148-149(T)
and distortion potential................................ 183
drawing ... 141(F), 142, 143(F), 145-146(F)
electric discharge machining ...................... 147
extrusion..........141, 142(F), 143, 146-147(F)
forging ......................141-142, 148-149(F,T)
press braking.................................. 147-148(F)
pressing ................................................141-142
rolling ................. 141, 142, 143, 146-148(F)
Forward solution................................................91
Fourier coefficients ......................................... 334
Fourier law............................................... 199, 375
Fourier number ............................................... 321
generalized .................................................. 322
Fourier’s heat conduction law' ........................298
Fredholm integral equation, method of the
first type .................................... 126-128(F)
Fredholm integral equation (computation
experiment) residual stress
determination............................. 126,127(F)
Free quenching ................................................257
French specimens ............338(F), 339(F), 340(F)
French Technical Center for Mechanical
Industry (CETIM).........................15, 16, 17
Fretting corrosion .....................................215,216
Fretting fatigue, shot peening to promote
resistance .................................................354
Friction............................................................... 16
Fringe effect.....................................................134
Function smoothness measure ........................127
Furnace hardening, carbon content
limits .................................................. 256(T)
Furnaces
atmosphere-hardening ................................ 257
austenitizing..........................................155-156
batch-type ....................................................402
belt ...............................................................257
combust!on-heated, and distortion ............. 172
continuous, and distortion .......................... 172
continuous gas-carburizing .........................440
continuous mesh-belt sintering.............. 402(F)
design and operation to control heat treating
problems.............................................. 257
direct-fired gas............................................. 255
distortion of bearing rings ................... 155-156
hardening .....................................................257
heat irradiating areas in ratio to the size of
the batch.............................................. 184
for hot isostatic compaction .................. 409(F)
insulation .....................................................184
muffle-type continuous production ... 402(F)
passing-type, and distortion ........................172
pit-type and distortion potential...................184
pusher........................................................... 402
roller hearth .................................................402
shaker hearth ...............................................257
sintering .......................... 402 -403(F), 404(T)
vacuum ........................................................402
vacuum, and distortion potential................. 184
walking-beam.............................................. 402
zones ...................................................... 404(T)
G manufacture of.......................... 437-457(F,T)
Galerkin method ............................................................364
Galerkin type formulation ............................................ 376
Galvanic corrosion, stainless steel P/M
parts .............................................................. 403-404
Galvanopairs, in stress-corrosion
cracking...................................................................79
Gamma ferrite (austenitic), first-order
residual stress parameters ............................ 335(T)
Gas atomization ................................. 400(F), 412, 414
Gas blending...................................................................261
Gas carburizing ...................... 189, 190, 194, 197(F),
443(F), 450(F), 451(F), 453(F)
carbon potential control ...........................................444
diffusion ..................................................... 199, 202(F)
and retained austenite content..................................447
Gas dissolution in metal melt .......................................400
Gaseous nitrocarburizing ........................................ 215(F)
Gas jet and fog jet cooling
equipment ............................................. 172, 174(F)
Gas lances ...................................................................... 184
Gas-pipe lines steels, stress-corrosion
cracking...................................................... 81 - 82(F)
Gas quenching..................256(T), 257, 261, 265(F),
266(F), 271
distortion minimizing............................................... 185
equipment .....................................................172-174(F)
high-pressure.................................................172-174(F)
Gas turbine components, shot peening and
distortion .............................................................. 156
Gauss (G) distribution .................................................. 334
Gaussian method............................................................ 122
Gauss’s theorem .....................................................375,376
Gear box, shot peening effect on fatigue
life ......................................................................20(T)
Gears
automotive .......................................................... 453(F)
automotive, pressure-control
quenching .......................................... 455-456(F)
carburized, and shot peening effect on
fatigue.............................................. 353, 356(F)
carburized, axial stress distribution during
quenching ...................................... 440-441 (F)
carburized, shotblasting and
peening ...............................................451-452(F)
carburized variation of residual
stresses.............................................439, 440(F)
case hardening, transformations and stress
evolution model ... 202-203(F), 204(F)
differential ring ................................................. 453(F)
distortion ............ 253, 255, 256(F), 307(F), 309
distortion after carburizing and
quenching ...................................... 176(T), 179
dual-frequency induction hardening,
computer simulation ................... 296, 306(F),
307-309(F)
gas-carburized and direct-quenched, residual
stress ............................................................... 440
grain-boundary oxidation effect on fatigue
strength .......................... 450-451,452(F)
hypoid ring .......................................... 453(F)
hypoid ring, direct hot quench
(DHR)..................................... 454,455(F)
induction-hardened and carburized residual
stresses....................................440, 441 (T)
loading methods ....................... 179(F),180(F)
quenched in quench press
machine.............................. 181-182(F,T)
quenching .................................................. 257
ratchet................................................... 454(F)
residual stresses in ................... 439-441(F,T)
ring ................................................. 255,256(F)
setting methods effect on distortion .. 454(F)
shot peening and C.A.S.E. process ....... 350,
351, 352(T), 354(F)
shot peening application ............. 353,355(F)
steel grade and hardenability
influence ..............441-442(F,T), 443(F)
stress profile......................................... 354(F)
transmission spur................................. 453(F)
Gears, modulus, m = 5 to 8 mm,
advantages............................................ 327(T)
former steel and process .................... 327(T)
new steel and process ......................... 327(T)
Gear wheels
bending fatigue strength when induction
hardened ...................................... 244(F)
dual-frequency induction hardening,
computer simulation ......... 296, 306(F),
307-309(F)
fatigue strength after induction
hardening ..............................243-244(F)
induction hardening...........226, 227-231(F),
236-239(F), 241-242(F)
shot peening ....................................... 347-348
shot peening effect on fatigue life ........ 20(T)
temperature variations during cooling after
induction hardening ........... 230-231 (F)
Generatrix.......................................................318
Gerber parabola .........................................30(F)
Germanium, alloying element effect on crack
growth ...................................................... 80
German steels. See Steels, series and classes:
1023, 1045, C80, and CK01.
Gibbs free energy .................................. 297-298
Glassy alloys .................................................. 400
Glide ................................................................. 58
Gliding, irreversible ........................................29
Global momentum balance in combined
domain ................................................... 375
Glow' discharge spectroscopy.......................216
Goodman approximation.. 30(F), 43, 44, 45,
48,49, 50, 51
Goodman endurance diagrams .... 14—15, 17
Goodman relationship .............................. 16, 17
Grade, influence on steel gear
stresses .................... 441-442(F,T), 443(F)
Gradient of liquidas line, of aluminum
alloy .................................................. 378(T)
Gradient of solidus line, of aluminum
alloy .................................................. 378(T)
Grain boundaries, and crack
initiation ............................................. 33-34
Grain-boundary glide .....................................58

Grain-boundary oxidation
in carburized-and-hardened steels ............. 438,
448-449(F), 450(F)
of carburized steels ..................................... 446
effect on fatigue strength of gear teeth
450-451,452(F)
Grain-boundary sliding ..................................54
Grain growth, and sintering........................... 402
Grain refinement............................................189
Grain size, and stress-corrosion cracking
resistance ............................................................... 81
Grain slips......................................................................... 15
GRANTAS (Komatsu Company) computer
program................................................................. 303
Gravity line method....................................................... 122
Gray iron
residual stresses in castings with
solidification time .................................... 362(F)
three-bar frame casting model................................. 362
Green density ................................................................ 401
Greenwood-Johnson transformation ........................... 320
Grids, as distortion sources .................................. 184-185
Grinding 55, 57(F), 101, 109, 150(F), 151(F)
carburized steels...................................... 198, 199(F)
costs dependent on overmeasures
knowledge........................................................183
and distortion ................................................. 152,156
drifting .......................................................................198
effect on local fatigue strength and crack
arrest, with shot peening ............................ 48(F)
factors causing residual stresses ............................. 150
and induction hardening ... 220, 244-246(F)
mechanical, thermal, or structural origins of
residual stress .............................................. 13(T)
with milling and shot peening, S-N curves
and residual stress effect....................37-38(F)
power ....................................................................150(F)
and quenching in a hardening press ....................... 185
residual stresses in austenitic
stainless steels ......................................... 109(F)
S-N curves and residual stress effect in high-
strength steel ...................................... 38-39(F)
S-N curves and residual
stresses effect ................................37(F), 38(F)
wheels......................................................................... 150
Grossman factor ....................................................... 176(T)
Grossman n number (H value) .. 257, 259(T),
262, 265
definition ...................................................................265
Grossman Quench Severity factor .............................. 174
Gunnert method .................................................. 102,103
for destructive residual-stress
measurement.............................................. 102(T)
Gun splat atomization ..............................................400(F)
Gyaku-sori (reverse bending), of Japanese
sword....................................................309-310(F)
H distribution ................. 391(F), 392, 394
Habit plane..........................................................5
of invariant-plane strain...................................5
Habit plane indices .................................. 5(T), 6
Haigh diagram, (fatigue strength) ................14,
17(F), 30(F), 43-45(F), 47-48, 52
Half-width values ....................................... 61(F)
Hammer peening............................................... 12
mechanical, thermal, or structural origins of
residual stress .................................13(T)
Hamon (border of martensite structure), of
Japanese sword ....................... 308(F), 309
Hardenability
effect on fatigue limit and residual
stresses................................... 442, 443(F)
grade variation effect on carburized
gears..................................441 -442(F,T)
influence on gear stresses ........441-442(F,T),
443(F)
Hardenable steel, tempering .......... 284, 287(F)
Hardened steels, micro residual stresses ... .63
Hardened surface layer depth ..................... 327
Hardening
of carburized components............ 189, 190(F)
and distortion ................ 153, 154(F), 155(F)
mathematical model ................................. 315
quench-crack formation
prediction .......................... 315-317(F,T)
of ring-form workpieces ......................186(F)
thermal stress state calculation ............... 315
Hardening coefficient (if) ................ 300(F), 301
of aluminum alloy ............................... 378(T)
Hardening function........................................300
Hardening modulus, of bearing ring being
hardened ...........................................318(F)
Hardening parameter....................................299
Hardening regimes ........................................327
Hardening residual stress state ...................191
Hardening rule .............................................. 299
Hard layer, optimal depth, and maximum
compressive surface stresses .......... 315(F)
Hardness
and bending fatigue strength in low-strength
steel ................................................. 40(F)
of carburized-and-hardened steels .... 437(F)
carburized and induction-hardened steel
cylinder ................................ 203, 205(F)
Hard shot peening
austenite transformation in carburized
steels ..................................... 448(F), 449
of carburized steels ..................... 451-152(F)
Harmonic analysis method ..............334-335(F)
Hatched temperature range, after induction
hardening .................................. 240-241(F)
Head-hardening, of rail steel.................. 428(F)
HEARTS (HEAt tReaTment Simulation
computer program) ... 202,288 -289(F),
290-294(F), 296, 301-304(F), 306(F),
308
Heat-affected zone (HAZ)
and crack propagation rates................. 35(F)
of induction-hardened and carburized steel
cylinder .................. 204, 205(F), 206(F)
induction hardening and residual stresses
distribution ....................................... 245
and shrinkage due to temperature
Heat capacity ........................................3-4, 288
Heat conduction ............................................ 288
Heat-conduction analysis.......................303-304
Heat-conduction equation.................... 284-285,
297-298
finite element formula of...........................376
Heat conductivity
Index/477
of aluminum alloy ................................ 378(T)
differential equation of................................ 312
Heat-flow analysis, for solidification
modeling, benefits listed ................... 363(F)
Heat flux .................. 267, 288, 376, 377, 378(F)
in rail steel ..................................... 425-426(F)
Heating factor ................................................. 322
Heat-resistant and superhigh-speed steels
containing 5-12% Co and 2-6.5% V
composition ........................................... 406(T)
designation .............................................406(T)
hardness ................................................. 406(T)
Weq ........................................................406(T)
Heat transfer, boundary conditions on outer
surface......................................................285
Heat-transfer coefficient ..264, 323, 375, 377,
378(F)
aluminum alloy pipe centrifugal casting
380-382
in casting ....................................... 365, 366(F)
definition .....................................................265
determination of.............................................23
estimation techniques ...............267-268, 269,
271(F), 274(F)
nickel-chromium alloy pipe centrifugal
casting ............ 380, 382, 383(F), 384(F)
of quenching media, and carburizing .... 445
quenching of carbon steel disk and cylinder
computer simulation ..................... 289(F)
and quenching process modeling ............... 319
Heat-transfer-coefficient curve..........................23
Heat-transfer intensification............................ 312
Heat transfer rates ...............................257,259(T)
Heat treatment .................................................109
as cause of residual stress...............................12
distortion caused by procedure.......... 165-166,
168(F), 169-'172(F,T), 173(F)
distortion of component shapes .........................
159-161 (F,T), 162(F,T), 163(F), 164(F)
and distortion potential................................183
effect on residual stress
distribution .. 194-196, 197(F), 198(F),
199(F)
effect on residual stress of plasma-sprayed
coatings ............................................16(F)
to eliminate residual stresses ...................... 144
media influences on distortion .............. 171(T)
modeling of transformation and stress
evolution processes ............................. 202
in powder metallurgy processing ......... 397(F)
of powder metallurgy steel
parts .......................................417-418(F)
of sintered P/M steel
components .......................406-408(F,T)
variant A......... 331, 332(F), 337(F,T), 342(T)
variant B ...331,332(F), 337(F,T), 338(F,T),
339, 342(F,T), 343(F), 351 (T)
variant C............ 331, 332(F), 337(T), 342(F),
343(F)
variant D........ 331, 332(F), 337(F), 338(F,T),
339-340, 341 (F,T), 342(F,T), 343(F)
variant E........ 331,332(F), 341(T), 342(F,T),
343
variant F ............. 331,332(F), 342(F), 343(F)
variant G .. .331,332(F), 338(F,T), 339-340,
341 ,(F,T) 342(F,T), 343(F)
variant H .. 331, 332(F), 339, 340(F) 341 (T),
342(T)
478 / Index
Heat treatment (continued)
variant ri................. 331, 332(F), 341(T), 342(T)
variant K........................331, 332(F), 339, 341 (T)
variant L .................................................... 331, 332(F)
variant M ...................... 331, 332(F), 339, 341 (T)
variant I ............................................................... 339(F)
variant II ................................................339(F), 340(F)
variant III ..............................................339(F), 340(F)
variant IV................................................339(F), 340(F)
variant V................................................. 339(F), 340(F)
HEAt tReaTment Simulation program
(HEARTS)...............................202, 288-289(F),
290-294(F), 296, 301-304(F),
306(F), 308
Helical springs, shot peening effect on fatigue
life ......................................................................20(T)
Helium, as quenchant .................................. 261, 265(F)
Hertzian pressure, and microcrack initiation
in steels ................................................................... 29
Hertzian pressure formation ....................... 151, 153(F)
Hertz’s compression............................................... 346(F)
Heteromodulus materials ..............................................129
Hexagonal close-packed (hep) materials,
residual stresses ................................................... 333
High-alloy austenitic steels, stress-corrosion
cracking................................................................... 80
High-alloy steels
cryogenic cooling .................................................... 331
delayed failure .......................................................78-79
quenching temperature effect on mold hole
distortion ..................................................171 (T)
High-alloy tool steels. See also High-speed
steels.
cryogenic cooling .... 339, 340(F), 341(F,T),
342(F,T), 343(F)
dimensional stability.......................... 343(F)
dislocation density ............................................ 343(F)
retained austenite .................................... 343(F), 344
High-carbon alloy steels, hardening steel­
quenching method, arbitrarily
hard matrix ...........................................................327
High-carbon low-alloy steels, quenching
temperature effect on mold
hole distortion ...............................................171 (T)
High-carbon steel
dimensional variation with time ............................257,
259(T)
quenching temperature effect on mold hole
distortion ..................................................171 (T)
High cycle fatigue............................................................ 16
carburized steels........................................................ 196
of high-strength steels ................................................46
High-energy-rate compaction ......................................402
High-frequency quenching............................................169
High-pressure consolidation, at ambient
temperature........................................................... 402
High-pressure gas quenching .... 172- 174(F)
High-speed gear wheel, distortion of ......................... 166.
169(F)
High-speed steels. See also High-alloy tool
steels.
cryogenic cooling ................................... 331,332(F)
cryogenic cooling effect on
microstresses............................................. 336(F)
cryogenic cooling twice repeated.......................... 339,
340(F)
cryogenic heat treatment and dimensional
stability ...................................................338(F,T)
distortion after straightening.............. 156(F)
durability .......................................343-344(F)
flocculation not observed ........................... 73
heat treatment variants ............ 331, 332(F)
inclusion control in P/M processing ........405
microstress evaluation and calculation .. 334,
335(F)
retained austenite decomposition at 823 to
973 K ................................. 337-339(F,T)
High-strength materials, thermal
fundamentals of making ...............327-328
High-strength spring steel,
crack initiation.........................................34
High-strength steels
delayed fracture ........................74(F), 76-77
effective stress intensity factor range .. 48(F)
Haigh diagram model of residual stress
sensitivity influence........................44(F)
local fatigue strength ........................46-47(F)
macro residual stress effect.........................27
macro residual stress effect on fatigue
strength .................................... 50-51(F)
S-N curves and residual stress
effect .......................38-39(F), 42-43(F)
stress-corrosion cracking..................79-82(F)
High-strength structural steel, crack
propagation......................................... 35(F)
High-temperature sintering .........................399
High-temperature thermo-mechanical
processing ................................................81
High-velocity oxygen fuel (HVOF),
mechanical, thermal, or structural origins
of residual stress .................................13(T)
Hob, distortion of................................... 170-171
Hoganas reduction process .......................... 399
Hole-drilling strain gage, to measure residual
stresses in coatings.................................118
Hole-drilling strain-gage technique, to
calculate elastic-viscoplastic
stresses ............................. 377, 378, 381(F)
Hole-drilling technique ....99, 100, 110-111,
144
applied to rail steel.....................................430
for evaluating brazed joint of steel and
cemented carbide ............................. 395
for measuring residual stresses .. 122-124(T)
Holographic interferometry . . .130, 131, 133,
136
Holographic speckle-interferometry............ 132
Homologous annealing temperature .... 55(F)
Hooke’s law ................ 202, 298, 333, 334, 373
Hooke’s law of elasticity ...............................113
Hoop stress .....................91, 92(F), 96(F), 97(F)
residual stress distribution in radial direction
at t = 8.32 s using a plane-strain
assumption .................................. 368(F)
residual stress variation in the axial direction
at t = 8.3202 s with a traction-free top
surface ......................................... 368(F)
thermal stress history with a plane-strain
assumption .................................. 368(F)
thermal stress history with a traction-free top
surface ......................................... 369(F)
Hot consolidation .......................................... 414
Hot die pressing, in powder metallurgy
processing ........................................ 397(F)
Hot extrusion ..........................................404,410
Hot isostatic compaction ..................408-409(F)
Hot isostatic pressing (HIP) ... 399, 402, 404,
408-409(F), 417
in powder metallurgy processing ......... 397(F)
Hot oil jig quench............................................ 453
Hot oil quenching ........................... 257, 449, 453
Hot pressing.....................................399, 417, 420
P/M parts........................................ 408-409(F)
Hot pressureless sintering, in powder
metallurgy processing ...................... 397(F)
Hot-rolled steels, and distortion...................... 168
Hot rolling.......................................................... 90
and distortion .................. 153, 155(F), 156(T)
in powder metallurgy processing ......... 397(F)
Hot spraying, in powder metallurgy
processing ......................................... 397(F)
Hull plate steel, residual stress
investigations ..........................................136
Hydro Aluminum ............................................. 11
Hydrogen
alloying element effect on crack growth . .80
atomic......................................................78, 81
desorbent amount over the period
of holding ............................................. 77
diffusive-mobile ...................................... 78,79
diffusive-mobile source in quenched steel
structure ................................................77
influence on crack propagation .................... 71
ionized ...........................................................78
lattice solubility ............................................ 77
as quenchant ..................................261, 265(F)
solubility in steel .......................................... 71
states in steel............................................ 71-72
Hydrogenation...............................................74(F)
Hydrogen corrosion .......................................... 72
Hydrogen diffusion, in iron, pure
annealing ............................................. 71(F)
Hydrogen embrittlement ..................70, 100, 256
alloying effect on steels .......................... 82-84
alloying elements influence......................76(T)
aspects of theory ........................................... 72
carbide-forming elements effects ............82-83
carbide-non-forming elements ..................... 83
external ..........................................................75
ferrite-pear lite steels .................................... 72
and hydrogen-induced corrosion
cracking................................................. 79
impurities effects .......................................... 83
impurity elements effects on steels ... .82-84
internal........................................................... 75
martensitic steels ...........................................72
mild steels ..................................................... 83
types of ..........................................................72
Hydrogen furnace atmosphere,
composition .......................................404(T)
Hydrogen-induced corrosion cracking
(HISCC) ....................................................79
main gas-pipe line steels ...............................82
Hydrogen-induced stress cracking ................. 110
Hydrogen solubility
in iron........................................................ 70(F)
in steel ........................................................... 70
Hydrogen stress cracking ................................. 83
Hydrogen sulfide, effect on stress-corrosion
cracking of steels.......................................81
Hydrogen-sulfide cracking................................ 83
Hydrogen traps.................................................. 71
Hydrostatic pressure

effect on transformation kinetics ... 249, 250, dual-frequency of gear wheels ............................. 226,
251(F) 227(F), 228(F)
maximum....................................................... 17 dual-frequency, tangential residual
mean ..............................................................17 stresses ...................................................... 238(F)
Hydrostatic stresses ... 6, 379, 380(F), 381(F) dual-frequency temperature
Hydro-sulfide ...................................................70 distributions ................. 227, 228(F), 229(F)
Hypereutectoid tool steels, electromagnetic analysis ........................ 226, 227(F)
distortion of .....................................171-172 electrothermomechanical model .............................226
Hypoeutectoid 0.43% carbon steel, induction and finish grinding ..................................224-246(F)
hardening-temperature cycle flame hardening ........................................................220
variations ........................................... 223(F) gear wheel, computer simulation .......................... 296,
Hypoeutectoid steel 306(F), 307-309(F)
distortion of..........................................168, 171 generator frequency.................................222(F), 223
hot rolling and air cooling ................. 89, 91(F) grinding...................................................................... 220
Hysteresis loops ............................................... 32 hardness of surface, roller specimen ... .239(F)
homogeneous austenitization
temperature......................................................227
induction heat treatment...........................................221
I Langeot’s method of mathematical modeling
with quenching ......................................... 225(F)
machine parts ............................................................ 220
I-DEAS computer program ......................... 304 magnetic field relation to thermomechanical
Immersion cooling ............. 258, 260(F), 261(F) state of workpiece material .................... 226(F)
Immersion quenching, after induction martensite distribution and hardness 240(F)
hardening ................................................ 232 martensite volume-fraction
Immersion time quench ................................456 distribution ................................................ 231(F)
Impact bending fatigue test, fatigue limit and mass of specimen effect on heating
life of carburized notched bar .................450 time................................................. 224-225(F)
Impact strength, of carburized-and-hardened materials used............................................................ 220
gears........................................... 441,442(F) metallothermomechanical analysis ...................... 226,
Impregnation resins ...................................... 406 227(F)
Inclusions, crack initiation in steels .................29 metallothermomechanical model ............................226
Incremental hole-drilling method .......... 11, 12, numerical calculation flow chart .......................... 226,
13(F), 18 227(F)
Incremental isotropy .................................... 374 parameters of system ............................................... 222
Incubation period power/frequency regions of heat treatment
of crack growth in steels .................. 74, 75, 77 applications ................................................221(F)
of hydrogen embrittlement......................74, 75
and quenching ...................................................227,228
Indicator crack method ..........128-132(F), 134
quenching systems ..................................231-232(F)
Induction, mechanical, thermal, or structural
quenching temperature
origins of residual stress ......................13(T)
distributions ....................................... 230-231(F)
Induction-hardened steels,
of ring computer simulation .... 296, 303(F),
contact fatigue ........................................ 198
304(F), 305-307(F)
Induction hardening ........................220-247(F),
407-408 scan hardening......................................................241(F)
advantages over other procedures .............. 220, scanning .....................................................................220
221-222 shape distortion........................................ 238-239(F)
applications .................................................. 220 shot hardening ..........................................................241
to attain compressive residual stress .......... 437 single-frequency, distortion....................238-239(F)
austenization and residual stresses .... 245(F) single-frequency, gear tooth hardness
carbon content limits ............................. 256(T) profiles ...................................................... 229(F)
of carburized steel cylinder single-frequency, gear wheels .. 226, 227(F),
model ..............203-204, 205(F), 206(F) 228(F), 229(F)
case depths ................................................... 220 single-frequency, martensite volume
case hardnesses ............................................ 220 fractions simulated................... 228(F), 229(F)
characteristics.................................221 -222(F) single-frequency, tangential residual
compressive stresses ..................... 232-233(F) stresses....................................................... 238(F)
contour hardening........................................241 single-frequency, temperature
current frequencies...................................... 223 distributions ................. 227, 228(F), 229(F)
dual-frequency................. 226, 227(F), 228(F) single-shot .... 220, 222, 223, 225(F), 233(F)
dual-frequency distortion ..............238-239(F) single-shot, time-temperature variations at
dual-frequency gear tooth hardness various high-frequency
profiles .......................................... 229(F) generation ......................................240-241(F)
dual-frequency gear wheel computer techniques for machine parts .................................. 220
simulation .... 296, 306(F), 307-309(F) temperature cycle variations of surface and
dual-frequency martensite volume fractions core considering enthalpy of phase
simulated .......................... 228(F), 229(F) transformations ............................. 223, 224(F)
Index/479
temperature distributions during cooling
process ..................................230-231(F)
time/temperature dependence ...222-231(F)
time/temperature variations in scan
hardening at various speeds and HF
generation power .........................241(F)
time variation of residual stresses in a
material ............................232-242(F,T)
time variation of stresses in
a material .......................... 232-242(F,T)
tooth-by-tooth...............................253, 256(F)
tooth gap hardening.................................. 241
volume changes after ................................222
volume changes and distortion,
gear teeth ..................................... 242(F)
water jet quenching .....................241,242(F)
Induction heating—surface quenching,
deformation tendency...................... 170(T)
Industrial heat treatment temperature,
cryogenic cooling influence
on steels .................................................. 336
Inelastic strain rate...................... 202, 302, 373
Infiltration...................................................... 405
in powder metallurgy processing ...... 397(F)
Infinite cylinder ...................................... 323(T)
Infinite plate, thickness of 2R, Kondratiev
form factor, K ................................... 323(T)
Inhomogeneous diffusion equation.............. 217
Inhomogeneous microstresses,
in coatings ..............................................118
Inhomogeneous residual stress fields,
determination methods .......... 125-137(F)
Initial incompatible strain ............................125
Initial method................................................. 377
Initial strain.................................................... 125
Initial yield stress, of aluminum
alloy ................................................... 378(T)
Injection molding .................................. 400-401
Inspection plan, for quality assurance .........13,
14(F)
Institute for Strength Problems/Engineering
Thermophysics Institute, National
Academy of Sciences of Ukraine,
software flow chart...........................313(F)
Insulation, nonuniformity as cause of
distortion ................................................184
Integral equation kernel................................126
Intensive cooling . . . . 312, 316, 317, 319(F), 320
advantages.................................................. 317
effect on distortion of quenched
parts ............................................323-324
Intensive jet cooling .............................. 327, 328
Intensive quenching ......................................282
Interaction energies ...................................8 , 7 1
Interatomic bonds, stress-corrosion cracking
role ............................................................80
Interfacial wetting, kinematics..................... 258
Interference fringe .. 120, 135-136(F), 137(F)
patterns ..........................................119-120(F)
Interferencial-optical methods .................... 132
Interferometer ...............................................135
high sensitivity moiré ..................................12
Interferometry............................... 110, 119, 120
Intergranular effects .....................................260
Intergranular fatigue crack initiation . ... 197
Intergranular fracture...................................196
480 / Index
Intermediate file format................................304
Intermetallic materials ........................... 25, 400
Internal cracking ............................. 193,196(F)
Internal deflection method of shot
peening ............................................. 348(F)
Internet Web site ...........................................100
Interplanar spacing ......................... 333,334(F)
nonhomogeneity degree ..............................334
Interrupted quenching.......................... 280-281
definition ..................................................... 280
Intracoating spallation.................................. 118
Invariant-plane strain (IPS) ................4, 5(T), 6
and bainite growth ....................................... 7-8
Inverse heat conduction problem
solution....................................................268
Inverse residual stress problem............125-126
Inverse solution ...............................................91
Inverters ........................................................ 221
Inv-Probe-2D computer program ..............268,
289(F)
Ion implantation, deformation
tendency .............................................170(T)
Ion implantation enhanced vapor phase
deposition, deformation
tendency .............................................170(T)
Iron. See also Pure Iron.
alloying addition effect on sintering .......... 402
composition requirements for powder forged
parts ............................................... 411(T)
nitrogen concentration....................216(F), 217
Iron-aluminum-carbon alloy, nihiding
residual stresses ...................................... 217
Iron-carbon-chromium-manganese steels,
delayed fracture ................................... 77(F)
Iron-carbon-chromium-manganese-silicon
steels
delayed fracture ........................................77(F)
stress-corrosion cracking.......................... 81(F)
Iron-carbon-chromium-nickel-manganese
steel, stress-corrosion cracking............ 81(F)
Iron-carbon-chromium-nickel-molybdenum
steel
manganese sulfides causing corrosion ............. 81
stress-corrosion cracking...............................81
Iron-carbon-chromium-silicon steel, delayed
fracture..................................................76(F)
Iron-carbon-manganese-nickel-molybdenum
steel, stress-corrosion cracking................. 81
Iron-carbon-manganese-silicon-nickel steel,
stress-corrosion cracking ......................... 81
Iron-carbon-manganese-silicon-nickel-
vanadium steel, stress-corrosion
cracking................................................ 82(F)
Iron-carbon-manganese-silicon steel, stress-
corrosion cracking ............................... 82(F)
Iron-carbon-manganese-silicon-vanadium-
niobium steel, stress-corrosion
cracking.......................................... 81-82(F)
Iron-carbon-manganese-silicon-vanadium
steel, stress-corrosion cracking .. 81 -82(F)
Iron-carbon-nickel-chromium-manganese-
silicon steel
delayed fracture ....................................... 76-77
stress-corrosion cracking.....................80-81(F)
stress-corrosion cracking in sodium chloride
solution ................................................. 80
Iron-carbon-nickel-chromium-molybdenum-
silicon steel, stress-corrosion
cracking.................................................................. 81
Iron-carbon-nickel-chromium-molybdenum
steel, stress-corrosion cracking............................ 81
Iron-carbon-nickel-chromium-molybdenum-
vanadium steel, stress-corrosion
cracking.................................................................. 81
Iron-chromium alloys, nitrogen
concentration.......................................216(F), 217
Iron-chromium-aluminum yttrium
coating...................................................................118
Iron-chromium-nickel-molybdenum-
aluminum-titanium steel, delayed
failure ................................................................78-79
I ron-copper steels, composition ............................ 407(T)
Iron-copper system, liquid-phase
sintering ................................................................416
Iron micropowders ........................................................ 400
Iron-nickel-cobalt-molybdenum-titanium
steel, delayed fracture ......................................77(F)
Iron-nickel-molybdenum-tungsten-titanium
steel, delayed fracture ..................................... 77-78
I ron-nickel powder, P/M processing ..........................402
Iron-nickel steels, composition .............................. 407(T)
Iron-nickel-tungsten-molybdenum-titanium
steel, delayed fracture ................................ 77-78(F)
Iron nitrides.......................................................... 209, 216
Iron powder, production of........................................... 399
Isochronal lines.............................................................. 192
Isochronous curves, mechanical properties
dependencies on temperature ........................... 313,
314(F)
Isolines for temperature, for bearing ring
(317(F)
Isoparametric elements ................... .............364
ISO test methods
ISO 9950, cooling-curve
analysis ................................. 266-270(F)
Isothermal cooling in the air .......... .............328
Isothermal nitriding......................... .............170
Isothermal quenching
and distortion ................................. ....... 177(F)
tanks............................................... .............172
Isothermal transformation.............. 331,332(F)
Isothermal transformation (IT) diagrams.
See also Time-temperature transformation
diagrams.............. 248(F), 249, 250, 251(F)
Isotherm fields.................................. ....... 317(F)
of bearing ring ............................... ....... 317(F)
Isotherms, temperature distributions during
induction heating of gear teeth........230(F),
231(F)
Isotropic function theory................. .............298
Isotropic-hardening hypothesis .. 299(F), 301
Isotropic strain ................................ .............298
Iteration method .............................. .............268
J2-flow theory of von Mises............................431
Jakibatsuchi (Japanese clay
mixture) ..................... 307(F), 308(F), 309
Japanese Industrial Standard (JIS) steels.
See Steels, series and classes, JIS
numbers.
Japanese Industrial Standard (JIS) test
methods, JIS K 2242
cooling-curve analysis...........266-267, 271(F)
Japanese swords .....................................281-282
distortion ...............................308(F), 309-310
quenched, computer simulation of metallo-
thermo-mechanics.......... 96, 304, 307(F),
308(F), 309-310(F)
Japan Heat Treatment Society, Quench
Cracking Working Group .. 227, 285(F)
Jet cooling ...................................................... 314
Jet-hardening and fog-quenching
equipment ................................ 172, 174(F)
Jet shot peening, optimal peening
angle .................................................. 348(F)
./-intergal, resistance to crack growth ..............80
Johanssen method ................................... 106(F)
for destructive residual-stress
measurement.................................. 102(T)
modification of .................................... 108-109
Johnson-Mehl relation, modified ....288, 297
Joining ........................................... 391-396(F,T)
P/M components ..................................405-406
Jominy hardenability, influence on gear
stresses ..................... 441-442(FT), 443(F)
Joule heating effect........................................ 225
K
Kakuno criterion............................. .................17
Kernel .............................................. .............. 147
Kernels of integral operators . . . . ......126, 127
Keyslot, effect on hollow cylinder distortion
after quenching ........................ . 165, 166(F)
Kinematic hardening equations .............. 432
hypothesis .................................... .299-300(F)
Kinetic diagrams of cracking ... ........... 74(F)
Kinetics of transformations........... .................. 3
Kirkendall effects ........................... .............. 416
Koistinen-Marburger law, ............ ......201-202
Kolosov-MuskhelishvilPs relations
(potentials) ............................. .............. 132
Kondratiév form coefficient .......... .............. 315
Kondratiev form factor.................. . 322, 323(T)
analytical calculation of, functions
for ........................................ ........ 323(T)
Kondratiev number .........322, 323. 324(T) 328
1
Laboratory of Mechanical Systems
Engineering (LASMIS) ..........................22
design tool on fatigue ............................... 20,21
X stress singularity .......................................131
Lance method of shot peening ............... 348(F)
Lanthanum, alloying element effect on crack
growth .......................................................80
Lapping .......................................................... 278
Large-modulus gears, m = 10 to 14 mm
advantages...............................................327(T)

former steel and process ................................... 327(T)
new steel and process ........................................ 327(T)
Laser cladding three-dimensional
printing .................................................................413
Laser cutting................................................................... 109
Laser hardening.............................................................. 220
applications ............................................................... 220
Laser heat treatment, deformation
tendency ..........................................................170(T)
Laser shock treatment .....................................................25
mechanical, thermal, or structural origins of
residual stress .............................................. 13(T)
Laser shot peening .............................354-355, 357(F)
Laser sintering ............................................................... 413
Laser spraying, mechanical, thermal, or
structural origins of residual stress .. 13(T)
Latent heat due to solidification, of
aluminum alloy.............................................. 378(T)
Latent heat of transformation ...........................................3
Lathe turning ....................................................... 101,109
Lathe martensite ............................................................ 254
Lattice parameter, of first-order residual
stresses of metallic materials ....................... 335(T)
Lead
alloying element effect on crack growth . .80
as quenchant .............................................................261
error ...................................................................... 454(F)
Lean exothermic furnace atmosphere,
composition .................................................... 404(T)
Least-square method .......................................... 107, 108
Ledeburite....................................................................... 168
in induction-hardened and ground
microstructure ................................................ 245
Lehrer phase diagram ................................................... 209
Leidenfrost point, of quenching media
and carburizing ....................................................445
Leidenfrost Temperature,
definition ...................................................................258
Length of curved beam
symbol and units of................................................93(T)
Lever rule .............................................................376, 377
Life cycle simulation with residual stress
consideration.....................................................11-12
Lift height ........................................................................ 91
Linear absorption coefficient........................................121
Linear elastic fracture mechanics ...........................29, 30
Linear mixture rule ....................................................... 200
Linear shrinkage (LS) (isotropic) for molded
dimension to sintered part
dimension..............................................................419
Liquid carburizing ....................................... 190, 443(F)
Liquid flow velocity ........................ 271-273, 274(F),
275(F), 276(F), 277(F)
Liquid-phase sintering.........................................416, 417
Liquid tracer system, to inspect shot peening
coverage control ..................................................348
Liquidus temperature, of aluminum
alloy ............................................................... 378(T)
List image file format ................................................... 304
Loading, and distortion ............................. 255, 256(F),
Loading mean stresses, and residual stresses
compared .......................................................... 27-28
Loading methods, and distortion ...........................178(F),
179-182(F,T)
Loading pattern, and distortion .. 171(F), 172,
173(F)
Loading stresses, and residual stress
relaxation .................................................59
Local fatigue strength
and crack initiation .................................... 34
high-strength steels ...........................46-47(F)
medium-strength steels ......................... 47(F)
Locally effective fatigue strength, calculation
of ...............................................................45
Local quenching, deformation
tendency ........................................... 170(T)
Logarithmic creep law .............................. 63-64
Longitudinal compressive stresses, effect on
bending fatigue life in carburized
steels ......................................... 449, 450(F)
Longitudinal electricity modulus
material ................................................. 334
Longitudinal residual stresses..................93-94,
95(F), 146
of carburized-and-hardened steels . . . . 437(F)
of Japanese sword......................... 309-310(F)
of rail steel ....... 427(F), 428(F), 429-430(F),
431(F), 434(F)
Longitudinal stress in plate, formula for
calculating residual stress . . . . 95(F), 96(T)
Longitudinal stress in solid bar w'here r is
radius of bar, formula for calculating
residual stress ...........................95(F),96(T)
Longitudinal stress in thin-walled
tubing............................................. 94, 95(F)
formula for calculating residual
stress ..................................... 95(F),96(T)
Lorentz (L) distribution ............................... 334
modified method ....................................... 122
Low'-alloyed pipe steels, hydrogen
embrittlement resistance ........................76
Low-alloy high-strength steels, stress-
corrosion cracking ................................110
Low-alloy plasma-nitrided steels, residual
stress modeling ......................................216
Low-alloy steels
austempering............................................. 281
austenitizing......................................... 337(T)
carbonitriding ...................................... 191(F)
composition .......................................... 407(T)
crack growth shown by acoustic
emission ............................................... 75
cryogenic cooling .........................331, 337(T)
cyclic deformation behavior ...................... 28
metal-injection molding ........................... 412
modulus of elasticity ..............................96(T)
nitriding...................................................... 209
Poisson’s ratio ........................................96(T)
quenching ............................................ 337(T)
shear modulus ......................................... 96(T)
stress-corrosion cracking..................79-82(F)
stress relief and yield strength .. 251, 254(F)
tempering............................................. 337(T)
tempering effect on ultrasonic velocity . . 1 1 4
Vickers hardness ................................. 337(T)
Low-alloy structural steel, nitriding ... 210(F)
Low-angle diffraction methods ................... 439
Low-carbon ferritic steels, Barkhausen noise
analysis for stress measurement.......... 114
Low-carbon steel
delayed fracture .......................................... 74
nitriding................................................. 209(F)
Index / 481
quenching temperature effect on mold hole
distortion ....................................... 171 (T)
Low-cycle fatigue(LCF)
carburized steels........................................... 196
cyclic deformation behavior of shot peening
and deep rolling on plain carbon
steel ........................................... 31(F), 32
effect on bending fatigue strength of
medium strength steel .......................... 41
of high-strength steels ...................................46
Lower bainite ...................................250(T), 257
Low -strength steel
macro residual stress effect........................... 27
macro residual stress effect on fatigue
strength .......................................50-51(F)
S-N curves and residual stress
effect ....................... 36-37(F), 39-40(F)
LS-DYNA 3D (software program) ..............363
Lubrication, effect modeled for casting ... 364
Liiders bands ................................................... 28
Lumped-heat-capacity method (computer
program)................ 267, 268, 269, 271(F),
274(F), 279(F)
LUMP-PROB (computer program) ...........268,
289(F)
M
Machine driving system, and distortion ... 172
Machine parts, induction-hardened stress
profiles in the loaded state ... .242-243(F)
Machining ....................................................19, 99
and distortion ................................ 254, 256(F)
distortion caused by process.............. 165-166,
168(F), 169(F)
and distortion potential ............................... 183
effect on distortion of gears .......... 453, 454(F)
P/M parts..............................................405, 406
in powder metallurgy processing ......... 397(F)
Mackenzie and Bowles notation, for
deformation matrix describing shape
deformation ................................................. 8
Macroresidual stress ......................................... 45
and annealing ......................................54-55(F)
relaxation in notch root ............................33(F)
state ............................................................... 27
vs. fatigue strength....................................50(F)
Macroscopic residual stress ..12, 331, 332(F)
Macrosegregation, reduced by rapid
solidification ........................................... 400
Macrostresses (first-order residual stresses)
89, 143, 145, 215, 331, 332(F), 333-334,
335(T)
calculation of .............................................. 217
carburizing and carbonitriding ................... 189
in coatings....................................................118
definition .....................................................125
and hydrogen embrittlement..........................72
residual or tensile, in carburized steels .. 197
Magee’s rule, modified....................................288
MAGNA (computer program) ... 306(F), 308
Magnetic Barkhausen noise, .. 112,114-115
Magnetic domain temperature.................... 225(F)
Magnetic-flux concentrator............................. 222
Magnetic measurement methods ...................... 25
Magnetic methods .........................13, 14(F), 109
482 / Index
Magnetic permeability, and induction
heating .....................................................226
Magnetic transformation temperature .. 223,
225,226-227
Magnetomechanical acoustic emission
(MAE) .....................................................115
Magniflux inspection ...................................... 256
Mandrels, and quenching in a hardening
press........................................... 185-186(F)
Manganese
alloying effect on hydrogen embrittlement of
steel .......................................................83
alloying element effect on crack
growth ..............................................80,81
composition requirements for powder forged
parts ............................................... 411 (T)
effect on transition temperature ...............76(T)
and flocculation susceptibility of steels ... .73
increasing retained austenite in case-
hardening steels .................................. 447
for low-alloy P/M steel powders ................ 399
oxidation in carburizing atmosphere .......... 448
plasticity loss after hydrogenation............76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Manganese sulfides ......................................72,76
effect on hydrogen embrittlement
of steels .................................................83
effect on iron-carbon-chromium-nickel-
molybdenum steel................................. 81
Manson-Coffin relationship ..............................45
Manual on Shot Peening (1952) SAE
publication .............................................. 345
Maraging steels
crack growth mechanism in delayed
failure ...............................................78(F)
delayed fracture ....................................... 75,78
high-strength, delayed fracture of ........77
hydrogen states ............................................. 72
stress-corrosion cracking ..............................81
welding of...................................... 60-61(F)
MARC (software program) .... 202, 363- 364
Marquenching. See also
Martempering.................. 261-263, 266(T),
280-281, 287(F)
and distortion ........................... 176(T), 177(F)
modified ........................................ 281,287(F)
Martempering. See also
Marquenching..................261-263, 266(T),
280-281, 287(F), 417
Martensite .....................................................4(F)
atomic volume in ferrous alloys ............250(T)
contact fatigue effect .................................. 198
deformation systems associated with
transformations ..................................5(T)
formation, causing compressive residual
stresses.................................................150
formation during hardening processes .. 200,
201-202
hardening from grinding power...................150
in induction-hardened and carburized steel
cylinder .......... 203-204, 205(F), 206(F)
after induction hardening ...................... 240(F)
in schematic representation of relative
transformation of mild steel
plate ................................................. 91(F)
shape change ...........................................................5(T)
transformation affected by stress ..................... 297(F)
transformation-start temperature, stress
effects on ................................................... 6(F,T)
transformation through sinter-hardening
process ...........................................................408
volume fraction after induction
hardening ................................................... 228(F)
volume fraction after water quenching of
disk ............................................................ 289(F)
volume-fraction distribution after induction
hardening ................................................. 231 (F)
volume fraction in induction hardened gear
wheel.............................. 306(F), 307(F), 309
volume fraction in quenched Japanese
sword............................. 308(F), 309-310(F)
Martensite finish (M f) temperature ..251, 260,
263(F), 332, 333
Martensite formation, in bearing ring
hardening study....................................314-317(F,T)
Martensite start (Ms) temperature .............................. 248,
249, 250(F), 260, 263(F), 332
carbon and alloying element effects....................... 200
of carburized steels ...........................................191-192
and quench cracking ................... 279, 281, 286(F),
287(F)
and quenching in a hardening press ....................... 186
after induction hardening and grinding .. 245
Martensitic hardening ..................................................... 99
Martensitic steels
hydrogen embrittlement .............................................72
hydrogen states ........................................................... 72
residual stress vs. temperature ............................... 7(F)
Martensitic transformation.......................................314(F)
alloy steel.................................................. 332, 333(F)
mixed theory ............................................................. 332
stress theory............................................................... 332
thermal theory .......................................................... 332
tool steel ................................................... 332, 333(F)
total energy exchange ..............................................332
Martin’s process .............................................................. 70
Mass effect .....................................................................274
Material removal ...........................................................109
Maximum shearing.......................................................... 17
Maximum static pressure ...............................................21
MC carbides .......................................................... 404, 405
M 6 C carbides ......................................................... 404, 405
Mean stress...........................................................30(F),297
Mean stress sensitivity .............................................. 45-46
of medium-strength steel .......................................... 51
Measured deflection, symbol and units
of ........................................................................93(T)
Measurement
destructive procedures ........................... 101-110(F,T)
destructive residual-stress
procedures.................................................. 102(T)
elastic strain............................................................... 101
generic destructive stress-relief
procedure ........................................................101
indentation methods ...................................................Ill
isolation of gaged element....................................... 101
material-removal methods .......................................109
nature of residual stresses.............................. 99(F), 100
need for ......................................................................100
nondestructive procedures ...............................111-115
post-stress relaxation ............................................... 101
of residual stress ..........................................438-439(F)
sectioning.................................................... 109
semidestructive procedures ............. 110, 111
spot annealing ............................................. Ill
strain-measurement methods ...........109-110
strain-measurement technique................ 101
stress-field condition
assumptions ...................... 101-109(F,T)
Mechanical alloying ................400, 414(F), 419
Mechanical alloying of Japanese sword
steel .........................................................309
Mechanical chip-removal processes ............109
and isolation of gaged element.................101
Mechanical deflection ...................................124
to measure residual stresses
in coatings.......................................... 118
Mechanical driving force..........................6(F,T)
limits affected by temperature................ 6(F)
Mechanical gages, for strain
measurements.............................. 1 0 9 , 1 1 0
Mechanical-gaging technique ......................102
Mechanical strength of material, residual
stress effect................................. 14-16(F,T)
Mechanical stresses........................................332
Mechanical twinning ........................................ 4
characteristics........................................... 5(T)
shape change............................................. 5(T)
Mechanisms of transformations ......................3
Medium-carbon low-alloy steel, quenching
temperature effect on mold
hole distortion .................................. 171(T)
Medium-carbon steels
quenching temperature effect on mold hole
distortion .................................... (171(T)
residual stresses due to milling ......... (109(F)
tempering ..................................... 284, 287(F)
Medium-strength steels
bending fatigue limit ...................................50
bending fatigue strength vs. residual
stress ............................................... 43(F)
crack propagation ............................ 48-49(F)
Haigh diagram model of residual stress
influence ....................................44-45(F)
local fatigue strength ............................. 47(F)
macro residual stress effect on fatigue
strength .....................................50-51 (F)
relaxed residual stress sensitivity and mean
stress sensitivity of bending fatigue
strength ...........................................45(F)
S-N curves and residual stress
effect .......................37-38(F), 40-42(F)
Melting, and distortion potential ................ 183
Melting temperature (rm) .................... 54, 367
Melt penetration ............................................416
Melt pressure, in casting...................368-369(F)
Mesnager-Sachs boring-out technique . . . 102
for destructive residual-stress
measurement ............................... 102(T)
Metal infiltration, residual stresses.............. 419
Me tal-injection molding (MIM) . . . . 399, 400,
412(F)
residual stresses .........................................419
Metallic cementation, deformation
tendency ........................................... 170(T)
Metallic mold casting ....................................167
Metallothermomechanical
theory........................................ 284-288(F)
Metallo-thermo-mechanics

application to quenching ................ 296-310(F)
parameters in schematic diagram ......... 296(F)
Metal-matrix composites ......................11, 12, 25
Metal-oxide semiconductors............................118
Metal powder production, in powder
metallurgy processing ....................... 397(F)
Metal welding.................................................... 70
Metastable alloys............................................. 400
Michelson interferometer ................................135
Microalloying, to preserve fine-grain
austenite ..................................................325
Microcarbides ................................................. 339
Microcracking ...................................... 32, 33, 70
of carburized steels ..............................196-197
of gas main pipes .......................................... 82
in low-strength
steels .....................................................41
in maraging steels.......................................... 75
propagation in medium-strength
steels ................................................41-42
in steel ...........................................................71
Microcreep .................................................. 59, 60
Microdefects, and cryogenic treatment .. 447
Micro distortion quenching............................. 171
Microextrusion, and cryogenic
treatment .................................................447
Microhammering ..................................... 325-326
Microlamination ..............................................419
Micronotches, crack initiation enhanced by
shotpeening ...............................................34
Micro plastic strains (ep) ...................................54
Micropores, hydrogen accumulation
in steel .......................................................72
Micro-quasi-chips.............................................. 73
Micro residual stress
cyclic deformation ...................................67-68
uniaxial deformation for relaxation...............63
Micro residual stress state .......................... 27, 55
Microsegregation
of prealloyed powder ..................................402
reduced by rapid solidification ................... 400
Microstrains ............ 112, 331, 332(F), 335-336
Microstresses (second-order residual
stresses) ...........77, 89, 112, 114, 125, 143,
331, 332(F), 334
in coatings....................................................118
definition .....................................................125
and hydrogen embrittlement..........................72
residual ..........................................................19
of steels, cryogenic cooling
influences....................................... 336(F)
Microstructural evolution
analysis............................................ 303-304
Microstructure
influence on residual stress and carburized
steel strength ........ 446-449(F,T) 450(F)
interaction with time, temperature and
deformation ....................................... 3(F)
of powder metallurgy processed
steels ............................................419-420
transformations ................................... 3-6(F,T)
Microstylus profilometry.............................. 119
Microstylus traces .................................... 120(F)
Microvoids ..................................................... 339
Mikus diagram ........................................ 337(F)
Milam system ......................................... 351-352
Mild steels
cold drawing .................. 147(F), 148-149(T)
hydrogen embrittlement...............................83
Military specifications, MIL-S-13165
shot peening ...............................................345
Miller indices ........................................... 334(F)
Miller indices of the diffraction planes hkl,
of first-order residual stresses of metallic
materials ............................................ 335(T)
Milling................ 55, 57(F), 1 0 1 , 1 0 9 , 150-151,
152(F), 414
and distortion ............................................ 152
and distortion potential ............................183
down-cut............................... 150-151, 152(F)
effect on fatigue behavior of high-strength
steels .....................................................43
face-milling ..........................150-151, 152(F)
with grinding, S-N curves and residual
stresses effect ................37-38(F), 39(F)
and local fatigue strength .......................... 47
mechanical, thermal, or structural origins of
residual stress ................................ 13(T)
and P/M processing ........................... 400,414
residual stresses effect on S-N
curves ....................................... 36-37(F)
residual stresses in medium-carbon
steels ..............................................109(F)
up-cut .....................................150-151, 152(F)
Mineral oils, for quenching .................. 319-320
Mises criteria ...................................... 6 , 1 7 , 155
von Mises equivalent stress...........................374
Mises-type yield function.............................. 288
von Mises flow' criterion ................... 6, 17, 155
von Mises J2-flow' theory .............................431
von Mises yield function ............... 299, 301, 302
Mixing, in powder metallurgy
processing ........................................ 397(F)
Mixture rule ...................................................284
Mixture theory .............................................. 379
MJS. See Multiphase jet solidification.
Mode I crack, crack propagation rate ..........36
Modeling.Sce also Computer simulation,
Finite-element method............................ 25
residual stress field........................199-206(F)
Modified Bessel functions of the
first type .................................................132
Modified Lorentzian method .......................122
Modified Struve functions ............................132
Moire interferometry ......................................12
Mold shrinkage factor .................................. 419
Molten metal quenching................261, 271, 275
Molten-salt baths. See also Salt-bath
quenching.
as quenchant ...................................... 261-262
Molybdenum
alloying effect on grain-boundary
oxidation.............................................449
alloying effect on P/M structure
steels ...................................... 406-407(T)
alloying element effect on crack growth . .80
effect on sintering of stainless steels ........404
effect on transition temperature .......... 76(T)
and flocculation susceptibility of steels . . . . 7 3
for low-alloy P/M steel powders ..............399
plasticity loss after hydrogenation .......76(T)
resistance to hydrogen embrittlement ..76(T)
time up to fracture ................................ 76(T)
work of propagation of a ductile
crack ............................................... 76(T)
Index / 483
Molybdenum carbides, in high-speed steels
after cryogenic cooling . .340-341(F), 343
Molybdenum (max), composition
requirements for powder forged
parts ....................................................411(T)
Molybdenum nitrides ................................... 209
Moment of inertia ......................................91-92
symbol and units of.................................. 93(T)
Moore and Evans method ............................ 105
for destructive residual-stress
measurement ................................. 102(T)
Mosaic blocks.................... 71, 342(F), 343, 344
Multiangle technique..................................... 112
Multimaterials .................................................11
inducing residual stress .................................24
Multiphase jet solidification (MJS) .............413
Multiple-motion die-set process ..................401
Multiroll straightening ............................146(F)
Mushy zone ..............................362, 375, 376(F)
centrifugal casting................. 379, 382, 383(F)
cooling water discharge effect .. 379, 381(F)
Muskhelishvili equation of the elastic
theory......................................................132
N
NACTRAN software program .................................... 127
Nanocrystalline materials .............................................400
National Center for Manufacturing Sciences
(NCMS) ............................................................... 202
Navy C-ring test.................................................91, 94(F)
Near-net-shape components .........................................404
Néel temperature ............................................................... 3
Net opening (#) ................................................................95
Net opening deflection method............ 95-96(F),
97(F)
Net opening displacement, simulation of
residual stress effects.........................96(F), 97(F)
Net-shape powder compaction .................................... 415
Net-shape products ...................................... 398-399, 418
Neutron bombardment, for inducing residual
stress relaxation .....................................................54
Neutron diffraction (ND).................... 11, 12, 109, 144
to evaluate brazed joint of steel and tungsten
carbide-carbon cemented
carbide ................................................395-396(F)
to evaluate residual stresses after
grinding.......................................................151(F)
to evaluate residual stresses in P/M
processing ....................................................... 413
to evaluate steel/tungsten carbide-cobalt
brazed compounds ................................... 395(F)
to measure actual crystal
dimension ....................................... 111-112, 113
to study rail steel residual stresses..........................431
Neutron radiation method ............................................ 438
Neutron scattering method .......................................... 431
Neutron stress analysis, brazed metallic
components and ceramic-metal
joints .............................................................. 395,396
Newtonian wetting....................................... 259, 263(F)
Newton-Raphson method ........................131, 288, 377
New ton’s iteration method...........................................304
Newton’s law' of heat transfer...................................... 200
484 / Index
Nickel
alloying effect on grain-boundary
oxidation.......................................................... 449
alloying effect on hydrogen embrittlement of
steel ....................................................................83
alloying effect on P/M structural
steels .............................................. 406-407(T)
alloying element effect on crack growth . .80
effect on transition temperature............................76(T)
first-order residual stress parameters 335(T)
increasing retained austenite in case-
hardening steels ..............................................447
for low-alloy P/M steel powders ............................ 399
plasticity loss after hydrogenation ...................... 76(T)
quenching, surface oxidation effect ...................... 273,
277(F)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture .................................................76(T)
work of propagation of a ductile
crack .............................................................76(T)
Nickel-base superalloys, specific types
Inconel 600, as ISO probe for computer
simulation ................................................. 289(F)
Inconel 600, as quench temperature
probe .................................... 266, 267, 270(F)
Inconel 718, lasershot peening .. 355, 357(F)
Inconel 718, shot peening ........................ 355, 357(F)
Inconel 718, shot-peened gas turbine
components and distortion............................. 156
Inconel 718, turning .................................. 151, 153(F)
Nickel-chromium alloy
case-hardening.................................................... 438(F)
centrifugal casting of pipe .......................... 380, 382,
383(F), 384(F)
Nickel-chromium-aluminum yttrium
coating................................................................... 118
Nickel-chromium steel
aging effect on carburized steel .............................449,
450(F)
repeated stressing effect in carburized
steel .................................................. 450, 452(F)
for ring, induction hardened and carburized
quenched .... 303(F), 304(F), 305-307(F)
Nickel-containing steels
tight scale formation ............................... 255, 258(F)
Nickel (max), composition requirements for
powder forged parts........................................411(T)
Nickel plating....................................................................12
Nickel steels
composition ....................................................... 407(T)
Niobium
alloying effect in steels dispersion
hardening ........................................................ 325
alloying element effect on crack growth . .80
critical amount in steel for affecting
recrystallization and energy of
activation .........................................................325
effect on transition temperature........................... 76(T)
plasticity loss after hydrogenation ...................... 76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture .................................................76(T)
work of propagation of a ductile crack
76(T)
Niobium nitride (NbN) ................................. 209
effect on transition temperature .......... 76(T)
plasticity loss after hydrogenation .......76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture ................................ 76(T)
work of propagation of a ductile
crack ................................................76(T)
Nitrate solutions
and stress-corrosion cracking.................... 79
Nitriding ..................................... 12,209-219,407
alloy steels .................................................. 212
Armcoiron ................................................. 212
and carburizing, compared...................... 209
C45 steel .....................................................212
chromium-alloyed steels ...........................216
chromium-manganese steels ....................212
chromium-molybdenum steels ................ 212
chromium-molybdenum-vanadium
steels ............................................. 212(T)
compound layer residual
stresses................................211-213(F,T)
computer modeling ................. 211 -214(F,T)
deformation tendency.......................... 170(T)
diffusion layer of residual
stresses........................................ 213-214
and distortion of surface layer ................ 172
distortion tendency ..................... 179, 181(F)
EN 19 steel...................................................216
gaseous nitriding in NH3-N2-H2
mixtures ....................................... 209(F)
gaseous nitrocarburizing .................... 215(F)
heating device distances............................ 184
low-alloyed steels .......................................209
low-alloy structural steel .....................210(F)
low-carbon steel .................................. 209(F)
mechanical, thermal, or structural origins of
residual stress ................................ 13(T)
modeling of residual stresses . ...216-218(F)
nitrocarburizing (ferritic).......... 209-210(F),
211(F)
plain carbon steel ................................. 210(F)
plasma nitriding ... 210-211(F), 215(F), 216
plasma nitrocarburizing ... 210-211, 212(F),
215(F)
process temperature.................................. 209
residual stress influence on steel
fatigue.................................214-216(F,T)
salt bath nitrocarburizing..........210, 211(F),
215(F)
short time, deformation tendency ......170(T)
stainless steels ............................................211
steel .............................................214-216(F,T)
structure of nitrided layers......... 209-211 (F)
unalloyed steels.......................................... 209
Nitrocarburizing .................................... 407,408
and cyclic deformation behavior after deep
rolling ..............................................31(F)
deformation tendency.......................... 170(T)
and distortion of surface layer ................ 172
modeling of residual stresses . ...216-218(F)
Nitrocarburizing of austenite, deformation
tendency ........................................... 170(T)
Nitrocarburizing of ferrite ............209-210(F),
211(F)
deformation tendency.......................... 170(T)
Nitrogen
alloying effect on grain-boundary
oxidation 449
alloying element effect on crack growth . .80
as quenchant ................................ 261,265(F)
Nitrogen furnace atmosphere,
composition ...................................... 404(T)
Nitrogen/helium, as quenchant ...................... 261
Nodal point/element data file format............... 304
Nonhomogeneity degree, of interplanar
spacing.....................................................334
Non-isothermal phase transformations,
computation of............................ 200-202(F)
Nonmartensite phases.......................... 448-449(F)
and residual stresses ...................449(F),450(F)
at surface ..................................................... 446
Nonmeteallic impurities, ............effect on stress-
corrosion cracking ................................... 81
Nonmetallic stringers, and distortion ........... 255,
256, 258(T)
Nonnegative continuous weight
functioas ................................................. 127
Non-Newtonian wetting 259, 262(F), 263(F)
Nonuniform quenching.............................268,280
Normalization ......................................147(F),254
Normalized steel, crack initiation......................34
Normalized stress gradient ................................36
Normalizing ......................................................81
and distortion ................................. 154, 155(F)
before nitriding ........................................... 209
Norton’s creep equation ......................217, 374(F)
Norton’s law' ............................................. 60,374
Notch, quenching and distortion ... 253, 256(F)
Notching ........................................... 125-126,128
Notch line.........................................................126
Notch root residual stresses ......................... 32(F)
Nucleate-boiling (NB) stage............. 258, 260(F),
261(F), 269-271,312, 314
Nuclear magnetic resonance imaging
(NMR), to evaluate residual stresses in P/
M products.............................................. 413
Nuclear power plant reactor casing, residual
stresses in weld zone of bimetallic
material .............................................. 137(F)
Number of cycles at a crack length,
formula ..................................................... 34
Number of cycles to crack initiation, residual
stresses effect from mechanical surface
treatments ................................................. 34
Numerical analysis, formulation of ................ 376
Numerical analysis algorithm .........................377
Numerical analysis method incorporating
solidification............................................ 372
Numerical analysis method of
thermomechanical problems in casting
374-377(F)
Numerical inverse methods .....................268, 271
o
OBD. See Over ball diameter.
Octahedral shearing........................................ 17
Octahedral shearing plane .............................17
Oil cooling ......................................................315
Oil impregnation.................................... 405, 406
Oil quenching............263-264, 267(F), 268(F),
269, 272-273(F), 275, 277(F), 282(F),
316
of carburized testpieces and gears ........ 439,
440(F)
edge effect............... 273-274, 279(F), 280(F)
steering sector shaft...................... 454-455(F)

tanks.............................................................172
ultrahigh temperature ....................454, 455(F)
Oils. See Oil quenching.
(i2)-diffractometer ........................................... 121
One-angle technique (SET) ....................... 112(F)
One-phase convection heat transfer ...............312,
314
OOR. See Out-of-roundness.
Open-hearth process ..........................................70
Operator kernel
of Fredholm integral equation of the first
type ..................................................... 126
of Volterra integral equation ...................... 126
Optical gages......................................... 109, 110
Optical-geometrical methods, to measure
strains and displacements fields in area of
crack indicator ........................................ 130
Optical interferometry
methods .....................................134-136(F)
Optically sensitive coating method.................. 132
Optically sensitive coatings ............................ 133
ORE Committee ............................................. 431
ORE Report.............................................431(F)
Organic matrix composites ...............................12
Orikaeshi..........................................................309
Oscillating stress .............................................345
Oscillators .......................................................221
Ostergren damage parameter ............... 30-31, 45
Out-of-phase hardening .................................. 432
Out-of-roundness (OOR)............... 418(F), 454(F)
Over ball diameter (OBD) .................. 453,454(F)
Overheating, localized, and
distortion ......................................... 256-257
Overload-induced compressive residual
stresses ...................................................... 35
Overload ratio............................................... 35(F)
Overpeening effects ........................................347
Oxide-dispersion-strengthened iron-base
alloys....................................................... 414
Oxides, role in stress-corrosion cracking............81
Oxide scale ..255, 258(F), 273, 277(F), 278(F)
and quench cracking ................. 278(F),286(T)
Oxygen
alloying element effect on crack growth , .80
composition requirements for powder forged
parts ............................................... 411(T)
effect on gaseous nitrocarburizing .... 214(F)
Pack carburizing................ 189, 443(F), 444(F),
451(F)
carbon potential control ..............................444
and retained austenite content..................... 447
Parabola method............................................122
Parallelepiped, quenching and heating
computational and experimental
results ..................................... 321-323(F,T)
Paris equation .............................................29,30
describing crack propagation .................. 34-35
Partial damage, for inducing residual stress
relaxation .................................................. 54
Partially alloyed powder ........................ 400(F)
Patch test ........................................................369
Patel and Cohen’s method ............................... 8
Patenting.......................................................... 261
PA-TRAN computer program ........................ 304
PCD. See Pitch circle diameter.
Peak shift method......................................... 12-13
Pearlite .....................................................4(F),448
atomic volume in ferrous alloys ............ 250(T)
in carburized cases.......................................189
in schematic representation of relative
transformation of mild steel
plate ................................................. 91(F)
shape change...............................................5(T)
transformation to austenite, volumetric
change ........................................... 250(T)
volume fraction in quenched Japanese
sword....................... 308(F), 309-310(F)
volume fraction of ...................................... 297
Pearson VII method......................................... 122
Peen forming.............................. 151, 347, 348(F)
Peening, fatigue ................................................ 27
Peening-induced microstructural work­
hardening effect ......................... 62-63(F,T)
Peenscan process..................349-350(F), 351(F)
Peenstress (computer program) ................ 91,350,
352(F), 353(F)
Penetration depth ............................................121
Persistent slip bands (PSBs) .................. 28(F),29,
33-34
Perzyna’s constitutive model, modification
for semicontinuous casting .................... 377
Perzyna’s inelastic constitutive
equations..................................................372
Perzyna’s viscoplastic constitutive
relationship, modified ............................ 385
Perzyna’s viscoplastic model on excess stress
theory...........................................373-374(F)
temperature-dependent viscosity
variation ........................................ 374(F)
pH, effect on main gas-pipe line steels
corrosion.................................................... 82
Phase transformations
due to welding.................. 392-393(F), 394(F)
and fatigue .................................................... 27
finite-element method for modeling........... 296,
300, 301(F), 302, 303, 306(F), 307(F),
309
during heat treating .. 248-251 (F,T), 252(F),
253(F), 254(F)
material movements ............................ 251-252
volume changes .............................252, 254(F)
Phonons ...............................................................3
Phosphate solutions, and stress-corrosion
cracking..................................................... 79
Phosphorus
alloying addition effect on sintering .......... 402
alloying effect on hydrogen embrittlement of
steel ...................................................... 83
alloying element effect on crack growth . .80
effect on transition temperature ...............76(T)
plasticity loss after hydrogenation............ 76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Phosphorus (max), composition requirements
for powder forged parts .....................411(T)
Photoelastic coating method . .. 127, 128, 130,
131, 133-134(F), 135, 136(F), 137
Index/485
Photoelastic coatings ........................................ 91
thickness selection ....................................... 134
Photoelasticity, to evaluate residual stresses in
P/M products .......................................... 413
Photoelastic technique .................................... 110
Photographs, to measure surface wetting .... 269
Photometer parameter......................................334
Physical vapor deposition (PVD) .............25, 118,
119, 120, 121
coatings ................................................... 11, 12
deformation tendency............................. 170(T)
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
Pickel method...................................................106
Piecew'ise-homogeneous materials,
peculiarities in study of .............130(F), 131
Pinion shafts, distortion .....................255, 257(F)
Pinned dislocations ......................................66-67
Pinning .............................................................. 55
Pipe
weldment residual stresses..................... 100(T)
weldments .................................................... 102
Pipe steels, stress-corrosion cracking .............. 81
Pisarenko-Lebedev criterion . ..312, 317, 328
as failure criterion during hardening .......... 315
Piston ring, tempering and distortion .. 177(F),
178
Pitch circle diameter (PCD) .................... 308-309
Pitch error......................................453(F), 454(F)
Pitting ..............................................................215
Plain carbon steels
crack initiation............................................... 34
cryogenic cooling .......................................331
cyclic deformation behavior ..............28-29(F),
31(F), 32
modulus of elasticity ............................... 96(T)
nitriding...................................................210(F)
Poisson’s ratio ......................................... 96(T)
residual stress relaxation produced by
annealing ....................................54-55(F)
shear modulus .......................................... 96(T)
Plain carbon tool steels, cryogenic
cooling .................................................... 340
Plane-strain fracture toughness .... 74(F), 80
Plane-strain stress analysis, with von Mises
yield criterion for casting ....................... 366
Planing .............................................................150
PLASMA (plasma-nitriding computer
program, simulation) .............................. 216
Plasma carburizing.......................................... 189
Plasma cutting..................................................109
Plasma nitriding ... 210-211(F), 215(F), 216,
407
stainless steels ............................................. 211
Plasma-nitriding simulation program
(PLASMA) ............................................. 216
Plasma nitrocarburizing ... 210-211, 212(F),
215(F)
Plasma-sprayed coatings ............................. 11,25
Plasma spraying............................................ 16(F)
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
Plastic Ball Grid Array (PBGA)
package ......................................................12
Plastic compression, regime in simple slab
casting ............................................... 362(F)
486 / Index
Plastic deformation....................4-5(F,T), 19, 27
and cyclic softening ................................. 32(F)
nonhomo gene ous.......................................... 12
of rail steel .....................................431-432(F)
Plastic flow, nonhomogeneous .........................12
Plastic flow theory .......................................... 315
with kinematic strengthening.......................315
Plastic (inelastic) strain ...................................299
Plasticity ..............................................................3
Plasticity-creep interaction condition .... 302
Plasticity theory equations...............................312
Plasticizing ......................................................220
Plastic potential, of casting..............................365
Plastic potential theory ....................................300
Plastic strain rate .............202, 286, 299-300(F),
302, 312
Plastic stretching of immediate workpiece
surface................................................ 346(F)
Plastic tension, regime in simple slab
casting ............................................... 362(F)
Plastification ....................................................230
after induction hardening and grinding .. 245
of subsurface after induction hardening .... 239
Plate
carburized, residual stresses .... 439, 440(F),
441 (T)
destructive residual-stress measurement
procedures ..................................... 102(T)
flat, biaxial stresses measurement . .106-108
flat, residual stress measurement.................108
flat, shear stress measurement..................... 106
piece wise-homogeneous, residual stress
close to edges...................................... 129
quenching and heating computational and
experimental results........... 321-323(F,T)
residual-stress distributions .................. 107(F)
residual stress in inner regions,
determination of.....................128-129(F)
steel, plastically deformed, neutron
diffraction methods ............................ 113
stress profile from Peenstress
software......................................... 353(F)
thick, stress measurement............................ 106
through-thickness temperature
variation ................................ 223, 224(F)
welded, shot peening effect on residual
stress ..................................... 354, 356(F)
Plate weldments, stress measurement..............106
Plating, of P/M parts ....................................... 406
Plug quenching ...................... 257, 280, 281, 456
Poisson contraction ...........................................92
Poisson’s ratio .....................................................3
of aluminum alloy .................................. 378(T)
effect on residual stress development in
steels ..................................................3(T)
of first-order residual stresses of metallic
materials ....................................... 335(T)
symbol and units of...................................93(T)
Polarization curves, active-passive region of
potentials ...................................................79
Polishing ......................................................... 405
Polyakov rules for quenching .... 260, 264(F)
Polvalkylene glvcol (PAG), as
' quenchant ....264, 268(F), 276(F), 279(F),
283(F), 285(F,T)
Polyethyloxazoline ......................................... 264
Polymer additive ratio, effect on cooling rate
after induction hardening .................. 232(F)
Polymer quenchants, aqueous. See Aqueous
polymer quenchants; Aqueous polymer
quenching.
Polymers, aqueous solutions as quenchants.
See Aqueous polymer quenchants;
Aqueous polymer quenching.
Polysodium acrylate.......................................264
Polyvinylpyrrolidone .................................... 264
Pores (collectors)..............................................72
Porosity
in castings ....................................................370
of P/M parts ................................................ 406
Portable optical method for strain
measurement in destructive
techniques .................................................. 25
Position-sensitive proportional counter
(PSPC) method ............................... 439(F)
Position-sensitive proportional detector
(PSPD) ........................................... 439(F)
Positive-pole figure analysis ...........................439
Positron lifetime measurements ......................416
Post-processing file format..............................304
Postsintering, and metal-injection
molding ...................................................412
Powder forging ................................410-411(F,T)
cost, relative ........................................... 413(F)
Powder metallurgy iron,
composition ....................................... 407(T)
Powder-metallurgy (P/M) processing
advantages............................................397, 398
applications ..........................................397-398
automotive applications ..............................398
classes of components ................................401
compaction in rigid dies ................401-402(F)
dendrite arm spacing.............................. 400(F)
density distribu ti on ................................... 415
double-action tooling system............... 401-402
ferrous P/M parts ............................ 398-399(F)
heat treatment of steel parts .......... 417-418(F)
hot pressing .....................................408-409(F)
interparticle cohesion ..................................415
isostatic compaction ................................... 402
lubricants .....................................................400
market value ............................................... 397
metal-injection molding .........................412(F)
metals processed .........................................397
microstructural development and
properties .....................................419-420
mixing and blending............................ 400-401
nonsintered areas .........................................420
operations sequence............................... 397(F)
powder characteristics ...................399-401 (F)
powder forging ............................410-411(F,T)
press-sinter manufacturing process ... 398(F)
production capacity .................................... 397
production of powder...................... 399-400(F)
products formed ..........................................397
rapid prototyping (RP) ................................413
residual stresses .............................. 413-420(F)
roll compaction ...............................409-410(F)
simulations, particulate modeling...............413,
415-416,417
sintering ...................................... 402-408(F,T)
spray forming ...................................... 412-413
structural steels, compositions ...............407(T)
superalloy weight in commercial jet aircraft
engines.................................................398
tool steel market.......................................... 398
warm compaction ...................................413(F)
Power density............................................ 222(F)
definition ...................................................... 222
Prager model, of back stress rate ................. 299,
300(F)
Prager’s consistency relation .......................300
Prandtl-Reuss flow' rule .............................. 301
Prealloyed powders.......................... 399, 400(F)
powder forging ............................................410
sintering effect on microsegregation ..........402
Pre-cooling quenching .......................... 176-177
Prediction, residual stress field .... 199-206(F)
Pre-heating
to control distortion............................. 155-156
and distortion .................................171—172(F)
Pre-heat-treating, and
distortion ................... 169-172(F,T),173(F)
Premixed powders, powder forging............. 410
Press braking ................................... 147-148(F)
Pressing ...................................................141-142
applications ................................................142
Press quench ..................................................454
Press quenching ................... 183, 280, 281, 453
system...............................................253,256(F)
Press-sinter technique .................................. 397
Pressure-assisted sintering ...................409, 417
Pressure casting .................................... 167, 168
Pressure rolling ................................. 151,153(F)
and distortion ............................................ 152
Pre-straining ....................................................19
Prestress engineering of structural materials
(PESM or PRESMA) ............................. 25
Prestress processing ....................................... 11
Primary gas porosity....................................... 72
Primary microcreep ..................................59, 60
Process equipment design....... 183-186(F)
Processing analysis ..................................1 1 - 1 2
Processing modeling.............................. 11 — 12
Processing parameter optimization. . . . 1 1 - 1 2
Production gears, residual stresses
in...................................... 439-441(F,T)
Profilometry....................................................120
Programmable control units, storage of
workpiece- and material-specific treatment
parameters in a database .........................186
Projection welding......................................... 405
Proportionality, coefficient..............................75
Protective films, rate of forming and stress-
corrosion cracking .................................... 80
(v|/)-diffractometer ....................................... 121
(\|/)-splitting .........................................1 2 1 , 1 2 2
PSPC. See Position-sensitive proportional
counter method.
PSPD. See Position-sensitive proportional
detector.
Pull cracking....................... 260, 263(F), 264(F)
Pull stress...........................................260, 263(F)
Pure iron
quenching, surface oxidation effect ......... 273,
277(F)
specific heat capacity, as function of
temperature......................................3-4(F)
stress-corrosion cracking insensitivity ......... 79
Push cracking..................... 260, 263(F), 264(F)
Push-pull fatigue testing.................28, 63(F), 66

and cyclic deformation behavior...............33(F)
Push stress......................................... 260, 263(F)
Quenched steels, delayed fracture ..............77(F)
Quench embrittlement...................................196
Q Quenching. See also Air quenching; Aqueous
Quality assurance, inspection plan .. 13, 14(F)
Quality control .............................................11-12
of gear strength ........................................... 440
Quantimet 720 quantitative microscope, with
computer interface ................................. 341
Quantitative electronic microscopy, to
identify and count microcarbides ........... 339
Quasi-spall .........................................................76
Quasi-static surface yield strength in
compression ...................................66, 68(T)
Quebec metal powder process ........................ 399
Quenchants. See also Quenching; Quench
severity; Quench
uniformity................260-265(F,T), 266(F),
267(F), 268(F), 269(F), 270(F)
agitation rate influence .......................... 176(T)
aqueous polymer ..257, 264, 268(F), 269(F),
272(F)
brine.......................................264-265, 270(F)
caustic soda .......................... 264-265, 270(F)
circulation uniformity effect........................176
cooling rate and distortion
compared ....................................... 175(T)
and distortion ..............................174-'175(F,T)
effect on quenching performance .............. 259,
262(T)
factors influencing cooling intensity .... 174,
175(T)
after induction hardening ............................232
influence on distortions of C-style
sample ........................................... 175(T)
influence on distortion trend of cavity of
cold forging dies ................... 175, 176(T)
intensively cooling.......................................314
oils ... 263-264, 267(F), 268(F), 269, 272(F)
selection, and cooling characteristics ... 275,
281(F), 282(F)
selection, and distortion ...................... 279-280
selection effect.........269-270, 272(F), 274(F)
temperature effect............ 176, 268(F), 269(F),
270-271 (F)
uniformity ......... 258-259(F), 260(F), 261(F)
vaporizable liquid ....................................... 258
viscosity ...................................................... 270
water ....................... 264, 269, 270(F), 272(F)
Quenchant solution circulation rate ................328
Quench cracking ... 253-256(F,T), 257, 259-
260, 263(F), 264(F), 285(F), 312
elimination by intensification of heat transfer
at phase transformations .................... 328
prevention ................................................... 323
probability of ..........................................313(F)
and quench nonuniformity ......................... 258
and surface roughness .............277-278, 286(T)
techniques of steel quenching for prevention
of ............................................ 325,326(F)
Quench Cracking Working Group, Japan
Heat Treatment Society ..............277, 285(F)
Quench distortion..................................... 259-260
Quenched-and-tempered steel
bending fatigue tests in sea water ............ 34(F)
cyclic deformation ................................... 29(F)
fatigue strength ..................................... 244(F)
local fatigue strength ............................... 47(F)
polymer quenching; Brine quenching;
Carburized quenching; Cold-die
quenching; Direct quenching; Distortion;
Fluidized-bed quenching; Fog quenching;
Free quenching; Gas quenching; Hot oil
quenching; Immersion quenching;
Intensive quenching; Interrupted
quenching; Marquenching; Martempering;
Molten metal quenching; Nonuniform
quenching; Oil quenching; Plug
quenching; Pre-cooling quenching; Press
quenching; Quenchants; Quench cracking;
Quench distortion; Quench oils; Quench
severity; Quench uniformity; Restraint
quenching; Salt-bath quenching; Selective
quenching; Spray quenching; Time
quenching; Two-step quenching; Water
quenching......... 99, 257-272(F,T), 273(F),
274(F), 275(F), 336
agitation effect .... 258, 259(F), 275-277(F),
283(F), 284(F), 285(F,T)
boundary conditions selection for
simulation ...........................................325
of carburized bushing................ 320-321(F,T)
of carburized cylinder, computer
simulation .....................296, 302(F), 305
carburized gear axial stresses .... 440-441(F)
of case-hardened gear, model .. 202-203(F),
204(F)
chloride solutions for tool steel
punches ...............................................326
coating effects ............................... 273, 278(F)
cooling characteristics effect on residual
stress and distortion ..275-278, 281(F),
282(F), 283(F), 284(F), 285(F,T),
286(T)
dimensional changes............ 252, 255(F), 274,
275, 282(F)
direct or single reheat after carburizing, and
retained austenite........................... 447(F)
and distortion .................................252, 255(F)
distortion, components 159, 161 (T), 162(F)
distortion, component with simple
shape ............... 159—161(F,T), 162(F,T),
163(F), 164(F)
distortion, metallurgical sources .. .251 -252,
254(F)
and distortion potential ....................... 184-185
distortion prediction ....................... 284-293(F)
double reheat and quench after carburizing,
and retained austenite.................... 447(F)
geometry effects ... 273-274, 279(F), 280(F)
in hardening press, and distortion
minimizing ............................185 -186( F)
for inducing residual stress relaxation ..........54
after induction hardening ............ 236-238(F),
241, 242(F), 246
for induction hardening .................231 -232(F)
from intercritical temperature interval .........81
of Japanese sword, computer
simulation ... .296, 304, 307(F), 308(F),
309-310(F)
Index / 487
kinetics of process ...................................... 288
of low-alloy steels ................................ 337(T)
material effect on distortion ............... 252-256,
257(F), 258(F,T)
material effects ..................... 274, 280(F), 312
mathematical modeling of process .............319
media, 449
media, influence of distortion of
gears.......................................454-456(F)
media measurement and evaluation of
power ............ 265-269, 270(F), 271(F),
272(F), 273(F)
methods.................................................. 280-282
methods, effect on carburized-and-hardened
steel residual stresses ............443-444(F)
methods, Ukraine Patent (No. 4448, Bulletin
6-1), 1994 ........................................... 328
model of stress/strain prediction in case-
hardened parts ....................... 199, 201(F)
before nitriding ........................................... 209
no phase transformation, mechanical,
thermal, or structural origins of residual
stress ................................................13(T)
one-step........................................................319
Polyakov rules................................ 260, 264(F)
powder metallurgy processed parts......... 407
quenchant and material properties
effects ....................................259, 262(T)
quenchant choice and
distortion ............................ 174-175(F,T)
residual stress prediction .............. 284-293(F)
simple shape bodies, computational and
experimental results........... 321-323(F,T)
simulation, inverse technique .......................23
steel chemical composition effect .............. 274
supercarburized high-speed steels .... 337(T)
surface conditions effect .............. 273, 277(F),
278(F), 279(F)
surface distortion comparison ............... 170(F)
tank for immersion...................................... 172,173(F)
temperature influence on distortion of mold
hole..................................................171 (T)
two-step.........................312, 319(F), 320, 328
of carburized bushing................ 320-321 (F,T)
workpiece size effects ......... 252, 255(F), 274,
275, 282(F)
Quench oils .............. 263-264, 267(F), 268(F),
323-324
accelerated ...................................... 264,267(F)
and carburized steel residual
stresses . ....... 445(F)
conventional .............263
martempering 264, 268(F)
MS-20............ ....320-321
MZM-16........ ....... 318(F)
quench chamber pressure
control ................................... 455-456(F)
quench severity index
(H value) ................................ 454-455(F)
vapor blanket stage .........................455-456(F)
Quench press machines, and
distortion ............................... 181-182(F,T)
Quench severity .............257, 259(T), 262, 265,
266(F), 269
of aqueous polymer quenchants ................. 264
definition .............................................257, 265
and distortion .......................................279-280
488 / Index
Quench severity (continued)
of gas quenching ........................... 261,266(F)
water content effect .............262-263, 266(F),
267(F)
Quench severity index (H value) of
quenching oil .............................454-455(F)
Quench uniformity .......... 258-259(F), 260(F),
261(F), 266(F), 269
Quick-slow-quick quenching ....................... 456
Racking, and distortion ... 171(F), 172, 173(F)
Radial forging ................................ 148-149(F,T)
Radial stress .......................................144(F), 145
from induction hardening ..............234, 235(F)
residual stress distribution in radial direction
at t = 8.32s rising a plane-strain
assumption .................................... 368(F)
residual stress variation in the axial direction
at time t = 8.3202 s with a traction-
free top surface ............................. 368(F)
semicontinuous casting distribution ......... 378,
380(F)
from specimen heating ...........................313(F)
thermal stress history with a plane-strain
assumption .................................... 368(F)
thermal stress history with a traction-free top
surface .......................................... 369(F)
Radiation, monochromatic, wavelength
of .............................................................113
Radiation thermometer, to measure
temperature of centrifugal castings .... 382
Radius of curvature of beam on displaced
section, symbol and units of ................93(T)
Radius of round bar cross section, symbol
and units of .......................................... 93(T)
Rail end problem .............................................424
Railroad wheels, ultrasonic velocity
measurement technique .......................... 114
Rail steel
cooling process ............................... 424-430(F)
cyclic plastic deformation..............431 -432(F)
distortion and residual stress
formation ................................424-435(F)
head-hardened ............................................. 426
heat flux and cooling process ............... 425(F)
moving/sliding on cooling bed ................... 429
production steps .................................... 424(F)
rail end problem........................................... 428
roller straightening process ..............424, 430-
434(F)
in service .........................................434-435(F)
temperature influence ................................. 434
welding as cause of residual
stresses........................................... 434(F)
Rail steel stress tensor, decomposition into
hydrostatic and deviatoric parts............... 432
Railway tank cars, for transporting ammonia,
shot peening effect on residual
stress .......................................... 354, 356(F)
Ram force ........................................................409
Rapid induction heating/intensive
cooling............................................. 327, 328
Rapid omnidirectional compaction .................409
Rapid prototyping ................................... 399, 413
in powder metallurgy processing .......... 397(F)
residual stresses .......................................... 419
Rapid rewetting process.....................259, 262(F)
Rapid solidification ........................ 400, 412, 414
Rare-earth metals
addition effect on stress-corrosion
cracking.................................................81
alloying effect on hydrogen embrittlement of
steel .......................................................83
effect on transition temperature ...............76(T)
plasticity loss after hydrogenation ...........76(T)
resistance to hydrogen embrittlement ,.76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile crack
76(T)
Rate form of stress-strain
relation ......................................300-301 (F)
Rayleigh waves ............................................... 114
Real hydrogen embrittlement ........................... 73
Real-time visualization ........................... 135, 399
Recovery mechanisms ...................................... 58
Recrystallization ............................................. 416
residual stress influence .......................419-420
and sintering ............................................... 402
Recrystallization temperature, of ferritic
steels ......................................................... 54
Rectangular cross-section bar, destructive
residual-stress measurement
procedures...........................................102(T)
Redrawing.......................................................... 60
Reduced-pressure carburizing
carbon potential control ..............................444
furnace ........................................................ 453
Reduction in area ............................................ 146
Reduction of iron oxide .................................. 399
Reflection polariscope..................................... 110
Reflection polariscope
“Photoelastic Inc.”...................... 136-137(F)
Refrigeration treatments ................................. 195
Regular conditions, theory of.......................... 322
Regularization algorithm, when interpreting
distribution containing random
disturbance ................................. 127-128(F)
Regularization methods .................. 126,127, 318
Regularization parameter a .............................127
Reheating treatments ............................... 189-190
distortion, metallurgical sources ...251-252,
254(F)
Reheat temperatures ....................................... 189
Repeated bending test .................................. 17(F)
Repeated loading, effect on residual stresses
of carburized steels ......... 449-450, 451(F),
452(F)
Repeated stressing, effect on residual stresses
of carburized steels ......... 449-450, 451(F),
452(F)
Repeated tension test.....................................17(F)
Repressing................................................. 60, 410
in powder metallurgy processing .......... 397(F)
Rerolling ............................................................60
Reserve strength factor, of bearing ring
317(F)
Residual austenite .............................................81
Residual microstresses.....................................335
Residual stresses
admissible prediction of..................... 22 -24(F)
compressive macro......................................... 54
from cooling process, calculated vs.
experimental .................................. 314(F)
cumulated value at any point...................... 331
definition ............................................. 143,221
distribution, simulation models ..................437
effect on fatigue strength ......................... 19(F)
first-order (macroscopic) .............. 331, 332(F)
induction hardening......................232-242(F,T)
and loading mean stresses
compared .........................................27-28
manufacturing implications... .90-91,92(F),
93(F)
measurement methods from deflection
data .......................................................91
origins of ............................................ 12-13(T)
prediction, after quenching ........... 284-293(F)
from quenching, cooling characteristics
effects ............275-278, 281(F), 282(F),
283(F), 284(F), 285(F,T), 286(T)
of scanning induction hardened cylinder,
computer simulation ........... 290, 293(F),
294(F)
second-order (microscopic)....... 331, 332(F)
state of ........................................... 331, 333(F)
third-order (ultramicroscopic) .. 331, 332(F),
335-336
types................................................ 331, 332(F)
Residual stress field, modeling and
prediction.....................................199-206(F)
Residual-stress-free condition, fatigue
strength ..................................................... 45
Residual stress relaxation phenomenon. See
also Stress relaxation.................................17
Residual stress restitution
(inverse problem) ................................... 127
Residual stress sensitivity ............................45-46
of medium-strength steel...............................51
Residual stress sensitivity factor (m)................. 66
Resin impregnation.................................. 406, 418
Resintering, in powder metallurgy
processing ......................................... 397(F)
Resistance sintering under pressure ............... 408
Resistance welding.......................................... 405
Restart file format ...........................................304
Restraint fixturing .......................................... 281
Restraint quenching.........................................281
Restretching....................................................... 60
Retained austenite ................................... 336-337
in carburized gears............... 441, 442(F), 443,
444(F), 446
in carburized plain carbon and low-alloy
steels ...................................... 194, 197(F)
in carburized steels...............................437, 438
in case region of carburized and hardened
steels ............................... 195-196, 198(F)
contact fatigue effect .................................. 198
decomposition in steels at 823-973 K ... 337
decreased by shot peening ................. 198-199,
200(F)
and deep freezing ........................................178
and distortion ..................................257, 259(T)
effect on carburized steel cylinder stresses,
model ......................................202, 203(F)
effect on transgranular fatigue crack
initiation ...................................... 197-198
factors affecting formation..........................251
formation with austempering processes .. 257

as function of tempering temperature ... 251,
254(F)
in heat treated P/M tool steel .............. 417-418
heat treatment effect on residual stress
distribution ..........................................194
heat treatment variant effect in high-alloy
tool steels............................... 340, 341(T)
of high-alloy tool steels ................. 343(F), 344
in high-speed steels .............................338, 339
in induction-hardened and carburized steel
cylinder .......... 203-204, 205(F), 206(F)
influence on carburized steel residual stress
and strength ............................446-447(F)
reduced by cryogenic cooling .................... 331
in reheated carburized parts ........................ 190
and stabilization ..........................................178
and surface residual stresses........................449
tempering influence on
distortion ................................ 177-178(F)
transformation affecting volume during
tempering...................... 283-284, 287(F)
transformation by mechanical stressing in
carburized steels.....................447-448(F)
Reverse bending, of Japanese
sword.......................................... 309-310(F)
Reverse impending method............................. 215
Rewetting, effect on carburized steels............. 438
Rich exothermic furnace atmosphere,
composition ....................................... 404(T)
Ridder method .................................................129
Rigid-die compaction ......................................415
Rimmed carbon steels, Barkhausen noise
analysis for stress measurement..............114
Ring
of chromium-molybdenum steel, carburized-
quenched, computer simulation of
distortion ............................... 290, 292(F)
distortion ................. 303(F), 305(F), 306, 307
induction hardening and carburized
quenching, computer simulation ... 296,
303(F), 304(F), 305-307(F)
Ring coring...............................................110-111
Rings and races of bearings thicker than 12
mm
advantages............................................. 327(T)
former steel and process ....................... 327(T)
new steel and process ........................... 327(T)
Robert Bosch .................................................... 11
Rocker arm, shot peening effect on fatigue
life ........................................................20(T)
Rods
cylindrical, carburized, residual
stresses .................... 439, 440(F), 441(T)
destructive residual-stress measurement
procedures...................................... 102(T)
drawing ........................... 143(F), 145-146(F)
extrusion..................................................147(F)
Roll compaction ........................409-410(F), 414
friction role.................................................. 409
and residual stresses ............................ 414-416
Roller burnishing .........................................12, 19
effect on cast iron fatigue strength .............. 19,
20(F)
to introduce residual compressive stress ...14
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
Roller straightening .................. 424, 430-434(F)
simulation ....................................... 432-434(F)
Rolling........ 99, 141, 146-147(F), 147-148(F),
399
advantages....................................................142
deformation zone geometry.........................143
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
in powder metallurgy processing ......... 397(F)
screwplate, jig and fixture method for
quench ...................................159, 161(F)
Rolling bearing steel, residual stress relaxation
produced by annealing .........................55(F)
Rolling contact, elasto-plastic, of rail
steel .......................................... 434-435(F)
Rolling-contact fagitue
carburized parts............................................196
carburized steels.......................................... 198
Rolling faces pulling .......................................363
Romberg algorithm .........................................129
Rosettes ........................................................ 34(F)
Rosenthal and Norton’s method................. 103(F)
for destructive residual-stress
measurement ................................. 102(T)
enhancement of............................................104
variation for determining triaxial residual-
stress condition of plate ..................... 105
Rotary bending fatigue test................ 442, 443(F)
Rotating beam fatigue test ............... 446(F), 450,
451(F)
unnotched gear teeth....................................450
Rotation velocity, of workpieces in induction
heating .................................................... 232
Rough-condition temperature..........................325
Roughness
and bending fatigue strength of medium-
strength steels.................................. 41-42
effect on fatigue strength of high-strength
steel .................................................51, 52
effect on fatigue strength of medium-
strength steel ........................................ 51
and quench cracking ............... 277-278,286(T)
of surface, and quenching...............273, 279(F)
R ratio ................................................................ 19
R ratio effect ...................................................... 30
R6M5 punches........................................... 326(F)
tool life in automatic forming
machine .................................. 326, 327(T)
Rupture strength...................................... 16-19(F)
Ruud-Barrett Position-Sensitive Scintillation
Detector ............................................. 112(F)
Sach’s method ............................................... 148
Safety factor
distribution of................................................. 22
on fatigue ................................................. 21(F)
field of ........................................... 313(F), 316
Sag, of rail steel section ............................ 428(F)
Salt bath carburizing ...................... 189, 443(F)
carbon potential control ..............................444
and retained austenite content .................... 447
Salt bath nitrocarburizing ............ 210, 211(F),
215(F)
Index/489
Salt bath quenching ................. 261-263, 264(F),
266(T), 271, 275, 449, 454
with austempering....................................... 281
Sandblasting, as predecessor of shot
peening ....................................................345
Sand casting .................................................... 167
Sandwich-hologram method............................135
Saw' curf width ............................................ 94-95
Saw cutting........................................................ 91
Sawing..................................................... 101, 109
Scale formation. See Oxide scale.
Scanning induction hardening, of cylinder,
computer simulation of residual stresses/
distortion ..................... 290, 293(F), 294(F)
Scatter band ..................................................36(F)
Scheil equation, to determine volume fraction
of solid phase ..........................................375
Screw, distortion after quenching ....161, 164(T)
Screw dislocations ............................................ 58
Sea water, quenched-and-ternpered steel and
crack initiation...................................... 34(F)
Secondary ion mass-spectrometry, hydrogen
ion behavior............................................... 78
Secondary porosity ........................................... 72
Sectioning method .................................. 109, 424
to study rail steel residual stresses .... 431(F)
Segregation effect, distribution coefficient
representing ..................................... 375-376
Selective laser sintering (SLS) ................. 413
Selective quenching.................................281 -282
Self-agitation effect ........................................ 271
Self-regulated thermal process........................ 328
Self-tempering ................................................ 328
Semiconductor gages....................................... 110
Semicontinuous casting
cooling water discharge and stress
distributions ........................... 379,382(F)
displacement mode......................... 378, 379(F)
ingot radii, effect on stress
distributions .......................... 379, 382(F)
ingot radii, isothermal lines for .... 379, 381(F)
residual stress formation .............. 377-379(F),
380(F), 381(F), 382(F)
speed of casting, and stress
distributions ........................... 379,382(F)
speed of casting, effect on stress
distributions ........................... 379,382(F)
speed of casting, isothermal lines for ... 379,
381(F)
Semicontinuous direct-chill casting ............... 377
residual stress formation .............. 377-379(F),
380(F), 381(F), 382(F)
Semi ferritic steels, floccules not observed . .73
Sensors, for carbon potential control in gas
carburizing ..............................................447
Service life, effect of quenching method ... 316
Servohydraulic test systems, computerized
28
Shafts
shot peening effect on fatigue life ...........20(T)
warpage, computer simulation ........... 289-290,
291(F)
Shape, influence on carburized steel residual
stresses ...................................... 438, 439(F)
Shape-memory alloys .......................................... 6
Shear component ....................................... 6(F), 7
Shearography .................................................. 110
490 / Index
Shear strains ........................................................ 5
Shear wave birefringence ............................... 114
Sheet
bending of.............................. 142(F), 144-145
destructive residual-stress measurement
procedures...................................... 102(T)
Shell hardening................................................ 327
Shock laser treatment.........................................12
Shotblasting
and austenite transformation in carburized
steels ..................................... 447-448(F)
of carburized steels ....................... 451-452(F)
to improve fatigue strength .........................437
Shot impact angle ............................................348
Shot peening 12, 19(F), 55, 57(F), 61-63(F),
90
applications .... 352-354(F), 355(F), 356(F)
area...............................................................347
and austenite transformation in carburized
steels ..................................... 448(F), 449
automatic process ............................... 348-349
callouts...........................................................91
carburized steels .. 198-199, 200(F), 201(F),
451-452(F)
C.A.S.E. process .. 350-351,353(F), 354(F)
ceramic shot................................................. 349
characterization and key data .... 346, 347(F)
compressive stresses from ...................... 90, 91
computer-controlled machine ... 350, 351 (F)
computer software program .... 350, 352(F),
353(F)
coverage control inspection methods .... 349
crack initiation earlier in quenched-and-
tempered steel .................................. 34(F)
and cyclic deformation behavior...............33(F)
degree monitored by Almen strips ............... 91,
93(F)
and distortion ...................................... 152, 157
documentation by computer printout.... 350,
352(F)
effectiveness in increasing fatigue life of
mechanical parts.........................19, 20(T)
effect on bending fatigue strength in high-
strength steels .............................42-43(F)
effect on fatigue life of stainless steel .......... 16
elementary processes ......................345-346(F)
and fatigue strength........... 46(F), 47(F), 48(F),
49, 52
gas turbine components .............................. 156
gear wheels......................................... 347 -348
generating compressive macro residual
stresses...................................................54
with grinding, S-N curves and residual
stresses effect .................................. 37-39
hardness of material .............................346-347
hardness ranges of shot ....................... 348-349
historical development ................................345
impingement angle vs. intensity ........... 348(F)
inspection methods for coverage
control .................................................349
intensity in proximity of edge layer ............348
to introduce residual compressive stress . ..14
lasershot peening ...................354-355, 357(F)
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
media.......................................... 348(F), 349(F)
modeling capability ......... 350, 352(F), 353(F)
monitoring of process ................... 348-350(F),
351(F), 352(F)
nonferritic materials, shot media used ... 349
numbers of cycles to crack initiation affected
by .......................................................... 34
optimization of effects.......... 345, 350, 352(F),
353(F), 354(F)
order of addressing parameters....................348
patents for machines.................................... 345
postquench for carburized gears ................443,
444(F)
after powder forging ...................................411
prior to heat treatment........... 150,151,153(F)
process parameters ......................................350
prolonging life span under fatigue............... 346
purposes ...................................................... 345
residual stress advantages.............. 346, 347(F)
residual stress distribution modeling ... 14(F)
residual stresses having relatively large
absolute value.......................54, 55, 56(F)
residual stress influence on cyclic
deformation behavior ........... 31(F), 32(F)
rotate bending fatigue strength ............. 450(F)
S-N curves and residual stress effect in
medium-strength steel ..................... 38(F)
software path flow diagram........... 350, 351(F)
stress distributions ......................... 346, 347(F)
work hardening after process...................... 151
work-hardening effect in medium-strength
steels ................................................ 41(F)
workpiece material and process parameters
effect on residual compressive
stresses................................... 346, 347(F)
Shot size..................................................... 347(F)
Shot velocity .............................................. 347(F)
Shrinkage
of brazed joints .............................. 394(F), 395
welding residual stresses and temperature
distribution ... 391(F), 392, 393(F), 394
Shrinkage factors ............................................ 419
Shrinking-type residual stress
distribution ................................ 193,195(F)
Siemens .............................................................11
Silicates, role in stress-corrosion cracking .. .81
Silicon
alloying addition effect on sintering .......... 402
alloying effect on hydrogen embrittlement of
steel .......................................................83
alloying element effect on crack growth . .80
effect on sintering of stainless steels .......... 404
effect on transition temperature ...............76(T)
first-order residual stress parameters 335(T)
and flocculation susceptibility of steels ... .73
oxidation in carburizing atmosphere ..........448
plasticity loss after hydrogenation ...........76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Silicon (max), composition requirements for
powder forged parts............................411(T)
Silicon nitride (Si3N4)
brazing residual stresses........................ 393(T)
coating .........................................................118
Silicon nitride ceramic, brazing ................394(F),
395(F)
Silver (Ag)
brazing residual stresses........................ 393(T)
first-order residual stress parameters 335(T)
quenching, surface oxidation effect .......... 273,
277(F)
Simple beam theory ........................ 91-92, 94(F)
Simple saw cutting ........................................... 91
Simulations. See Computer simulations.
Sines criterion ................................................... 17
Sine-square-psi technique .......................112, 125
with CrKa radiation, to investigate residual
stresses...................................................54
Single-exposure technique (SET) ..............112(F)
Single press and sinter, cost, relative .. 413(F)
Single-stage carburizing .................... 189, 190(F)
Singularity degree of k* stress ....................... 131
Sintering .......................400, 402-408(F,T), 414
atmospheres .......................... 402 -403, 404(T)
furnace condition for steel .................... 403(F)
furnaces............................... 402-403(F),404(T)
high- temperature ........................................403
iron-copper ..................................................403
iron-copper-carbon...................................... 403
iron graphite powder....................................403
phases and subphases..............................404(T)
in powder metallurgy processing .......... 397(F)
residual stresses ...................................416-417
sinter hardening .......................................... 408
stainless steels ......................... 403-404, 405(F)
tool steels..................................404-405, 406(T)
treatment of P/M parts ............... 405-408(F,T)
Size of specimen, effect on carburized steel
residual stress ............................. 438, 439(F)
Sizing .................................................................90
in powder metallurgy processing .......... 397(F)
Skin effect ........................................... 220, 222(F)
Slice depth, appropriate .................................. 108
Slip ....................................................................4,5
crack initiation present ............................33-34
Slip band formation.......................................28(F)
Slip casting ......................................................402
Slip deformation, characteristics.................... 5(T)
Slip planes ....................................................... 336
Slip systems ......................................................... 6
Slitting.......................91,92(F), 94, 95(F), 96(F)
axial ..........................................................96(F)
point of ....................................................... 131
Slow strain rate testing procedure (SSRT),
for tests at constant load rate ................80
SLS. See Selective laser sintering.
Slurry process, with roll compaction ..............410
Small-base tensiometry ...................................133
Smearing, in milling ............................... 150-151
Smith-Watson-Topper (SWT)
parameter ............................... 30-31, 45(F)
Smoothing functional method..................127, 128
S-N curves .....................................................30(F)
gas-carburized 4320 steel ...................... 201(F)
residual stress influence ......................36-43(F)
shot-peened vs. ground steel condition,
cyclic deformation .................... 66, 67(F)
S-N diagram ....................................................... 30
slip band formation, microcrack formation
and failure of carbon steel ...............28(F)
SNECMA ..........................................................11
Soft annealing, and distortion .... 153, 154(F),
155(F)

Soft magnetic materials, metal-injection
molding.....................................................412
Solidification
cylindrical body residual stress
distribution ................................... 368(F)
cylindrical body uniformly cooled ... 368(F)
and distortion potential................................183
kinetics of phase transformation ... .375-376
Solidification kinetics ..............................362-363
for solidification modeling, benefits listed
.....................................................................363(F)nitriding........................................................ 211
Solidification modeling
analysis methods available with their
benefits................................... 362, 363(F)
architecture of a comprehensive
system.................................... 362, 363(F)
Solidification process, in steel ingots,
mathematical models ..............................364
Solid quenching, deformation
tendency .............................................170(T)
Solid solutions .................................................400
Solid-state linear image sensor
technique ................................................ 418
Solid-state sintering ........................416, 417, 419
Solidus temperature (T^)....................................54
of aluminum alloy ................................. 378(T)
Solubility curve equation .................................. 70
Solvent extraction............................................ 412
Son (complicated deformation)........................309
Spark sintering ................................................ 408
Spatial distributions of residual stress,
problems of determining ........................ 128
Species flow analysis, for solidification
modeling, benefits listed ................... 363(F)
Specific heat capacity ..................................... 312
of aluminum alloy ................................. 378(T)
due to magnetism ............................................3
effect on residual stress development in
steels .................................................. 3(T)
of pure iron, as function of
temperature......................................3-4(F)
Speckle-correlation interferometry ................110,
133,136(F)
Speckle interferograms ...................... 135, 136(F)
Speckle interferometer....................... 135(F), 136
Speckle interferometry ............. 110,133, 136(F)
Speckle structures .............................. 135, 136(F)
Spheroidization................................................ 170
and nitriding ................................................209
Spheroidize annealing .......................................90
Spindles, shot peening effect on fatigue
life ........................................................20(T)
Spline approximation ......................................129
Sponge iron process ........................................ 399
Spot annealing....................................................Ill
Spot mode of x-ray beam method .................. 122
Spray deposition ...................................... 412-413
Spray forming .......................................... 412-413
residual stresses .......................................... 419
Spray hardening, and distortion .. 176(T), 177
Spray quenching ............................................. 282
after induction hardening ............................232
Springback effect ....................... 145,401,415,416
Springback effect of rail steel ......................... 430
Spring steel, compressive residual
stresses....................................................... 27
Stabilization, and distortion ............................178
Stabilized zirconia, P/M processed .................420
Stablein method, for destructive residual-
stress measurement ............................102(T)
Stacking faults..................................................333
Stage I crack grow th ........................................29
Stage II cracks .................................................. 29
Stainless steels
cyclic deformation behavior .................... 32(F)
metal-injection molding ..............................412
modulus of elasticity ................................96(T)
P/M processing............................................ 399
Poisson’s ratio ......................................... 96(T)
quenching, agitation effect.................272-273,
277(F)
quenching, surface oxidation effect .......... 273,
277(F)
residual stresses due to facing................ 109(F)
for ring, induction hardened and carburized
quenched .... 303(F), 304(F), 305-307(F)
shear modulus ..........................................96(T)
shot peening effect on fatigue life ................ 16
sintering ................................ 403-404, 405(F)
spray forming ...................................... 412-413
tension testing .............................................373
tight scale formation...................... 255, 258(F)
weldment residual stresses..................... 100(T)
Stainless steels, series and classes
AM-355. See S35500.
S30303 (303L), corrosion resistance of P/M
parts .............................................. 405(F)
S303LSC, corrosion resistance of P/M
parts .............................................. 405(F)
S30400 (SUS 304)
chemical composition ....................... 372(T)
crack initiation after mechanical surface
treatments .................................... 33(F)
cyclic deformation behavior after shot
peening, and deep rolling ............32(F)
fatigue crack propagation rates............ 35(F)
mechanical properties ........................372(T)
melting point............................................372
P/M processing...................... 399-400, 420
for ring, induction hardened and
carburized quenched................. 303(F),
304(F), 305-307(F)
strip continuous casting by twin-roll
method.............................................383
SWT parameter vs. number of cycles to
failure .......................................... 45(F)
titanium nitride-coated, microstylus trace
of residual stresses .................... 120(F)
S30403 (304L)
corrosion resistance of P/M parts ... .405(F)
P/M processing.................................399-400
S31600
P/M processing.................................399-400
sintering of powder metallurgy parts and
corrosion resistance ....................... 403
S31603 (316L)
corrosion resistance of P/M parts ... .405(F)
P/M processing.................................399-400
sintering effect on corrosion
resistance ........................................404
S31700, P/M processing.......................399-400
S31703 (317L), corrosion resistance of P/M
parts ............................................... 405(F)
Index / 491
S34700, P/M processing...................... 399-400
S35500 (AM-355), PVD titanium nitride
coating .................................................121
S41000, P/M processing...................... 399-400
S41003 (410L), P/M processing.................. 402
S44004 (440C), P/M processing .. .399-400
S44600, P/M processing...................... 399-400
18-8, tight scale formation.............255, 258(F)
SS-100, corrosion resistance of
P/M parts....................................... 405(F)
22CR-5Ni-3Mo-0.015N-0.003C, balance Fe,
hot extrusion ....................................... 410
Fe-24Cr-8Ni, phase decomposition behavior
of P/M powder ....................................419
STAMP Process...............................................409
Static loading, plasticity degree decrease ... .75
Statistical process control (SPC), of powder
forging ....................................................411
Steady-state continuous casting, finite-
element method formulation........... 376-377
Steam treatment, of P/M parts ...............405, 406,
407
Steel ring, distortion prediction, carburized-
quenching ..................................290, 292(F)
Steels
cold forming ................................... 147-148(F)
crack growth ................................................. 75
crack initiation .............................................. 75
cryogenic cooling influence on dimensional
stability ........... 331, 332, 336-339(F,T),
340(F)
cryogenic cooling influence on residual
stresses.................................................336
cyclic behavior .........................................22(F)
cylindrical forgings, neutron diffraction
methods............................................... 113
fatigue behavior ..................................28-31(F)
fatigue, Dang Van diagram ......................18(F)
grade, effect on residual stress ........... 438(F)
grade, influence on gear
stresses.................. 441-442(FT), 443(F)
hydrogen states in ....................................71-72
martensitic transformation of carburized
surface .................................................... 5
nitriding........................................ 214-216(F,T)
physical properties affecting residual stress
development ...................................... 3(T)
plate, plastically deformed, neutron
diffraction method ..............................113
P/M processed, heat
treatment of ............................417-418(F)
production and distortion potential ............ 183
residual stress magnitudes and
distributions .............................99(F), 100
rocket case forgings, neutron diffraction
methods............................................... 113
shot-peened, fatigue life........................... 18(F)
weldments, neutron diffraction methods
for ....................................................... 113
Steel shafts, warpage prediction, computer
simulation ......................... 289-290, 291(F)
Steels, series and classes
0.18C-0.25Si-0.8Mn-0.5Cr-0.22Mo-0.62Ni,
carburized cylinder tangential stresses
during quenching, model ... 202, 203(F)
0.75Cr-3.05Ni (SNC815)
492 / Index
Steels, series and classes (continued)
carburized gear axial stresses during
quenching .................................. 441(F)
gear application, model of case hardening
and stresses from..............202-203(F),
204(F)
for ring, induction hardened and
carburized quenched ................ 303(F),
304(F), 305-307(F)
Crl2Mo, hollow cylinder distortion............. 163
CrWMn, thermal straightening....................170
9CrSi, asymmetrical component
distortion ..............165, 167(F,T), 168(F)
15CrNi6, residual stress of hard metallic
material ......................................... 346(F)
15CrV6, volume changes during phase
transformation ...................... 252, 254(F)
17CrNiMo6, shot peening ................. 350, 351,
352(T), 354(F)
18CrNiMo5, residual stress of hard metallic
material ......................................... 346(F)
18Q2NÍ4W, gearwheel, distortion of ... 166
38CrMoAl, axle of boring lathe, distortion
of .........................................................166
50CrV4
residual stress of soft metallic
material ..................................... 346(F)
stress peening .................................... 348(F)
9Mn2V, thermal straightening ....................170
16MnCr5, carburized steel CCT
diagram .................................. 192,193(F)
26MnCr4, hardened and case-hardened
plate ....................................... 191,192(F)
50MnCr5, carburized steel CCT
diagram .................................. 192,193(F)
90MnV8, volume changes during phase
transformation ........................ 252,254(F)
90MoCrV8, fluidized-bed quenching ... 263,
267(F)
100MnCr5, carburized steel CCT
diagram .................................. 192,193(F)
20MoCr4, carburized cylinders and case-
hardening residual stress ... 195, 198(F)
1015 (CK15, S15CK)
aging effect on carburized steel ............ 449,
450(F)
case hardening................................... 438(F)
cold-rolled steel sheet stampings,
distortion of ....................... 168-169(F)
distortion of carburized steel ..................159
hollow cylinder distortion ...................... 162
S-N curves and residual stresses effect,
after deep rolling .........................37(F)
work-hardening effect on fatigue
behavior ............................................40
1018
carbonihiding .....................................191(F)
carbonihiding and tempering..................191,
192(F)
tempering carburized cases ............... 191(F)
1019, crack propagation rate and stress
intensity in welded
specimens ...................................35-36(F)
1020 (JIS S20C)
carburized and quenched........... 443, 444(F)
S-N diagram (Wohler curves) for slip band
formation, microcrack initiation, and
failure .......................................... 28(F)
1023 (CK22 German grade)
cyclic stress-strain curve ................28-29(F)
residual shess relaxation ...........................59
residual stress relaxation produced by
annealing ..................................... 55(F)
1040, water quenching ........................253-254
1045 (CK45 German grade)
brazed compound with tungsten carbide-
cobalt ........................................ 395(F)
brazing residual stresses.................... 393(T)
brazing with ceramics
compounds ................... 394(F), 395(F)
bushing distortion, eccentric
cylinder .......................... 159, 161(F,T)
continu ou s- cooling- transformation
diagram ........................... . 248-249(F)
crack initiation...................................... 34(F)
cyclic deformation behavior . ............ 32(F)
cyclic defomiation behavior after deep
rolling .......................................... 31(F)
cyclic deformation behavior in low-cycle
fatigue regime .......................31(F), 32
cyclic stress-strain curve ...............28-29(F)
distortion of cylinder ........... 162(T), 163(F)
distortion of stop ring ............... 159, 161(F)
eccentric hollow cylinder,
distortion of ...................... 165, 166(F)
effective stress-intensity factor
range ............................................48(F)
fatigue notch factor vs. surface residual
shess .....................40(F), 41(F), 42(F)
grinding and macro residual stresses and
half-width values .................. 55, 57(F)
grinding and S-N curves influenced by
residual shesses ........................... 37(F)
grinding-induced work softening .............42
Haigh diagram of bending fatigue strength
of high-strength steel .................. 44(F)
half-width values vs. annealing time, after
shot peening .......................... 55, 56(F)
hollow cylinder distortion ............. 161, 162,
164(F), 165(F,T)
induction hardening.....................223-224(F)
local fatigue strength ................. 46(F),47(F)
macro residual shess and half-width
values, shot peened and
hardened............................ 55-56,58(F)
macro residual shess and half-width
values, shot peened and
normalized ....................... 55-56,58(F)
macro residual shess and half-width
values, shot peened and quenched
and tempered.................... 55-56,58(F)
macro residual shess ratio vs. annealing
time, after shot peening .... 55, 56(F)
micro residual shesses, annealing
temperature....................................... 55
milling and macro residual shesses and
half-width values ................... 55,57(F)
quenched-and-tempered, effechve stress-
intensity factor range ...................49(F)
quenched-and-tempered, local fatigue
strength ........................................47(F)
quenched-and-tempered, shot peened,
effechve stress-intensity factor range
..................................................... 49(F)
quenching ...................................275, 282(F)
relaxation of residual shesses after shot
peening .........................................33(F)
residual shess relaxation, delayed .. 55(F),
59
residual shess relaxation produced by
annealing ..................................... 55(F)
shot peened bending specimen and crack
initiation ...................................... 34(F)
shot peening ...................................... 347(F)
shot peening and macro residual shesses
and half-width values............ 55, 57(F)
shot peening effect on bending fatigue
strength .................................. 42-43(F)
S-N curves after grinding, residual shesses
effect ................................. 38(F), 39(F)
S-N curves and residual stresses effect
from milling ........................... 36- 37(F)
stop ring, distortion of............... 180(F), 181
stress-controiled loaded in push-pull tests,
cyclic deformation ...................... 33(F)
shess relief heat treatment effect on
fatigue life and fatigue limit...............40
surface residual shess vs. number of
cycles ...........................................40(F)
SWT parameter vs. number of cycles to
failure .......................................... 45(F)
time-temper ature- hans formation
diagram .................................... 248(F)
valve stem distortion .... 160-161, 164(F)
water quenching .............................. 253-254
1055
for cylinder scanning induction hardened,
computer simulation .... 290, 293(F),
294(F)
grinding...................................... 150, 151(F)
1070, Almen ship material ................... 349(F)
1080
austempering........................................... 281
crack initiation ..........................................34
crack initiation and macro residual
shesses ..............................................34
elastic chuck, distortion of .... 166, 168(F)
hollow cylinder distortion .......................162
1095, right scale formation ...........255, 258(F)
1118, residual stress distribution in
carburized-and-hardenedsteel ... 447(F)
1137, water quenching ........................253-254
1141
quench cracking ..................................... 254
water quenching .............................. 253-254
1144
quench cracking ..................................... 254
water quenching .............................. 253-254
1340, quench cracking ............................... 254
1345, quench cracking ............................... 254
1526
quenching and tempering effects on
residual shesses ................ 195, 198(F)
tempering after quenching of carburized
steels ............................................... 446
tempering effect on residual
shess ........................................... 447(F)
1536
quench cracking ......................................254
water quenching .............................. 253-254
1541
quench cracking ......................................254
water quenching .............................. 253-254

4024, tempering carburized cases .... 191 (F)
4118, grain-boundary anomaly, carburized
steel .......................................448, 449(F)
4130
quenching and tempering effects on
residual stresses ................ 195,198(F)
tempering after quenching of carburized
steels ...............................................446
tempering effect on residual
stress ..........................................447(F)
4140
agitation rate effect on hardening...........262,
267(F)
alternating bending tests and cyclic
deformation .............................66,67(F)
Bauschinger effect ....................................62
brazed compound with cemented carbide
tungsten-carbon.................. 395-396(F)
cyclic deformation ............................... 29(F)
cyclic deformation behavior ..28(F), 29(F)
cyclic deformation behavior after shot
peening ........................................ 31(F)
distortion of cylinder ......................... 162(T)
half-width vs. distance from surface under
c}'clic deformation ......................67(F)
induction hardening and
grinding...............................244-246(F)
loading stress effect on shot peening
macro residual stresses ......... 61, 62(F)
loading stresses and macro residual
stresses..........................................61(F)
macro and micro residual stress
relaxation ..........................................55
macro residual stresses at surface vs.
number of cycles during alternating
bending tests ......................64(F),65(F)
macro residual stresses in longitudinal
direction vs. distance from
surface ...................................65, 66(F)
macro residual stresses, measured and
calculated............................... 57, 60(F)
macro residual stresses measured vs.
modeled..................................62 -63(F)
peened and normalized, critical loading
stresses for initiation of macro
residual stress
relaxation ................................62,63(T)
peened and quenched and tempered,
critical loading stresses for initiation
of macro residual stress relaxation
................................................ 62,63(T)
peened condition, cyclic surface yield
strength ................................... 66, 68(T)
plastic strain rate vs. mean residual stress,
shot peened...................................60(F)
push-pull fatigue testing ...................... 63(F)
quench cracking ......................................254
relaxation of half-widths and mean
strains ............................... 56-57,59(F)
shot peened and hardened, material
properties of Avrami
approach ......................................60(T)
shot peened and normalized, macro
residual stress.....................................61,62(F)
shot peened and normalized, material
properties of Avrami
approach ......................................60(T)
shot peened and normalized, ratio of half­
width values........................... 62, 63(T)
shot peened and quenched and tempered
at 450 °C, macro residual
stresses................................... 61, 62(F)
shot peened and quenched and tempered
at 650 °C, macro residual
stress ..................................... 61, 62(F)
shot peened and quenched and tempered,
material properties of Avrami
approach .......................................60(T)
shot peened and quenched and tempered,
ratio of half-width values .. 62, 63(T)
shot-peened condition, quasi-static surface
yield strength in compression .......... 66,
68(T)
S-N curves, shot peened vs. ground
condition................................ 66, 67(F)
strain aging effects on cyclic deformation
and macro residual stresses .. .65-66.
67(F)
thermal relaxation of macro residual
stresses, quenched, tempered, and
shot peened....................... 56-57,59(F)
total deformation and macro residual
stress ............................................ 61(F)
unpeened and normalized, yield strength
ratio ........................................ 62,63(T)
unpeened and normalized, yield
strengths ................................. 62,63(T)
unpeened and quenched and tempered,
yield strength ratio ................. 62,63(T)
unpeened and quenched and tempered,
yield strengths ........................62,63(T)
volume diffusion-controlled dislocation
creep in residual stress field ............ 57
warm-peened condition, cyclic surface
yield strength .......................... 66, 68(T)
warm-peened condition, quasi-static
surface yield strength in
compression ............................ 66, 68(T)
4142
induction hardening............................ 240(F)
straightening of bars, distortion, and
residual stresses .........................156(T)
4150, quench cracking ................................254
4320
reheat quenched and shot-peened
carburized gears ................. 443, 445(F)
shot peening effect on carburized steel
198-199, 200(F), 201(F)
4337, crack propagation of autofrettaged
tube................................................... 35(F)
5100, grinding .............................................150
5115
crack arrest and bending fatigue
limit ............................................. 50(F)
shot peening effect on S-N curves .. 38(F),
39(F)
5120 (JIS SCr 420)
carburized and quenched........... 443, 444(F)
carburized gears, residual stresses at tooth
foot surface......................... 440, 441(T)
grain-boundary oxidation .................. 448(F)
grain-boundary oxidation effect on gear
tooth fatigue strength ............... 452(F)
Index/493
hard shot peening effect on gear fatigue
strength ...........................................452
hollow cylinder distortion ...................... 163
steel hardenability effect on distortion of
carburized steels ....................... 453(F)
tempering effect on carburized steel 449,
451(F)
5132, pressure rolling ........................... 153(F)
5135
crack arrest........................................... 49(F)
deep rolling effect on S-N curves and
bending fatigue strength ..............38(F)
quench-crack formation .................... 313(F)
5140
C-ring test specimen distortions ... 175(F)
hollow cylinder distortion .............161 -162,
165(F)
52100 (100 Cr6, ShKhl5)
austenitizing temperature ................171-172
ball screw distortion of.............. 166, 168(F)
bearing ring, prediction of deformation
during hardening .......... 317-320(F,T)
for bearing rings, distortion .. 152, 154(F),
155(F)
bearing rings, quenching and residual
stress distribution............................321
die service life after intense quenching
327(F)
distortion of axle components ...............160,
164(F)
hollow cylinder distortion .............161, 162,
164(F)
inner bearing ring 7515/02, hardened and
water cooled ................... 315-317(F,T)
quenching in a hardening press of bearing
rings .......................................... 185(F)
residual stress relaxation produced by
annealing ..................................... 55(F)
tempering effect ......................... 251,254(F)
thermal straightening ..............................170
6150, crack initiation ....................................34
8610, carburized-and-hardened, residual
stresses........................................... 439(F)
8617
carbon potential effect in carburized and
quenched gears ...................444,445(F)
steel grade and case depth in carburized
gears.................................... 441,442(F)
tempering effect on gas-carburized steel
449, 450(F)
8620 (JIS-SNC 21)
aging effect on carburized steel............. 449,
450(F)
carbonitriding ................................... 191(F)
carburizing and quenching variation
effects ....................................... 443(F)
case-depth influence on carburized steels
445(F)
grain-boundary anomaly, carburized steel
448, 449(F)
repeated stressing of carburized steel
............................ 450, 451(F), 452(F)
residual stress distribution in carburized-
and-hardened steels ................... 447(F)
retained austenite in carburized-and-
hardened steels ......................... 447(F)
494 / Index
Steels, series and classes (continued)
steel grade and case depth in carburized
gears................................... 441,442(F)
steel grade effect on carburized
gears................................... 441,442(F)
8640, steel grade effect on carburized
gears....................................... 441,442(F)
8719, carburized and hardened...............190(F)
8822, grain-boundary anomaly, carburized
steel ........................................ 448,449(F)
10100, hollow cylinder distortion ............... 162
10120, hollow cylinder distortion ............... 162
AZ 31, residual stress of soft metallic
material ......................................... 346(F)
43BV14, carburized and quenched with
various heats ...........................443, 444(F)
C15, case hardening .............................. 438(F)
C22, residual stress vs. distance from surface
with different case-hardening
depths ..................................... 194,197(F)
C80 (German grade), cyclic stress-strain
curve ..........................................28-29(F)
15CD4, induction hardening of carburized
cylinder model ............ 203-204, 205(F),
206(F)
CK01 (German grade), cyclic stress-strain
curve ..........................................28-29(F)
CK15. See 1015.
CK22. See 1023.
CK45. See 1045.
100Cr6. See 52100.
EN9, nitriding ........................................ 212(F)
EN19, nitriding ........................................... 216
EN-S355, crack propagation and welding
residual stresses ............................... 35(F)
FC0202, carburization of P/M parts .... 406,
407(F)
JIS S20C. See 1019.
JIS S38C, quenching and distortion........... 284,
287(F)
JIS S45C
coated cylinders, quenching
of ........................................ 273.278(F)
cylinder quenched, computer simulation
............................................ 289.291(F)
disk quenched, computer
simulation ......................... 288-289(F),
290(F), 291(F)
for gear wheel, induction hardened,
computer simulation ..................... 296,
306(F), 307- 309(F)
induction hardening........................... 239(F)
quenching .................... 275, 281(F), 282(F)
quenching, agitation effect... 276, 283(F),
284(F), 285(F,T)
quenching, clay coating, effect on quench
cracking............................. 278, 286(T)
quenching, surface oxidation and quench
cracking........................ 278(F), 286(T)
quenching, surface texture and roughness
and quench cracking tendency .. 278,
286(T)
for ring, induction hardened and
carburized quenched ................. 303(F),
304(F), 305-307(F)
selective quenching .......... 278(F), 281-282
steel shafts, warpage prediction by
computer simulation .............289-290,
291(F)
surface finish effect on cooling curves
...........................................273, 279(F)
JIS SCM420
case depth influence on endurance limit in
carburized steel ......................... 446(F)
core hardness effect on fatigue strength
(endurance limit) .............. 442, 443(F)
grain-boundary oxidation ................. 448(F)
hardenability effect on core hardness and
case depth .......................... 441-442(T)
quenching oil influenced on carburized
steel residual stresses ..................... 445
repeated stressing effect in carburized
steel .................................... 450.451(F)
JIS SCM 420H. distortion of gears.............454,
455(F)
JIS SCM435
quenching ..................................277, 285(T)
quenching, clay coating effect on quench
cracking............................. 278, 286(T)
JIS SCM440
distortion ........................................... 256(F)
for ring, induction hardened and
carburized quenched ................ 303(F),
304(F), 305-307(F)
JIS SCr 420. See 5120.
JIS SK4
quenching ..................................277, 285(T)
quenching, clay coating, effect on quench
cracking............................. 278, 286(T)
quenching, surface oxidation and quench
cracking............................. 278, 286(T)
quenching, surface texture and roughness
and quench cracking..........278, 286(T)
JIS SNC21. See 8620.
JIS SNCM439. quenching and distortion
284, 287(F)
K13NiCrl2, case hardening .................. 438(F)
MA956
mechanical alloying.................................414
microstructure and residual
stresses..................................... 419-420
90MoCrV8, fluidized-bed quenching ... 263,
267(F)
60NCD11, dilatometer curves............249-250,
251(F)
S35, induction hardening ............................229
S15CK. See 1015.
S690QL1, crack propagation ...................35(F)
SF-Cu F20, residual stress of soft metallic
material ......................................... 346(F)
ShKhl5. See 52100.
SS44, distortion after straightening ... 156(F)
STE460 (P460N), welded plate, shot peening
effect on residual stress .... 354, 356(F)
Steel 14KhGSN2MA, carburized bushing
having high-rate
quenching ......................... 320-321(F,T)
Steel 35Kh2NgSM, austenite grain size
effect ..................................... 325, 326(F)
Steel 40, austenite grain size effect............ 325,
326(F)
Steel 40Kh2NgSM, austenite grain size
effect ..................................... 325, 326(F)
Steel ShKhlS. See 52100.
Steering sector shaft, distortion .. 454-455(F)
Stefan-Boltzmann coefficient ......................... 375
Step-by-step time-integration method .... 288
Step-quenching tanks ................................... 172
Stereolithography (SLA) ..............................413
Stick-slip effect .............................................. 429
of supporting bar .........................................429
Stiffness .......................................................... 288
Stiffness equation .......................................... 377
Stoney’s formula ...........................119, 152, 157
Stop ring, distortion of ..................... 180(F), 181
Straightening ...60, 90, 150, 151, 154(F), 220
of bars......................................................150
and distortion .................................156(T), 157
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
parallel-roll ..................................... 156-157(F)
Strain
chemical measurement methods ..................110
due to differential contraction .................... 362
due to volume change .................................217
measurement methods ......................... 109-110
Strain aging effects, cyclic deformation ....65,
66, 67(F)
Strain gages ...................................................... 91
to measure residual stress magnitude .... 238
Strain gage technique ...............................100,438
Strain gaging/sectioning technique ... 103(F)
Strain hardening ................................... 19(F), 109
effect on fatigue strength ......................... 19(F)
and P/M processing .................................... 416
in roll compaction........................................ 415
Strain-hardening parameter ..................... 299,300
Strain peening .................................................151
Strain rates ............................................... 285-287
computation of.............................................. 202
Strain rate tensor ............................................. 202
Strain relaxation, measurement of.....................91
Strength-differential effect................................ 61
Stress amplitude, and crack initiation ...............34
Stress-concentration factor ............................. 420
and bending fatigue strength ............. 36-37(F)
Stress corrosion ........................................ 16, 100
Stress-corrosion cracking (SCC) .............. 72,110,
150, 152
active-part corrosion (APC) ......................... 79
alkaline and acid solutions for failure.............79
alloying elements contribution ..................... 80
alloying elements effect on resistance to . .80
crack growth mechanism...............................79
crack initiation............................................... 79
crystal structure role ............................... 80-81
estimation of sensitivity to, criteria and
methods for ..................................... 79-80
high-strength steels .............................79-82(F)
hydrogen-induced corrosion cracking
(HISCC) ............................................... 79
insensitivity of high-pure metals................... 79
of low-alloy steels .............................. 79-82(F)
resistance by shot peening in chemical
industry applications...................353-354,
356(F,T)
selectivity of material relative to a corrosion
medium .................................................79
steels for main gas-pipe lines ............ 81-82(F)
test methods.................................................. 110
thermal processing role....................... 80-81(F)
Stress-corrosion hydrogen-induced
cracking.................................................... 110

Stress-corrosion testing, preparation of test
specimens for weldments ........................110
Stress-free interplanar spacing, for a
coating ..................................................... 122
Stress gradient ..18, 36(F), 37(F), 40, 51, 101,
111
at notch root .................................................. 36
Stress in a simple beam .....................................92
Stress in material, symbol and
units of..................................................93(T)
Stress intensity coefficient, threshold
value .............................................73, 74, 75
Stress-intensity factor................................... 29-30
for normal breakoff......................................128
for transverse shear .....................................128
Stress-intensity factor range
(Mode I) ...............................................29-30
Stress loading, and austenite transformation in
carburized steels...............................447-448
Stress mapping ................................................ 100
Stress measurement temperature .................... 118
Stress peening ..................................... 345,348(F)
Stress profile, by Peenstress software .. 353(F)
Stress raisers.............................................401,405
Stress-reconstruction procedure (series
method) ...................................................108
Stress relaxation ....................................... 17,150
for changing or disappearing residual
stresses...................................................28
induced by phase transformations in
induction-hardened and carburized steel
cylinder ................................. 204,206(F)
residual stress, prediction of...............22-23(F)
resistance to .................................. 58-59, 60(F)
and tempering............................................... 284,287(F)Vickers hardness ................................... 337(T)
uneven, and distortion resulting from .... 156 Superhardening ............................................... 328
welding of maraging steel .................. 60-61(F)
Stress relieving ..95, 110-111, 120, 224, 251,
254(F)
for avoiding changes in dimensional
stability ................................................ 16
castings .......................................................168
dimensional stability influenced by
.
and distortion ............................................ 166
to eliminate residual stresses ................... 144
by tempering.................................284, 287(F)
Stress risers ........ 254, 255, 256, 257, 260, 264,
278
Stress Scan 500 equipment ...........................156
Stress/strain analysis ............................. 303-304
Stress-strain constitutive
relation ...................................... 298-302(F)
Stress-strain curves
of castings ............................................ 373(F)
under strain rates for castings .......... 374(F)
Stress-strain-induced transformation . . . . 296 Swell ............................................................... 363
Stress-strain state, computation
of ............................................... 313—315(F)
Stress tensors .................................................121
Stress-transient method ...................... 57, 60(F)
Stretch forming, and distortion ..............169(F)
Stretching, for inducing residual stress
relaxation .................................................54
Strip, rolling of ......................................... 147(F)
Strip continuous casting by twin-roll method,
residual stress formation... 383-385,
386(F), 387(F), 388(F), 389(F)
Structural dilatation .................................286-288
due to phase transformations, strain rates
for ....................................................... 312
due to transformation plasticity, strain rate
for ....................................................... 312
Structure stress, as cause of
distortion .................. 159-161(F,T), 162(F)
Subcritical annealing........................................254
Subgrains .........................................................333
Subsonic gas atomization ...........................400(F)
Subzero cooling, and residual stresses ........... 195
Sulfides
as fracture origin sites ...................................75
role in stress-corrosion cracking .................. 81
Sulfide stress cracking ...................................... 83
Sulfur
alloying effect on hydrogen embrittlement of
steel .......................................................83
alloying element effect on crack growth . .80
effect on transition temperature ...............76(T)
plasticity loss after hydrogenation............ 76(T)
resistance to hydrogen embrittlement . ,76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Sulfur (max), composition requirements for
powder forged parts............................411(T)
Sunk tubes ........................... 147(F), 148-149(T)
Superalloys ........................................................73
Supercarburized high-speed steels
austenitizing........................................... 337(T)
cryogenic cooling ................................. 337(T)
quenching .............................................. 337(T)
tempering............................................... 337(T)
Superplasticity, of bearing ring ...................... 318
Superposed model of plasticity and
creep ....................................................... 302
Superposition model .......................... 373,374(F)
Superstrengthening, by intensive quenching
326
339Surface crack formation ..................................215
Surface integrity ............................................. 221
Surface nanocrystallization ...............................25
Surface oxidation ................ 273, 277(F), 278(F)
Surface quenching with a phase change,
mechanical, thermal, or structural origins
of residual stress ...................................13(T)
Surface texture
and quench cracking ............... 277-278, 286(T)
and quenching .................................273,279(F)
Surface values ................................................. 108
Surface w etting............................................... 258
Surface w ork hardening..................................198
SYS-WELD (FRAMATOME Company)
(computer program) ........................ 202,303
T
Tamahagane (Japanese steel)......................... 309
Tangential internal residual stresses, from
induction hardening ..235(F), 236, 238(F),
239(F)
Index/495
Tangential stress ....................... 144(F), 145, 146
semi continuous casting distribution ......... 378,
380(F)
Tank chain, shot peening effect on fatigue
life ........................................................ 20(T)
Tatara system ................................................. 309
Taylor’s expansion, for viscoplastic strain
increment of element at Kth time
step .......................................................... 376
Taylor/von Mises criterion .................................. 6
Temperature
carburizing heat-transfer model .......... 199-200
cooling process changes.................313—314(F)
effect on chemical and mechanical driving
forces...................................................6(F)
effect on distortion in welds....................... 7(T)
effect on rail steel residual stresses..............434
effect on specific heat capacity of pure
iron ................................................. 3-4(F)
induction hardening of carburized steel
cylinder ................................. 203, 205(F)
interaction with deformation and
microstructure ....................................3(F)
quenchant........... 268(F), 269(F), 270-271(F)
and residual stress level in nitriding............ 214
rough-condition............................................325
semicontinuous casting profile .. 378, 379(F)
Temperature-dependent yield function .. 286
Temperature factor, for third-order residual
stresses.....................................................235
Temperature field, nonsmoothness or
unevenness ........................322, 323, 324(T)
Tempered martensite ...............................195, 336
after sinter hardening of P/M parts .............408
Temper embrittlement........................................76
Tempering......................... 282-284, 287(F), 336
carburized-and-hardened steels .. 445-446ÍT)
and carburizing procedures ...........190, 191(F)
dimensional variation and retained austenite
content ...................................251, 254(F)
and distortion .. 154, 177—178(F), 283-284,
287(F)
effect on crack toughness ..................80-81(F)
effect on residual stress distribution........... 195,
198(F)
effect on residual stress of carburized steels
449, 450(F), 451(F)
for inducing residual stress relaxation ...........54
of low-alloy steels ................................. 337(T)
of marquenched steels ................... 280, 287(F)
microstructural variation effect on volume
changes ................................. 251, 253(F)
niobium alloying effect ...............................325
before nitriding ........................................... 209
P/M parts........................................ 407, 408(F)
P/M steel parts .....................................417-418
and retained austenite content in carburized
steels ............................................. 447(F)
stages......................................251,253(F), 283
stress relief ..................................... 284,287(F)
supercarburized high-speed steels .... 337(T)
transformation process prediction ............... 202
volume changes .......................283-284,287(F)
Tensile applied stress ................................... 6(F)
Tensile residual stresses ......... 193, 196(F), 211
and brazing.............................................. 394(F),395(F)
from welding............... 392(F), 393(F), 394(F)
Tensile strength ............................................... 16
496 / Index
Tension testing .................................. 251,254(F)
Termite welding, of rail steel .................... 434(F)
Test methods, stress-corrosion cracking ... 110
Testpieces, carburized, variation of residual
stresses......................... 439, 440(F), 441 (T)
Tetragonality degree ....................................... 338
Tetragonal martensite ..................................... 338
tempering of ................................................224
Theory of regular conditions........................... 322
Thermal conductivity .................................. 3, 312
effect on residual stress development in
steels .................................................. 3(T)
nonlinear equations .....................................315
nonstationary, equation for ......................... 312
Thermal convection and radiation, in
carburizing ............................................... 200
Thermal cycles, as description of surface heat
treatment process.....................................223
Thermal cycling, for inducing residual stress
relaxation .................................................. 54
Thermal diffusivity coefficient .......................322
Thermal expansion coefficient
of aluminum alloy ................................. 378(T)
differences affecting brazing residual
stresses...............................394(F), 395(F)
Thermal expansion mismatch............................12
Thermal expansivity ........................................... 3
effect on residual stress development in
steels .................................................. 3(T)
Thermal gradients, nonuniform ...................... 332
Thermal growth................................................118
Thermal inversion in workpiece
quenching........................................... 223(F)
Thermal load ................................................... 288
Thermally activated processes, for inducing
residual stress relaxation ........... 54 -60(F,T)
Thermal oscillations, influence eliminated in
microstrains ............................................ 335
Thermal plasticity ........................................... 313
Thermal radiation coefficient, for centrifugal
casting pipe models................................. 382
Thermal shocking,............................................156
Thermal shrinking stresses .............................191
Thermal spraying..................................... 118, 120
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
Thermal straightening ..................................... 170
Thermal strain ......................................... 286, 298
Thermal strain rate ..................................202, 312
Thermal stress
of carburized bushing due to high-rate
quenching ......................... 320-321 (F,T)
castings, segregation in................................167
as cause of distortion ..................159-161(F,T),
162(F,T), 163(F), 164(F), 165
cooling with transformation ............... 250-251,
252(F), 253(F,T)
nonuniform...................................................260
and quench severity..................................... 257
Thermal-stress analysis, to evaluate residual
stresses in P/M products ......................... 420
Thermal surface treatment .....................19, 20(F)
Thermochemical surface treatment................... 19,
20(F)
Thermocouples ................................................223
for measuring temperature on gear-wheel
teeth, induction hardening ............ 230(F)
and temperature monitoring to control
distortion ............................................ 184
and time variation of temperature of gear­
wheel teeth in induction
hardening ....................................... 230(F)
Thermodynamics ................................................ 3
Thermoelasticity effect, on rail steel................426
Thermokinetic diagram of the supercooled
austenite transformations ....................... 313
Thermomechanical analysis, for solidification
modeling, benefits listed ................... 363(F)
Thermomechanical state, during and after
surface induction heating ....................... 226
Thermomechanical theory .............................. 372
Thermoplasticity, of carburized bushing with
two-step quenching ............... 320-321 (F,T)
Theta-method................................................... 304
Thickness of beam/plate/tube wall, symbol
and units of ........................................... 93 (T)
Thin-slab casting process, residual stress
formation ........... 383-385, 386(F), 387(F),
388(F), 389(F)
Three-point bending ........................................155
Three-time rule.................................................109
Threshold (critical) stress-intensity factor
see) i .....................................................80
Threshold effect ................................................ 30
Threshold stress valve .......................................80
Through-hardened steels, contact
fatigue......................................................198
Through-hardening ......................................... 316
P/M parts......................................................406
Through-thickness temperature, from
induction hardening...................223-224(F)
“Tight” scale formation .................... 255, 258(F)
Tikhonov’s method .........................................127
Time
of carburizing and fatigue strength .............446
interaction with deformation and
microstructure ....................................3(F)
and residual stress level in nitriding .. 214(F)
Time discretization, in unsteady-state casting
analysis ................................................... 376
Time function of temperature
change .........................................321-322(F)
Time of diffusion, and hydrogen critical
concentration............................................. 75
Time quenching .......................................280,281
Time-temperature-transformation (TTT)
diagrams ................. 191, 248(F), 249, 250,
251(F), 288, 297
computation of, during hardening
processes ..............................................200
Time till a crack initiation .................................80
Tin
alloying effect on hydrogen embrittlement of
steel .................................................83, 84
alloying element effect on crack growth . .80
effect on transition temperature ...............76(T)
plasticity loss after hydrogenation.............76(T)
resistance to hydrogen embrittlement . .76(T)
time up to fracture ....................................76(T)
work of propagation of a ductile crack
76(T)
Tin-bismuth alloy, strip continuous casting by
twin-roll method......................................383
Titanium
alloying effect on susceptibility to austenite
grain growth ................................ 325,328
alloying element effect on crack growth . .80
alloying influence on delayed fracture of
steel ..................................................78(F)
effect on transition temperature ...............76(T)
first-order residual stress parameters 335(T)
modulus of elasticity ................................96(T)
plasticity loss after hydrogenation............ 76(T)
Poisson’s ratio ..........................................96(T)
resistance to hydrogen embrittlement ..76(T)
shear modulus .......................................... 96(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Titanium alloys, macro and micro residual
stress relaxation ........................................ 55
Titanium carbide coating ................................ 118
Titanium hydrides, formation at grain
boundaries..................................................78
Titanium nitride ....118, 119, 120(F), 122(F),
209
Titanium nitride coatings ........................... 121(F)
Tool gap hardening .........................................241
Tool steels
alloying addition effect on sintering .......... 402
contact wear resistance improved................ 420
cryogenic cooling ..................... 340(F), 341(T)
heat treatments applied for dimensional
stabilization ...................... 338(F), 338(T)
martensitic transformation ............. 332, 333(F)
metal-injection molding ..............................412
P/M processed, applications ............... 404-405
P/M processed, heat treatment of ..............408,
417-418(F)
P/M processing............................................ 400
sintering ...................................404-405, 406(T)
spray farming ...................................... 412-413
Tool steels, series and classes
ASP30 (P/M tool steel)
out-of-roundness measurements ... 418(F)
D2, spray forming........................................413
H13
direct-metal deposition ...........................419
rapid prototyping .................................... 413
spray forming.......................................... 413
M2, out-of-roundness
measurements................................. 418(F)
M20, high-speed steel for R6M5
punches ................................. 326(F), 327
T12, distortion .............................................159
T15
microstructures of convertional vs. P/M
processed ................................... 418(F)
P/M processing............................................ 402
spray forming ..............................................413
Tool steel UHB Chipper............................. 156(F)
Torque rods, shot peening effect on fatigue
life ........................................................20(T)
Total case depth (TCD) .................................. 437
Total strain increment...................................... 217
Total strain rate....................... 285, 300, 312, 373
Total strain Wohler curve ............................ 30(F)
Tracked and road vehicles, shot peening for
improving vibratory fatigue
properties ................................................ 345
Traction-compression loading ............. 22,23(F),
24(F)

Transformation eigenstrain, of rail
steel .........................................................427
Transformation induced plasticity
(TRIP) ................................ 90(F), 427-428
Transformation plasticity .......................3-6, 201,
249-250, 251(F), 286-288, 302(F), TRIP. See Transformation induced plasticity.
304-307(F) TRIP (transformation) induced plasticity
and anisotropic strain .................................7(F)
definition .....................................................288
distortion of steel ring, computer
simulation ............................. 290, 292(F)
of gears ........................................... 456-457(F)
Transformation plasticity coefficient
for martensitic or pearlitic
transformation ........................................ 288
Transformation plasticity effect ......................296
Transformation plasticity strain rate .... 202,
288
Transformation plastic strain .... 301 (F), 302
Transformations
deformation systems associated with ... 5(T)
diffusionless, in
metallo-thermo-mechanics.............297(F)
diffusion-type, in
metallo-thermo-mechanics.............297(F)
displacive...........................................4-5(F), 9
characteristics............................................. 5(T)
mechanical driving force.................................. 6
stress components interacting with volume
change ..................................................... 6
intervariant .......................................................6
reconstructive ..........................................4-5(F)
characteristics............................................. 5(T)
stress components interacting with volume
change ..................................................... 6
shape change due to ...................................5(T)
stress-assisted, limits to .............................. 6(F)
stress-(or strain-) induced ........................... 296
unconstrained, and shape changes .............5(F)
under influence of a mild stress....................... 8
Transformation-start temperature................... 6(F)
Transformation stress ....................159-160, 161,
163(F,T), 164(F), 191
of carburized parts ...................................... 178
castings, segregation in................................167
as cause of distortion .................................. 165
cooling with transformation ...............250-251,
252(F), 253(F,T) Twinning.............................................................. 5
Transformation superplastic strain ................. 302
Transformation temperature range
.
Transformation volume strain ............................ 5
Transgranular fatigue crack initiation ... 197
Transgranular spell mechanism ........................79
Trapezium method .......................................... 129
Trapezoid method ........................................... 304
Traps ............................................................71, 72
for hydrogen .....................................75, 76, 82
TRAST (software program) ............................202
Trepanning............................................... 110-111
Tresca criteria.....................................................17
Tresca yield function............................... 299, 302
Treuting and Read method ..........................89, 96
for destructive residual-stress
measurement.................................. 102(T)
Triaxial compression, by simultaneous
isostatic and uniaxial compression .... 402
Triaxial residual stress state, and crack
propagation........................................... 35(F)
Triaxial stress analysis ....................................122
Triaxial stress state without shear stress, of
coatings ............................................. 120-121
Triaxial stress state with shear stress, of
coatings ................................................... 121
effect..................................................... 90(F) Ultrasonic gas atomization,................400(F), 414
Troostite ................................................... 438,448 Ultrasonic inspection, to evaluate residual
Truck leaf springs
advantages.............................................. 327(T)
former steel and process ........................327(T)
new steel and process ............................ 327(T)
Tubes
autofrettaged, and crack propagation ...35(F) Ultrasound,........................................13, 14(F), 25
destructive residual-stress measurement
procedures...................................... 102(T)
drawing ................... 141, 142(F), 145-146(F)
sunk, deep drawing ......... 147(F), 148-149(T)
Tungsten
effect on sintering of stainless steels .......... 404
and flocculation susceptibility of steels ... .73
modulus of elasticity ................................96(T)
Poisson’s ratio ......................................... 96(T)
shear modulus .......................................... 96(T)
Tungsten carbide-carbon cemented carbide
in brazed joint with steel ................ 395-396(F)
brazed compound with steel residual
stresses........................................... 395(F)
Tungsten carbide-cobalt
coating.........................................123-124(T)
thermal spraying...........................................118,123
Tungsten carbides
first-order residual stress parameters 335(T)
in high-speed steels after cryogenic
cooling ..........................340-341 (F), 343
Tungsten inert gas welding (TIG).............. 392(F)
of maraging steel ............................... 60-61(F)
Turning ........................150-151, 152(F), 153(F)
and distortion ........................ 152, 155(F), 156
and distortion potential ...............................183
mechanical, thermal, or structural origins of
residual stress................................... 13(T)
residual stresses in alloy steels .............. 109(F)
12% chromium steel, thermally activated
relaxation after shot peening .... 56, 59(F)
Twin boundaries, and crack initiation . .33-34
Twin-roll method of strip continuous
192 casting, residual stress formation .... 383-
385, 386(F), 387(F), 388(F), 389(F) Vacuum atmosphere ..................................... 403
Two-angle technique (DET) ...........................112
Two-dimensional finite difference
method .................................................... 268
Two-dimensional inverse method .................. 268
Two-stage boost/diffuse method of vacuum
carburizing model .................203(F), 204(F)
Two-stage nitriding..........................................170
Two-step quenching ................ 176, 312, 319(F),
320-321(F,T), 328
Twyman-Green interferometry .........................12
U resistance to hydrogen embrittlement ,.76(T)
U-bend stress corrosion test, specimen
making and using .................................... 110
Index/497
UIC54E rail steel profile ..................424, 428,429
Ultimate strength, of bearing ring being
hardened..............................................318(F)
Ultrahigh temperature oil quenching, of ball
bearing race ............................... 454, 455(F)
Ultramicroscopic stresses (third-order
residual stresses) ..331, 332(F), 335-336
stresses in P/M products..........................413
Ultrasonic instrumentation ..............................100
Ultrasonic methods ......................................... 109
Ultrasonic shot peening..................................... 25
Ultrasonic velocity......................... 112,113-114
Unalloyed steels, nitriding ..............................209
Undeformed material, interplanar spacings
and residual stresses ............................... 333
Undercooling, of austenite ...................... 331-332
Uniaxial compression, as mechanical driving
force coefficient ..................................... 6(T)
Uniaxial deformation ......................... 60-63(F,T)
for inducing residual stress relaxation .... 54,
60-63(F,T)
Uniaxial loading, resistance to residual stress
relaxation .......................................61-62(F)
Uniaxial stress ..................................................... 6
Uniaxial tension, as mechanical driving force
coefficient .............................................. 6(T)
Unidirectional compaction ........................ 401(F)
Unified constitutive theory.............................. 372
Uniform casting, ............................................. 377
Universal joint shaft, shot peening effect on
fatigue life.............................................20(T)
Unsteady-state centrifugal casting
finite-element method formulation .............376
and residual stress formation ... 379-383(F),
384(F), 385(F), 386(F)
Upcut milling ............................................... 39(F)
producing residual stresses ...................... 32(F)
residual stresses generated........................36(F)
Upper bainite .............................250(T), 257, 448
Upsetting forging ............................................ 410
V
Vacuum carburizing ..................................... 189
carbon potential control ..............................444
furnace ........................................................ 453
rotate bending fatigue strength.............. 450(F)
Vacuum extraction ........................................412
Vacuum quenching ....................................... 172
Valve, shot peening effect on fatigue
life ........................................................20(T)
Vanadium
alloying element effect on crack
growth .............................................80, 81
effect on transition temperature ...............76(T)
plasticity loss after hydrogenation .......... 76(T)
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
498 / Index
Vanadium carbides (VC)
in high-speed steels after cryogenic
cooling...........................340-341(F), 343
resistant to dissolution........................... 325,328
temperature for full dissolution in 30 X 2
steel .....................................................325
Vanadium nitrides (VN)
effect on transition temperature.................76(T)
plasticity loss after hydrogenation ...........76(T)
resistance to hydrogen embrittlement ,.76(T)
resistant to dissolution........................... 325,328
temperature for full dissolution in 30 X 2
steel .....................................................325
time up to fracture ................................... 76(T)
work of propagation of a ductile
crack ................................................ 76(T)
Vapor blanket cooling stage .. .258-259, 268,
269, 272(F), 273(F), 274, 439
Vapor blanket cooling stage of quenching
oil.................................................455-456(F)
Vaporizing, effect on carburized steels .... 438
Variational principle ................................ 127,376
Variation of residual stresses in test pieces
and gears ................................... 439, 440(F)
Versailles project on Advanced Materials
and Standards (VAMAS) ....................... 413
Vertical semicontinuous direct-chill casting
process .......... 377 -379(F), 380(F), 381(F),
382(F)
Vestergards asymptotic relationships .... 130
Vibration, for inducing residual stress
relaxation .................................................. 54
Vibration compaction, .................................... 402
Vickers hardness
decreasing as relative shrinkage increases
during tempering .......................... 338(F)
of low-alloy steels ................................. 337(T)
supercarburized high-speed steels .... 337(T)
Video ........ to measure surface wetting ..........269
Virtual work principle......................................377
Viscoplastic flow laws..................................... 365
Viscoplasticity .................................................302
unified theories of................................ 373-374
Viscoplastic strain rate ................... 202, 366, 374
Viscoplastic stress analysis........................ 366(F)
Viscosity
of aluminum alloy ................................ 378(T)
of quenching media, and carburizing .... 445
Viscous cup fracture ..........................................76
Viscous fluids ..................................................372
Voids, in castings ............................................ 370
Volterra equation of the first type 126, 127,
128
Volterra integral equation ............. 126(F), 136(F)
Volterra integral equation method....................133
design diagrams ..................................... 126(F)
Volvo ................................................................. 11
w pipe................................................................102
Warm compaction ........................... 399, 413(F)
residual stresses ........................................... 419
Warm compaction and sinter, cost,
relative ................................................413(F)
Warm-peening............................ 65(F), 66, 67(F)
and cyclic deformation ..................64(F), 65(F)
fatigue............................................................ 27
Warpage, of steel shafts, computer simulation
289-290, 291(F)
Wartisla............................................................ 11
Water
content effect in salt-bath
quenching .... 262-263, 266(F), 267(F)
as quenchant ............... 262-264, 269-280(F),
282(F), 283(F), 284(F), 285(T), 286(T)
Water atomization ....................400(F), 412, 414
Water-based polymer quenching tanks . 1 7 2
Water jet quenching of steels .......................327
Water quenching .,. 264, 269-280(F), 282(F),
283(F), 284(F), 285(F), 286(T)
agitation effects...................................... 283(F)
computer simulation ... 288-289(F), 290(F),
291(F)
under pressure ......................................315,316
Wear ..................................................16, 150, 189
Wear-resistant high-speed steels containing
3-4% V
composition ........................................... 406(T)
designation ....................... ..................... 406(T)
hardness ................................................. 406! T)
W eq ..................................................... ..................... 406(T)
Welded assembly, crack propagation speed
affected by residual stresses ................ 15(F)
Welded joints
fatigue strength and residual stress ..........15(F)
stress relief of............................................15(F)
Welding .............................................................99
crack propagation and residual
stresses................................... 35(F), 36(F)
and distortion ..................................391-394(F)
effect on rail steel residual stresses ... 434(F)
longitudinal and transverse residual stresses
on aluminum plate ............392(F), 394(F)
macro residual stresses set up ........... 60-61 (F)
mechanical, thermal, or structural origins of
residual stress .................................. 13(T)
multipass ..................................................... 392
phase transformations and residual
stresses..................... 392-393(F), 394(F)
P/M parts......................................................405
quenching processes and residual
stresses.........................................392, 394
repair ........................................................... 392
shrinkage and impeded shrinkage due to
temperature distribution ... 391(F), 392,
393(F), 394(F)
tensile or compressive yield strength as
function of temperature .... 393-394(F)
tungsten inert gas .................................. 392(F)
Weldments
destructive residual-stress measurement
procedures...................................... 102(T)
distortion dependent on temperature of
transformation ................................... 7(T)
hydrogen-induced stress cracking ............... 110
residual stresses measurements .. .99, 100(T)
Rosenthal and Norton’s method,
variation of.......................................... 105
shot peening effect on fatigue life ........... 20(T)
shot peening effect on residual stress ... 354,
356(F)
steel, neutron diffraction weldments of ..113
stress corrosion test specimen
preparation ........................................... 110
Wet bag tooling ...............................................402
Wetting, period of (iw), ......................258, 261(F)
Wetting front .............................258, 260(F), 269
Wetting kinematics ......................................... 259
measurement methods .. 269, 272(F), 273(F)
Wetting process .............. 268, 269, 270, 272(F),
273(F)
and quenchant selection ..............................275
Wetting time ............................................ 259,272
Wetting velocity .. ..269,270,271-272,274
Wicking ...........................................................412
Widmanstatten ferrite. See Ferrite,
Widmanstatten.
William’s functions..........................................130
Wire drawing ............................ 141, 145-146(F)
in powder metallurgy processing .......... 397(F)
Wohler diagram (S-N diagram) ........................ 30
Wohler stress curves ..............................17, 30(F)
for induction hardened, carburized, or
quenched-and-tempered steels .. 244(F)
for slip band formation, microcrack
initiation, and failure ....................... 28(F)
Work hardening ................................................ 55
and cyclic deformation behavior...............33(F)
and deformation systems..................................6
effect on fatigue life in low-strength
steel .......................................................40
and fatigue strength .......................... 27, 28, 52
parameter ............................................ 299, 300
P/M parts.......................................................407,408(F)
Workpiece size, influence on residual
stresses..................................................... 195,198(F)
Work-softening processes, and fatigue ........... 27,
28(F)
www.residualstress.com .................................. 100
X
X-ray diffraction (XRD)........... 99-101(F), 104,
124,144,146, 339, 438-439(F)
brazed metal-ceramic compounds . . . . 395(F)
for calculating longitudinal residual stresses
in Japanese sword...........309(F), 310(F)
combined with electropolishing...................109
for determining residual stress variations
after induction hardening ...................233
for evaluating brazed joint of steel and
cemented carbide ............................... 395
for evaluating residual stresses after
grinding.......................................... 151(F)
for evaluating residual stresses after
straightening .......................................156
for evaluating residual stresses in P/M
products................................. 413,415,418
of high-alloy tool steels .............................. 342
for measuring actual crystal
dimension ....................................111-113
for measuring axial residual
stresses................................... 236(T), 238
for measuring compressive stresses in rail
steel .................................................... 431

for measuring computerized quenching of
cylinder ................................. 302(F), 305
for measuring initial residual stress
distribution ...................................... 22(F)
for measuring plate weldment strain .......... 106
for measuring residual stress distribution
after quenching and tempering ..........284,
287(F)
for measuring residual stress distribution in
scanning induction hardened
cylinder ................................. 290, 294(F)
for measuring residual stresses ... 11-13, 18,
54, 211, 212(F), 217, 223
for measuring residual stresses
in coatings..................... 118, 120-122(F)
for measuring residual stresses in quenched
steel disk ............................... 289, 290(F)
for measuring retained austenite distribution
in carburized-and-hardened
steels ............................................. 447(F)
X-ray diffraction profiles.......................351-352
X-ray diffractometer, miniature ............. 112(F),
113(F)
X-ray diffractometry..................................... 333
X-ray electron spectroscopy, grain boundary
embrittlement ............................................78
X-ray interference lines
to determine micro residual stresses ............ 55
and micro residual stresses and cyclic
deformation .......................................... 67
X-ray profile analysis, micro residual stresses
relaxation behavior.................................... 63
Y
Yield function........................... 299-300(F), 301
of casting process ....................................... 365
Yield point...................................................... 317
Yield strength
of austenite after welding ............... 393-394(F)
of bearing ring being hardened ..............318(F)
effect on residual stress development in
steels ..................................................3(T)
temperature effect ..........................251, 254(F)
Yield stress
of casting process ....................................... 365
in cold forming ........................................... 148
Young’s modulus ............................. 142(F), 145
of aluminum alloy ................................. 378(T)
Index / 499
of first-order residual stresses of metallic
materials ....................................... 335(T)
symbol and units of.................................. 93(T)
Yttrium oxide/partially stabilized zirconia
coating.....................................................118
Yuriev formulas............................................. 313
Z
ZDT. See Zero ductility temperature.
Zener-Wert-Avrami function, time effect on
residual stress relaxation ............... 56, 58(F)
Zero ductility temperature (ZDT) .......... 363
Zero strength temperature (ZST) .......... 363
Ziegler model of back stress
rate............................... 299-300(F)
Zinc, alloying element effect on crack
growth .......................................................80
Zirconium, alloying effect on susceptibility to
austenite grain growth.....................325, 328
Zirconium oxide (Zr02)
brazing .......................................394(F), 395(F)
brazing residual stresses......................... 393 (T)
Zone segregation ........................................... 168
ZST. See Zero strength temperatures.
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