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Failure Analysis of Heat Treated Steel Components Copyright 2008 ASM International
L.C.F. Canale, R.A. Mesquita, and G.E. Totten, editors, p 1-42 All rights reserved.
DOI: 10.1361/faht2008p001 www.asminternational.org

Component Design
Mario Solari, CTI Consultores de Tecnologa e Ingeniera SRL
Pablo Bilmes, Universidad Nacional de La Plata

DESIGN involves different creative aspects: involve a complex interrelationship of variables


planning, development, procedures, availability, associated with the material, manufacturing
and fitness concerning the materials and pro- processes, and service conditions (Ref 2).
cesses used to manufacture the component. The ability of ferrous materials to develop
Design is an iterative process, often based on required properties through heat treatment is
experience, to provide an assessment of the a broad concept that refers both to the ease
performance of a component for a certain period with which a material may be heat treated
of time of expected or intended service life. The and the resulting in-service fitness of the com-
design process culminates in a technical speci- ponent.
fication for the part or system and suitable The iron allotropic transformation between
manufacturing processes. Another obvious aim more densely packed face-centered cubic iron,
of design is to prevent failures throughout the nonmagnetic gamma (c) phase designated as
component lifetime cycle and avoid situations austenite, and the less densely packed body-
resulting in severe failure. centered cubic iron, alpha (a) phase designated
Heat treating achieves the desired changes in as ferrite, is the basis for heat treatment of steels.
structure and properties, and various types of Austenite can dissolve up to approximately
heat treatments may be employed to meet design 2.0 wt% C and in most steels is not stable at
requirements for mechanical strength, corro- low temperature. On the other hand, the inter-
sion, wear, and so on. Heat treatments include stitial sites in ferrite are much smaller than in
stress relieving, austenitizing, normalizing, austenite; therefore, ferrite can only dissolve
annealing, quenching, and tempering (Ref 1). very small concentrations of carbon (0.025 wt%
Heat treating may also involve chemical or maximum) and is relatively soft and stable at
additional physical processes. A systematic room temperature.
procedure for minimizing risks involved in heat The iron-carbon phase diagram shows the
treated steel components requires a combination compositional limits of the different transfor-
of metallurgical failure analysis and fitness for mational phases formed by a steel alloy that
service with respect to safety and reliability exist during heating or cooling as a function
based on risk analysis. The effects of steel heat of temperature. In hypoeutectoid steels (those
treatment may include (Ref 1): with 50.80 wt% C), upon cooling two different
phases can exist, ferrite and austenite, each con-
 Control of microstructure formation
taining different amounts of carbon. Upon fur-
 Increase of strength, toughness, or perhaps
ther cooling, the microstructure of these steels
creep resistance
exhibits ferrite grains in a pearlite island. Pearlite
 Relief of residual stresses and prevention of
is a metastable microstructure formed during
cracking
 Control of hardness (and softness) austenite decomposition. The pearlite structure
is an aggregate consisting of alternating lamellae
 Improvement of machinability
of ferrite and cementite that is formed on slow
 Improvement of corrosion resistance or wear
cooling during the eutectoid reaction. Cementite
resistance
is a very hard and brittle compound of iron
Introduction to Heat Treat Processing and carbon (Fe3C). Depending on the thermal
history, cementite will appear as lamellae (with
Material behavior related to heat treatment ferrite), spheroids, or globules in a ferritic
can be analyzed by developing models that matrix.
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2 / Failure Analysis of Heat Treated Steel Components

Microstructures that are formed upon cool- these conditions, the surface of the part is initi-
ing and the proportions of each are dependent on ally cooled much more quickly than the core.
austenitization time, temperature, cooling his- Therefore, the specific volume in the core is
tory of the particular alloy, and the composition greater than at the surface, and the reduction in
of the alloy. The transformation products from volume at the surface is resisted by the greater
austenite decomposition change from a mixture volume in the core, resulting in the surface being
of ferrite and pearlite to bainite or martensite in tension and the core in compression. After the
with increasing cooling rate. cooling processes have been completed, the
Bainite is a two-phase mixture of ferrite residual-stress distribution between the surface
and cementite consisting of fine lines of iron and core is obtained. If the surface stresses
carbide in acicular ferrite. Upper bainite has a exceed the hot yield strength of the material, it
feathery appearance and forms just below the plastically deforms, resulting in thermally
temperature where fine pearlite is formed. induced dimensional changes (Ref 3). When
Lower bainite exhibits an acicular micro- steels that undergo transformational changes are
structure that is formed just above martensite, quenched, the possibility of the formation of
which is produced at approximately 350  C both thermal and transformational stresses must
(660  F). be considered.
Martensite is a supersaturated solid solu- Steel parts are often tempered by reheating
tion of carbon in alpha iron (ferrite) that is after quench hardening to obtain specific
less densely packed than the c body-centered mechanical properties. The tempering process
tetragonal lattice and is a magnetic platelike involves heating hardened steel to some tem-
structure formed by a diffusionless shear type perature below the eutectoid temperature for the
of transformation of austenite below the mar- purpose of decreasing hardness and increas-
tensite start (Ms) temperature. The amount of ing ductility and toughness while relieving
transformation depends on the martensitic quench stresses and ensuring dimensional stab-
temperature range (Ms to Mf). (Mf is the mar- ility. Tempering processes include temper-
tensite finish temperature.) The three forms of ing of martensite, transformation of retained
martensite are lath, plate, and tempered mar- austenite to martensite, tempering of the de-
tensite. composition products of martensite, and de-
Transformation from austenite to martensite composition of retained austenite to martensite.
results in a volumetric expansion at the Ms In addition, tempering may also lead to dimen-
temperature. Dimensional changes are possible, sional variation due to relaxation of residual
depending on the carbon content and micro- stress and plastic deformation, which is due
structural transformation product formed. The to the temperature dependence of yield
volume change (%) is [4.640.53 (%C)] for the strength. Tempering may lead to an increase in
reaction from austenite to martensite. hardness if secondary hardening occurs, which
The two most commonly used transforma- is due to precipitation of a compound or to
tion diagrams are time-temperature transfor- the formation of martensite or bainite from
mation for isothermal transformation, and retained austenite, decomposition during tem-
continuous cooling transformation diagrams. pering, or destabilization during this process
These diagrams can be used to predict steel and then transformation during subsequent
microstructures and hardness after heat treat- cooling.
ment, or they may be used to design a heat Quenchant selection and quenching con-
treatment process. Heat treating processes ditions are critically important parameters in
include hardening, austenitization, annealing quench system design. For example, the dim-
(full annealing, intercritical annealing and sub- ensional changes after austenitizing and then
critical annealing, recrystallization annealing, quenching in water are greater than quenching in
isothermal annealing, soft annealing, diffusion oil (Ref 3).
annealing), normalizing, stress relieving,
quenching and tempering, and austempering,
and are summarized in Table 1 (Ref 1).
Hardening and tempering are common Important Design Aspects
heat treatment processes. If steel is cooled suf-
ficiently fast, without microstructural transfor- The importance of good design cannot be
mation, thermal stresses can develop. Under overemphasized. Poor design can cause or
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Component Design / 3

Table 1 Heat treating process for carbon steels


Process Characteristics
Austenitization: The optimal austenitization temperature is 3050  C (5590  F) above Ac3 for
Complete transformation to austenite by hypoeutectoid steels and 3050  C (5590  F) above Ac1 for hypereutectoid steels.
heating the steel above the critical Ac3 is the temperature at which the transformation of ferrite to austenite is completed
temperature for austenitic formation during heating. Ac1 is the temperature at which austenite begins to form during heating.
The heating rate must be limited and uniform to avoid cracking or warpage and to control
thermal stresses in the range of 250600  C (4801110  F).
The carbon equivalent controls the propensity for steel to crack.
The holding time is dependent on geometrical factors related to the furnace (emissivities,
temperature, and atmosphere composition) and load (type of steel and thermophysical
properties).
Annealing: Full annealing: Heat 3050  C (5590  F) above Ac3 for hypoeutectoid steels, then
Heat treatment consisting of heating and furnace cool through the critical temperature range at a specified cooling rate. The aim
soaking at suitable temperature followed by is to break the continuous carbide network of high-carbon steels. It improves
cooling under conditions such that, after machinability.
return to ambient temperature, the metal will Partial (intercritical) annealing: Heating within the critical temperature range (Ac1Ac3),
be in a structural state closer to that of equi- followed by slow furnace cooling. It improves machinability.
librium Subcritical annealing: Heating 1020  C (2035  F) below Ac1 followed by cooling in
The primary purpose of annealing is to soften still air. It can be used to temper bainitic or martensitic structures to produce softened
the steel to enhance its workability and microstructures containing spheroidal carbides in ferrite. Improves the cold working
machinability. Also, it relieves internal properties of low carbon steels (525% C) or softens high-carbon and alloy steel
stresses, restores ductility and toughness, Recrystallization annealing: Heat the steel for 30 min1 h at temperature above the
refines grains, reduces gaseous content in the recrystallization temperature (TR=0.4 Tm), then the steel is cooled. The treatment
steel, and improves homogenization of temperature depends on prior deformation, grain size, and holding time. The
alloying elements. recrystallization process produces strain-free grain nucleation, resulting in a ductile,
spheroidized microstructure.
Isothermal annealing: Heating the hypoeutectoid steel within the austenitic transformation
range above Ac3 for a time sufficient to complete the solution process, yielding a
completely austenitic microstructure. At this time, the steel is cooled rapidly at a
specific rate within the pearlite transformation range until the complete transformation
to ferrite plus pearlite occurs, and then it is cooled rapidly.
Spheroidizing (soft annealing): Involves the prolonged heating of steel at a temperature
near the lower critical temperature (Ac1), then furnace cooling
Diffusion (Homogenizing annealed): Heat the steel rapidly to 11001200  C
(20102190  F) for 816 h, furnace cool to 800850  C (14701560  F), and then
cool to room temperature in still air. It is performed on steel ingots and castings to
minimize chemical segregation.
Normalizing: Heat the steel to 4050  C (8090  F) above Ac3 for hypoeutectoid steels and 4050  C
The aim is to provide a uniform (8090  F) above Acm for hypereutectoid steels. The holding time depends on the size,
microstructure of ferrite plus pearlite (small and then the steel is cooled in still air. It produces grain refinement and improved
grains and finer lamellae than in annealing). homogenization.
Stress relieving: Heat to a temperature below Ac1for the required time to achieve the desired reduction in
It is typically used to remove residual residual stresses, and then the steel is cooled at a rate sufficiently slow to avoid the
stresses that have accumulated from prior formation of excessive thermal stresses. Below 300  C (570  F), faster cooling rates
manufacturing processes. Stress relieving can be used. No microstructural changes occur during stress-relief processing. The
results in a significant reduction of yield recommended heating temperature range is 550700  C (10201290  F), depending on
strength in addition to reducing the residual the type of steel. These temperatures are above the recrystallization temperature. Little
stresses to some safe value. or no stress relief occurs at temperatures 5260  C (500  F), and approximately 90% of
the stress is relieved at 540  C (1005  F). The maximum temperature for stress relief
is limited to 30  C (55  F) below the tempering temperature used after quenching.
The results of the stress-relief process are dependent on the temperature and time.
Hardenability: The hardenability depends on the concentration of dissolved carbon in the austenitic
Ability to develop hardness to a given phase, alloying elements, austenitizing temperature, austenitic grain size at the moment
depth after having been austenitized and of quenching, size and shape of the cross section, and quenching conditions.
quenched
Quenching: Specific recommendations for quench media selection for use with various steel alloys are
Quench severity is the ability of a provided by standards such as SAE AMS 2759. Quench media include water, brine,
quenching medium to extract heat from a aqueous polymer, gas or air quenching, and caustic quenching.
hot steel workpiece.
Tempering: The tempering process involves heating steel to any temperature below the Ac1
Tempering is the thermal treatment of temperature. During tempering, as-quenched martensite is transformed into tempered
hardened and normalized steels to obtain martensite, which is composed of highly dispersed spheroids of cementite (carbides)
the desired mechanical properties, which dispersed in a soft matrix of ferrite, resulting in reduced hardness and increased
include improved toughness and ductility, toughness. The objective is to allow the hardness to decrease to the desired level and
lower hardness, and improved dimensional then stop the carbide decomposition by cooling. The extent of the tempering effect
stability. is determined by the temperature and time of the process.
Source: Ref 1
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4 / Failure Analysis of Heat Treated Steel Components

promote heat treatment failures before the properties l, r, and Cp vary with temperature.
component is put into service, or it may reduce The differential equation of heat conduction
service life, sometimes dramatically. The establishes the relation between the time and
objective of proper design for heat treatment is space variation of temperature at any point
to provide the minimum engineering require- of the body in which conduction takes place.
ments, the desired material properties at the The factor of proportionality thermal diffusivity,
lowest total cost, and, in particular, to minimize a, represents a physical property of the material,
the expense of scrap due to rework of parts that is essential for transient processes of heat flow,
may have undergone excessive distortion or and defines the rate of change of temperature.
cracked. If the thermal conductivity, l, is the ability of
The Heat-Transfer Theory Applied to Heat a solid to conduct heat, thermal diffusivity is
Treatments. The laws that govern heat trans- the measure of a material thermal inertia. The
mission are very important to the engineer in quantity rCp is the volumetric specific heat;
heat treatment design. There are three different this product is approximately constant for solid
types of heat transfer: conduction, convection, metals. So, in the case of austenitic stainless
and radiation (Ref 4). They have in common that steels, low thermal conductivities correspond
temperature difference (thermal gradient) must to low thermal diffusivities. In other words,
exist and that the heat is always transferred in the equalization of temperature at all points of
direction of decreasing temperature. When the space will proceed at a lower rate in austenitic
temperature profile does not change with time, stainless steels, with respect to ferritic steel, due
the fundamental relation for the unidirectional to its lower thermal diffusivity, and there are
steady flow of heat through a solid by conduc- difficulties in homogenizing temperature during
tion, Fouriers first law, can be expressed by: heat treatments.
Heat transfer by convection occurs between
T
Q=7l (Eq 1) the surface of the body and surrounding fluids;
x for this type of heat transmission, the following
where Q is the quantity of heat flowing through Newtons equation is in general use:
the unit area of a wall per unit time in the
Qh =hDT (Eq 4)
direction of the x-axis and is directly propor-
tional to the thermal conductivity, l, and the It simply states that an invariable temperature
thermal gradient in x-direction. Thermal con- difference, DT, between a surface and a fluid in
ductivity has a nearly linear dependence on contact with it causes a steady heat flow of Qh.
temperature. The factor of proportionality, h, is called the
During heat treatments, the temperature var- coefficient of heat transfer.
ies in time as well as in space; these processes The third type of heat-transfer mode is
are called unsteady, nonstationary, or transient. radiation. The heat flow by radiation is com-
As the body heats, the temperature at each point monly written:
asymptotically approaches the temperature of
 
the medium. The temperature of points near the Q=es T14 7T04 (Eq 5)
surface of the body changes most rapidly. The
differential equation for one-dimensional tran- where e is the emissivity (1 for a black body),
sient heat conduction, Fouriers second law, in T is the temperature, and s is the Stefan
the absence of inner heat sources is: constant (Ref 5). The three different types of
heat transfer, conduction, convection, and
T 2 T radiation, are present during the heat treatment
=a 2 (Eq 2)
t x processes.
Perhaps the most important physical property
where T is the temperature, t is the time, and a is of steel to be considered in design is its coeffi-
the thermal diffusivity of the metal and is: cient of thermal expansion. Most heat treating
l
problems could be solved if this coefficient
a= (Eq 3) could be controlled. Because it cannot, it is
rCp
necessary to learn to design with it (Ref 6).
where l is the thermal conductivity, r is the Almost all solids expand on heating. As the
density, and Cp is the specific heat at constant temperature is raised, the thermal vibration
pressure of the material. The thermophysical pushes the atoms apart, increasing their mean
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Component Design / 5

spacing. The effect is measured by the linear Thermal expansion of austenite is larger than
expansion coefficient: that of ferrite. These thermal expansion values
are representative of solution-annealed material.
1 dl Subsequent precipitation hardening treatments
a= (Eq 6)
L dT may affect thermal expansion (Ref 7).
where L is a linear dimension of the body In high-temperature components design,
(Ref 5). incompatibility of thermal expansion becomes a
The relationship between thermal con- major problem. Choice of materials and designs
ductivity and thermal expansion is important in should take this into account. Bolts used to hold
designing against thermal distortion. Thermal high-temperature casings together must be
gradients can cause a change of shape, which is a selected to have sufficient elevated-temperature
distortion of the component. The strain is related strength and make a good thermal expansion
to temperature by: match with the casing material. When rotor and
casing are made of ferritic steel, modified 12%
e=aT0 7T (Eq 7) Cr bolts work well up to 565  C (1050  F), but
where T0 is ambient temperature, and a is ther- nickel-base superalloys are needed at 595  C
mal expansion (Ref 5). (1100  F) or higher.
The ability of a material to resist thermal
The distortion is proportional to the gradient
of the strain, so it is proportional to the thermal shock, due to a sudden immersion in a cold
gradient. By Fouriers first law, the heat flow is medium, without cracking depends on its ther-
mal expansion coefficient, a; tensile strength,
proportional to the thermal gradient through
the thermal conductivity, l. For a given geo- st, for metals; Youngs modulus, E; thermal
metry and heat flow, the distortion is mini- conductivity, l; and heat-transfer coefficient, h.
mized by selecting materials with large values A temperature change of DT applied to a
constrained body or a sudden change DT of the
of l/a (Ref 5). For example, austenitic stain-
less steels have low thermal conductivity and surface temperature of the unconstrained com-
high thermal expansion, related to ferritic steel, ponent induces a stress:
so distortion during welding becomes a pro- EaDT
blem. s= (Eq 8)
C
Thermal expansion has a strong influence on
the development of residual stress. Whenever where C is equal to 1 for axial constraint, (1n)
the thermal expansion or contraction of a body is for biaxial constraint, (12n) for triaxial con-
prevented, thermal stresses appear; if large straint, and n is Poissons ratio. If this thermally
enough, they cause yielding, fracture, or elastic
collapse (buckling). For axial constraint, the Table 2 Linear thermal expansion for ferrous
stress, Ds, produced by a temperature change of materials
1  C or the stress per  C caused by a sudden Linear thermal expansion
in temperature range
change of surface temperature in one that is not from room temperature
constrained is equal to aE, where a is the to 704 C (1300 F)

expansion coefficient, and E is the elastic mod- Steel mm/m in./ft

ulus of the material. For biaxial and triaxial Carbon and low-alloy steels:
constraint, the stresses shall be multiplied by C; C-Mn; C-Si; C-Mn-Si; C-1/2 Mo to 10.3 0.124
11/4 Cr-1/2 Mo; Mn-1/2 Mo-1/2 Ni
(1n) and (12n) respectively, where n is 5Cr-1Mo and 29Cr-7Ni-2Mo-N steels 9.5 0.114
Poissons ratio. These stresses are large and can 9Cr-1Mo steel 8.8 0.106
cause a material to yield, crack, spall, or buckle 12Cr; 12Cr-1Al; 13Cr; and 13Cr-4Ni 8.5 0.102
steels
(Ref 5). 15Cr and 17Cr steels 8 0.096
Linear thermal expansion (Table 2) in going 27Cr steels 7.3 0.088
from room temperature to 700  C (1300  F) is Austenitic stainless steels:
approximately: 16Cr-12Ni-2Mo; 16Cr-12Ni-2Mo-N;
16Cr-12Ni-2Mo-Ti; 18Cr-8Ni 13.1 0.157
 10.3 mm/m (0.124 in./ft) for low-alloy steel
Austenitic stainless steels:
 8.5 mm/m (0.102 in./ft) for martensitic
29Ni-20Cr-3Cu-2Mo; 20Cr-18Ni-6Mo;
stainless steel (type 13Cr) 22Cr-13Ni-5Mn 12.25 0.147
 13.1 mm/m (0.157 in./ft) for austenitic Source: Ref 7
stainless steel (type 18Cr-8Ni).
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6 / Failure Analysis of Heat Treated Steel Components

induced stress exceeds the local tensile strength other hand, for fast air flow (h=102 W/m2K),
of the material, yielding (permanent plastic the factor A results are equal to 3 10 2 (for
deformation) or cracking results (Ref 5). This section s=10 mm), and the thermal shock
plastic flow causes permanent shape change resistance DT is larger by the factor 1/A (Ref 5).
(distortion) and impacts the magnitude and dis- As an example of the use of the aforemen-
tribution of residual stresses. Water quenching tioned equations, Fig. 1 shows schematically the
gives a high h, and then the values of DT cal- effect of the thermal expansion coefficient (a)
culated from the previous equation give an and the heat-transfer coefficient (h) in thermal
approximate ranking of thermal shock resistance shock resistance (DT) for a hypothetical steel
(Ref 5). with 800 MPa (~120 ksi) tensile strength, bi-
However, when heat transfer at the surface is axial constraint, and thermophysical properties
poor and the thermal conductivity of the solid is constant with temperature. Three cases were
high, the thermal stress is less than that given by analyzed:
the previous equations. A measure of the thermal
shock resistance that takes into account the finite a) In the first case, a ferritic steel with low
rate of heat transfer at the surface, a heat-transfer thermal expansion and a very high-heat
coefficient that is never infinite, is given by: transfer coefficient (fast water quench,
st h=104 W/m2K) was considered. The max-
BDT= (Eq 9) imum temperature change (thermal shock
aE
resistance) that induces stresses below the
where st, a, and E were defined previously, tensile strength, avoiding yielding or crack-
B=C/A, where C also was defined previously; ing, is 240  C (470 F).
and A is: b) The second example similar to case (a) but
sh=l with high thermal expansion. The thermal
A= (Eq 10)
1+sh=l shock resistance results in temperatures
above 135  C (270  F) increasing the failure
where s is a typical dimension of the sample in
risk.
the direction of heat flow, h is the heat-transfer
c) The third example is similar to case (a) but
coefficient, and l is the thermal conductivity
with a lower heat-transfer coefficient (air
(Ref 5). The quantity Bi=sh/l is usually called
flow, h=50 W/m2K). The thermal shock
the Biot modulus. If Bi41, heat flow is limited
resistance results in 280  C (535  F)
by conduction. For fast water quench of metals,
decreasing the risk of failure.
the heat-transfer coefficient, h, is high (h=
104 W/m2K), and the thermal conductivity is These factors (residual stresses and dimen-
also high, so the factor A approaches 1. On the sional changes) have the greatest influence on

900
Tensile strength
800
(120)
700
Induced thermal stress for very
600 high heat-transfer coefficient, h,
Stress, MPa (ksi)

(90) and low thermal expansion


500 Induced thermal stress for very
400 high heat-transfer coefficient, h,
(60) and high thermal expansion
300 Induced stress for low heat-
transfer coefficient and low
200
(30) Thermal shock thermal expansion
100 resistance

0
0 50 100 150 200 250 300
(90) (180) (270) (360) (450) (540)
Temperature change, C (F)

Fig. 1 Schematic representation of thermal stresses resulting from a sudden change, DT, of the surface temperature and thermal shock
resistance
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Component Design / 7

the design process of a component. In addition to lysis or by using approximate formulas that
thermal strains, many materials systems undergo account for the most common cases. Design
phase transformations as a function of tem- should be verified to confirm whether there are
perature. Often, the new phase(s) that forms has stress-concentration points that may activate
a different volume and different coefficient of failure mechanisms due to brittle fracture, cor-
expansion as well as different mechanical rosion, or fatigue.
behavior(s) than the parent phase(s). For exam- Examples of peak stresses are thermal stresses
ple, phase transformation from austenite to in the austenitic steel cladding of a carbon steel
martensite results in a volumetric expansion at vessel, thermal stresses in the wall of a vessel or
the martensite start (Ms) temperature. These pipe caused by rapid change in temperature of
differences increase the complexity of under- the contained fluid, and the stress at a local
standing the effect of thermal gradients on the structural discontinuity.
strains produced and the resulting plastic Residual stresses (Ref 9) can be defined as
deformation (Ref 8). Thermal and transforma- those stresses that remain in a material or body
tion-induced strains can result in substantial after being manufactured and processed in
plastic deformation and residual stresses. The the absence of external forces or thermal gra-
total induced strain is the result of the sum dients. Residual stresses can be defined as either
of the strain produced by thermal expansion macro- or microstresses, and both may be pre-
(aE DT=eth) of a piece with initial length (E) sent in a component. Macroresidual stresses
and the transformation strain (etr). The total vary within the body of the component over a
induced strain must be accommodated through much larger range than the grain size. Micro-
either elastic (eel) or plastic (eep) strain, which residual stresses, which result from differences
sums to the total strain et=eth +etr= within the microstructure of a material, operate
(eel +eep). In order to determine the accom- at the grain-size level or at the atomic level.
modation strain values, Youngs modulus (E) Microresidual stresses often result from the
and the yield strength (sys) are required as a presence of different phases or constituents in a
function of phase and temperature. Most of the material.
plastic deformation occurs during the heat-up Residual stresses develop during most
and cool-down stages of the process (Ref 8). manufacturing processes involving material
Primary Stresses, Secondary Stresses, Peak deformation, heat treatment, machining, or
Stresses, and Residual Stresses. Primary processing operations that transform the shape
stress is a normal or shear stress developed by or change the properties of a material. They arise
the imposed loading that is necessary to satisfy from a number of sources and can be present in
the laws of equilibrium of external and internal the unprocessed raw material, introduced during
forces and moments. The basic characteristic manufacturing, or can arise from in-service
of a primary stress is that it is not self-limiting. loading.
Primary stress that considerably exceeds the In heat treated parts, residual stresses may be
yield strength will result in failure or at least classified as those caused by a thermal gradient
in great distortion. Secondary stress is a normal alone or a thermal gradient in combination
or shear stress developed by the constraint of with a microstructural change (phase transfor-
adjacent parts or by self-constraint of a structure. mation). When a steel part is quenched from
The basic characteristic of the secondary stress the austenitizing temperature to room tempera-
is that it is self-limiting. An example of sec- ture, a residual-stress pattern is established due
ondary stress is a general thermal stress. to a combination of a thermal gradient and a
The elastic stresses calculated previously are local transformation-induced volume expan-
nominal values, that do not take into account sion. Thermal contraction develops nonuniform
local discontinuities such as holes, notches, or thermal (or quenching) stress due to different
section changes. Even on a structure where rates of cooling experienced by the surface
stress intensity has been limited by yield criteria, and interior of the steel part. Transformational
there may exist highly localized regions where volume expansion induces transformation stress
peak stresses are several times higher than yield. arising from the transformation of austenite into
Maximum local stresses on a structure can be martensite or other transformation product
determined by considering nominal stresses (Ref 10).
multiplied by a stress-concentration factor and Residual stresses may be sufficiently large to
can be estimated through a detailed stress ana- cause local yielding and plastic deformation,
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8 / Failure Analysis of Heat Treated Steel Components

both on microscopic and macroscopic levels, stress gradients in the surface layers of the
and can severely affect component perfor- component.
mance. Both the magnitude and distribution of The criterion applied to avoid plastic defor-
the residual stress can be critical to perfor- mation states that the calculated stress intensity
mance and should be considered in the design or effective stress must be lower than the yield
of a component. In any free-standing body, and design life creep-rupture stresses of the
stress equilibrium must be maintained, which material. When effective stress is exceeded
means that the presence of a tensile residual somewhere within the component, it does not
stress in the component will be balanced by a necessarily indicate plastic collapse of the entire
compressive stress elsewhere in the body. structure. Primary stresses may locally exceed
Tensile residual stresses in the surface of a yield, within certain limits, provided that there is
component are generally undesirable, since enough ductility to allow the material to yield
they can contribute to, and are often the major without cracking. Plastic collapse occurs when
cause of, fatigue failure, quench cracking, and primary stresses are uniform on the entire
stress-corrosion cracking. Compressive resi- structure and exceed effective stress. To prevent
dual stresses in the surface layers are usually an incremental collapse or thermal stress ratchet
beneficial, since they increase both fatigue in each loading cycle, the total elastic stress-
strength and resistance to stress-corrosion intensity range, considering residual and applied
cracking and increase the bending strength of stresses, should be limited to twice the yield
brittle ceramics and glass. In general, residual stress.
stresses are beneficial when they operate in Factors Leading to Size and Shape Changes
the plane of the applied load and are opposite in Heat Treated Components. Within a typi-
to it (for example, a compressive residual stress cal component manufacturing process, there are
in a component subjected to an applied tensile seven major factors that lead to size and shape
load). changes and the development of residual stres-
The origins of residual stresses in a compo- ses in heat treated components (Ref 8):
nent may be classified as mechanical, thermal,
 Variation in structure and material compo-
and chemical. Mechanically generated residual
sition throughout the component, leading to
stresses are often a result of manufacturing
anisotropy in properties and transformation
processes that produce nonuniform plastic
behavior
deformation. They may develop naturally during
 Movement due to relief of residual stresses
processing or treatment or may be introduced
from prior machining and forming opera-
deliberately to develop a particular stress profile
tions
in a component. Examples of operations that
 Creep of the part at elevated temperature
produce undesirable surface tensile stresses
under its own weight or as a result of fix-
or residual-stress gradients are rod or wire
turing
drawing (deep deformation), welding, machin-
 Large differences in section size and asym-
ing (turning, milling), and grinding (normal or
metric distribution of material, causing dif-
harsh conditions).
ferential heating and cooling during
On a macroscopic level, thermally generated
quenching
residual stresses are often the consequence of
 Volume changes caused by phase transfor-
nonuniform heating or cooling operations.
mation
These, together with the material constraints
 Nonuniform heat extraction from the part
in the bulk of a large component, can lead to
during quenching
severe thermal gradients and the development
 Thermal expansion
of large internal stresses. An example is the
quenching of steel (or aluminum alloys), All of these factors, except relief of prior
which leads to surface compressive stresses residual stresses (second item) and creep at
balanced by tensile stresses in the bulk of the elevated temperature (third item), can be
component. directly related to thermal and transformation-
Chemically generated stresses can develop induced strains in the component (Ref 8).
due to volume changes associated with chemical A simple example of how this thermophysical
reactions, precipitation, or phase transformation. property affects heat treating is given in Fig. 2
Chemical surface treatments and coatings can (Ref 11). As the shaft is quenched, the corner
lead to the generation of substantial residual- cools first, and as it shrinks, it mechanically
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Component Design / 9

upsets the hot steel beneath it. As the quench Fig. 3 (Ref 11). Because its thin sections are
progresses, the entire shaft cools, but now, relatively rapidly heated, this part could not be
because the end is hot upset, the diameter is too made to the required tolerances. The redesign
small to accommodate the circumference. As a shown on the right was an improvement, but the
result, the end is (usually) in a high state of necessary large access holes were still trouble-
residual tensile stress, and if the steel is brittle, some.
quench cracks may develop. Several other factors at the design stage can
The coefficient of expansion is a factor that contribute to problems traceable to austeniti-
requires serious design consideration because it zation:
affects a part during austenitization. With fur-
 Combinations of components with widely
nace heating, a part is heated to the austenitiza-
tion temperature mainly by radiation (80 to varying (nonuniform) section sizes
 Designs requiring contact with furnace
98%) and partly by convection (2 to 20%). By
hearths or placement near walls
radiantly heating particular portions of a part,
thin sections heat fastest, especially those that  Designs requiring processing that results in a
state of high residual stress before austen-
expose a large surface area, such as a spline or
itization.
gear. A typical example is the gear on the left in
 Parts that are very thin or long or parts that
are large in surface area, which are difficult
to heat treat because of distortion during
austenitization
 Designs that are unsuitable for the type of
furnace equipment available
In designing a tool or die, various factors must
be considered. In practice, it is difficult to
separate the design stage from steel grade
selection because the two steps are inter-
dependent. The choice of a certain grade of steel,
such as one that must be brine or water quen-
ched, will affect all aspects of design and man-
ufacture. In general, any steel grade that requires
liquid quenching demands very conservative,
careful design. Air-hardening grades tolerate
some design and manufacturing aspects that
could never be tolerated with a liquid quench-
ing. The design must also be compatible
Fig. 2 Effect of coefficient of thermal expansion in heat with the equipment available, for example,
treating a shaft. Source: Ref 6 heat treatment furnaces and surface-finishing

Fig. 3 Two gear designs showing the effect of coefficient of thermal expansion. At left is a widely used design, which is very
troublesome to heat-treat. A preferred design is shown at right. Source: Ref 11
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10 / Failure Analysis of Heat Treated Steel Components

devices. Designing tools and dies is more diffi- knowledge available for guidance.
cult than designing components made from Analysis of many tool and die failures shows
structural steels because of the difficulty in that two relatively simple design problems
predicting service stresses. Despite advances cause the most failures. These design short-
made in design procedures, much of the design comings are the presence of sharp corners and
work is still empirically based. Such experience the presence of extreme changes in section mass
is primarily based on past failures; therefore, it is (Ref 12). A sharp corner concentrates and
important that the findings of the failure analyst magnifies applied stresses, stresses that arise in
be incorporated into future work. Despite the tool and die manufacturing (such as during
shortcomings of the empirical approach, there quenching), or stresses that occur during service.
is a vast body of common-sense engineering In addition to promoting cracking during liquid
quenching, sharp corners promote buildup of
residual stresses that may not be fully relieved
by tempering and can therefore reduce service
life. The largest possible fillet should be used at
all sharp corners. Air-quenching grades of steel
are more tolerant of sharp corners than liquid-
quenching grades and are preferred when only
minimal fillets can be used. Changes in section
size can be the locus of premature failures.
Figures 4 to 8 (Ref 13) show failures caused
by design errors and selection of unsuitable
material.
Figure 4(a) shows the fracture of a lathe tool
bit made of steel with approximately 1.45% C
and 1.4% Cr that was hardened in oil at 870  C
(1600  F), which was at least 20  C (35  F) too
high. The fracture propagated from a rectangular
cross-sectional transition that was not properly
filleted and moreover was rough machined, as
shown by the grooves in Fig. 4(b) (thereby the
notch effect was further aggravated). Many
failures in service, especially those caused by
shock or cyclic loads, can be caused by such
design errors.
Figure 5 shows a bolt from a self-service
Fig. 4(a, b) Lathe tool bit of 1.45% C and 1.4% Cr steel elevator that failed as a result of reverse-bending
with acute-angled and rough-machined cross- fatigue. In this case, the fracture also propagated
sectional transition that fractured during hardening. (a) Fracture.
Original magnification: 1. (b) View into angle. 2. Source: from a sharp-edged cross-sectional transition.
Ref 13 To avoid further damage and prevent potential

Fig. 5 Bolt of a self-service elevator that failed as a result of reverse-bending fatigue. Source: Ref 13
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Component Design / 11

Fig. 6 Different parts of rock drills of different durability and made of a steel with 0.95% C, 1.2% Cr, and 0.25% Mo. (a) Broken drills
had sharp edges in the hexagonal shaft. Original magnification: 2. (b) Drills free of defects had well-rounded-off edges.
Original magnification: 2. (c) Fatigue fractures propagated from the sharp edges. Original magnification: 3. (d,e) Differences are
clearly seen in the cross section of the hexagonal shaft. Etching shows that the failed drills also were surface decarburized, which further
reduced the fatigue strength. Source: Ref 13

accidents, 24 other bolts that had not yet failed cause many errors (Ref 12). Not every steel user
were examined metallographically or in bending is in a position to select the most suitable
tests. Eight of these proved to have incipient material for his purpose from the many varieties
fatigue cracks in the cross-sectional transitions. available. When in doubt, consult the steel
The bolts were partially normalized and partially manufacturer whose materials specialists pos-
heat treated. Their strength was determined from sess the necessary knowledge of mechanical and
Brinell hardness to be between 440 and technological properties of the required mater-
700 MPa. Cracks had occurred in the annealed ials. A close cooperation between the materials
as well as the heat treated bolts, that is, in soft as specialist of the producer and the designer and
well as hard bolts. The higher strength of the heat plant engineers of the user is the best formula for
treated bolts was made ineffective by the unfa- success.
vorable design. One of the overwhelming causes of steel
Figures 6(ae) show different parts of rock cracking and unacceptable distortion control
drills of different durability and made of a steel is part design (Fig. 911). Poor part design
with composition 0.95% C, 1.2% Cr, and 0.25% promotes distortion, cracking, and nonsym-
Mo. They had failed after a short period of ser- metrical heat transfer during heating and cool-
vice in the hexagonal shaft, while others had ing.
proved free of defects. At first glance, it could be Sometimes, designers make designs in which
seen that the broken drills had sharp edges combinations of parts intended to reduce costs
(Fig. 6a), while those free of defects were can actually increase cost due to problems
well rounded off (Fig. 6b). Fatigue fractures during austenitization. The classic example is
propagated from the sharp edges. These, in turn, the gear-and-hub combination shown in Fig. 12
led to catastrophic failures under shock loading (Ref 11). As this part is heated, the thin extrem-
(Fig. 6c). The design differences could be ities at the top of the hub heat faster than the
clearly seen in the cross section (Fig. 6d,e). sections near the gear. Accordingly, this area has
Etching showed that the failed drills also were a propensity to increase in size but is restrained
surface decarburized, which further reduced the by the colder metal nearer the gear; therefore, it
fatigue strength. upsets itself (yields in compression). Finally, the
Figures 7(a,b) show a compressor transmis- entire part comes to the prescribed tempera-
sion shaft with a fracture propagating from an ture. On cooling, however, and even without
acute-angled keyway, and Fig. 8 shows a drive quenching, the top end of the hub pinches in
shaft pinion with fatigue fractures propagating because it has upset itself. This upsetting can
from the acute-angular edge of the helical gear. result in a serious taper condition in the bore. (If
On the other hand, ignorance, carelessness, the bore is broached before heat treatment, the
and false economies in the selection of materials extremities of the hub will stretch and then close
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12 / Failure Analysis of Heat Treated Steel Components

in, thus causing additional taper.) The top austenitization, making forging easier and, in
portion of the hub of the pinion in Fig. 12(a) is most cases, reducing total cost. The bevel pinion
used only as a spacer and need not be heat shown in Fig. 13 presents a similar problem,
treated. A much shorter hub with a steel tubing although the hub extension is necessary. Here,
spacer (Fig. 12b) would solve the problem in steel or, preferably, a heat-resistant alloy cap

Fig. 7(a, b) Compressor transmission shaft with a fracture propagating from the acute-angled keyway. Source: Ref 13

Fig. 10 Design solutions to the distortion problem shown in


Fig. 9. Source: Ref 3

Fig. 8 Drive shaft pinion with fatigue fractures propagating


from the acute-angular edge of the helical gear.
Source: Ref 13

Fig. 9 Schematic of a gear that is difficult to harden without Fig. 11 Distortion often encountered when quenching a
the distortion shown. Source: Ref 3 notch. Source: Ref 3
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Component Design / 13

that will create mass can be put over the thin hub As in quenching, however, induction tooling
before austenitization to retard the heating rate can be designed to concentrate flux by using
during carburizing. appropriate coil configuration and laminated
Because of the extremely rapid heating core material. The different frequencies avail-
rate, austenitization with high-frequency elec- able provide not only for various depths of
tric current can be likened to reverse rapid heating but also for the sharpness of the heating
quenching. Accordingly, design is of utmost effect, because the induction-heated layer is
importance. As a general rule, steel exposed often much thinner than the hardened depth of
to the flux of the inductor will heat fastest on austenitized steel. The extent of conduction
corners, around holes (as shown in Fig. 14), and is a function of the differential between the
through thin sections. The bottoms of keyways surface temperature and that of the core. Thus,
and the roots of gear teeth and splines are aus- preheating, either in the induction coil with a
tenitized last, often mainly by conduction from suitable delay or in a furnace, can be employed
adjacent areas. to reduce heat transfer inward.

Fig. 12 Two designs for gear-and-hub combinations. (a) Difficult to heat treat without excessive taper in the bore. (b) A preferred
design. Source: Ref 11

Fig. 13 Redesign of a bevel pinion using electron beam welding that was impossible to heat treat in one piece. Source: Ref 11
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14 / Failure Analysis of Heat Treated Steel Components

Finally, part design recommendations to fillets wherever possible.


avoid distortion and cracking problems (Fig. 15)  Use air-hardening or high-carbon (oil- and
include: air-hardening) tool steel on unbalanced and
intricately shaped dies.
 Parts that exceed the following dimensions  Add extra holes, if possible, on heavy,
often must be straightened or press quenched unbalanced sections to allow for faster and
to maintain dimensional stability: long and more uniform cooling when quenched.
thin parts, L=5d for water quenching and  Do not machine knife blades to a sharp cut-
L=8d for oil quenching (L is the length, ting edge before hardening.
and d is the thickness or diameter); and parts  Avoid deep scratches and tool marks. The
that possess large cross-sectional area (A) insertion of identification marks on the
and are thin (t), which are defined as A=50t. hardened component is recommended, pre-
 Balance the areas of mass. ferably after hardening, with tools having
 Avoid sharp corners and reentrant angles. well-rounded edges and minimum defor-
 Avoid sharp corners between heavy and thin mation (shallow penetration depth) and at
sections. positions far away from the high-stress-
 Avoid single internal or external keys, key- concentration zones (reentrant angles,
ways, or splines. bends, and so on).
 Provide adequate fillet or radius at the base  On long, delicate parallels, shafts, and so on,
of gear teeth, splines, and serrations. rough out and have pieces annealed to
 Do not have holes in direct line with the remove stresses before finish machining.
sharp angles of cutouts.  Always use the grade or composition of steel
 Avoid sharp corners at the bottom of small most suitable for the work that the part has to
openings, such as in drawing or piercing perform.
dies, because spalling or flaking is likely to  Design symmetry is also an important vari-
result at these points. able to minimize distortion.
 Keep hubs of gears, cutters, and so on as near  A general rule for solving such quench dis-
the same thickness as possible, because tortion problems is that the short side is the
dishing is likely to occur. hot side, which means that the inside of the
 Order stock large enough to allow for bowed metal was quenched more slowly
machining to remove decarburized surfaces than the opposite side.
and surface imperfections, such as laps and
seams. Steel Grade and Condition. Although steel
 Do not drill screw holes closer than 6.35 mm cracking is most often due to nonuniform
(0.25 in.) from the edges of die blocks heating and cooling, material problems may
or large parts, where possible. Cracking be encountered. Some typical material prob-
may be avoided by using steel that may be lems include the compositional tolerances:
hardened by using lower quench severity, dirty steels, those containing greater than
or, if possible, pack the bolt hole to 0.05% S (such as SAE 1141 and SAE 1144),
reduce thermal stresses arising due to are more prone to cracking. It is well known
quenching. that cracking propensity increases with carbon
 Avoid blind holes, if possible. content. Therefore, the carbon content of the
 Design all parts with round corners and steel is one of the determining factors for

Fig. 14 Section through a hole in a part following rapid heating in an induction coil, showing distortion that leads to cracking.
Source: Ref 11
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Component Design / 15

quenchant selection. As a rule of thumb, plain means that higher-cost, higher-alloy steels are
carbon steels with less than 0.35% C rarely required for adequate response to the slower
crack on hardening, even under severe quench- oil quench when carbon content exceeds
ing conditions. The carbon content of steel 0.35%.
should never be greater than necessary for However, when strength alone (and/or
the specific application of the part. As a general hardness), without the toughness of a quenched
rule, steels with more than 0.35% C will and tempered microstructure, fulfills the mini-
require oil quenching to avoid cracking. This mum engineering requirements, the use of

Fig. 15 Part design recommendations for minimal internal stresses. Source: Ref 3
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16 / Failure Analysis of Heat Treated Steel Components

cold-finished bars made with extra-heavy draft In considering the alternatives that relate to
or elevated-temperature drawing should receive minimization of distortion, it is assumed that the
consideration. In fact, why heat treat when it is grade of material is fixed, and no deviations are
unnecessary? Thus, SAE 1050, SAE 1140, or allowed in this area. There are often instances,
SAE 1144 steels should be particularly attractive especially for parts of complex design, where a
to firms with no heat treating facilities or with no change in steel composition will permit a less
commercial heat treater nearby. By adjustment drastic quench and thereby reduce distortion.
of their composition and the degree to which Such changes are usually to steels with higher
they are cold (or warm) worked, these steels can hardenability.
be made to have good machining characteristics In most instances, however, immediate
(Ref 6). changes in workpiece composition are not fea-
On the other hand, it is well known that sible. Pros and cons of the three most likely
regions containing high concentrations of coarse alternatives (listed previously) are discussed
carbide microstructure as a result of improper separately in the paragraphs that follow.
forging may become the initiation point for Consider Change to Another Process. In
subsequent quench cracking, particularly with this area, there are sometimes two or three pos-
parts of complex shape. It is important to sibilities, such as changing from a through-
provide a sufficient forging for microstructure to hardening steel to a case-hardening type or
become fine and uniform. Because part manu- changing to one that does not require rapid
facture, such as gear production, often requires cooling, such as nitriding. One of the most likely
machining, the condition of the steel that is changes that is often made in this area is to the
going to be machined is critically important. use of localized heating, such as induction. For
Some workers have recommended normalized example, a shaftlike member requires hardening
and subcritical-annealed steels as the ideal only in certain bearing areas. This can be
condition. The subcritical annealing process accomplished easily by induction and, in addi-
reduces the carbon content and alloy carbide tion to eliminating distortion, is often more
content in the austenite, allowing the production economical for other reasons. Parts such as ring
of more lath martensite in the microstructure, gears represent other examples where a change
which provides higher fracture toughness and to induction hardening resulted in keeping dis-
higher impact toughness. tortion within acceptable limits.
Steel hardenability is determined by its Increase Stock Allowance. In many in-
chemistry. The quench conditions required to stances, allowance for stock removal in the
obtain the desired properties are a function finishing operation (usually grinding) is the most
of the hardenability. Therefore, if the steel economical approach. Under these conditions,
chemistry is incorrect, the selected quench pro- some study is usually necessary to determine the
cess conditions may, if too severe, lead to magnitude of distortion caused by heat treating
cracking. Unfortunately, this problem is not and thereby how much stock allowance is
uncommon. required for cleanup. Frequently, it is necessary
to take reasonable precautions (perhaps some
special procedures) in heat treating and then
Techniques for Controlling Distortion take further steps by increasing stock removal
in finishing.
In applying one or more of the effective Mechanical straightening, either during
methods of minimizing distortion, cost is usually processing or applied to heat treated parts, offers
the major consideration. Therefore, in planning a third approach for solving distortion problems.
manufacturing operations, it behooves the pru- Straightening is sometimes used as the sole
dent processor to evaluate the costs of mini- technique for correcting distortion, but more
mizing distortion against the alternatives (Ref often it is used in conjunction with systematic
14). In almost any instance, there are at least stock removal.
three alternatives: Heat Treating Practices for Minimizing
 Change to another heat treating process Distortion. Positioning in the furnace may
 Make allowances for stock removal in fin- have a marked influence on total distortion,
ishing operations to correct the distortion especially for parts having a relatively large
 Incorporate straightening operations as re- length-to-cross section ratio. For example, for
quired long, shaftlike parts (solid or tubular), the
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Component Design / 17

poorest loading technique would be to pile them  Fog or mists


horizontally and more or less indiscriminately  Air
on the furnace hearth. Under these conditions,
distortion begins immediately and continues as The higher rate of heat extraction (quenching
the parts heat up and lose strength. Parts at the power) is obtained by agitated brine. Minimum
bottom of the pile will naturally distort the most, distortion would be obtained by vertical heating,
because they are subject to the greatest stress then cooling (quenching) by hanging in still air.
during heating. Of course, this technique would not usually be
In contrast to the poor technique described practical, largely because the parts would have
previously, the best technique for such parts to be made from air-hardening steels. There are
would be to hang them (preferably with spaces several factors that influence choice of quench-
between each part) in a vertical furnace for ing medium, but hardenability of the steel is
heating. As a rule, some further improvement usually the key factor. Cooling rate thus has a
can be achieved by heating in molten salt as marked effect on the amount of distortion.
opposed to a gaseous atmosphere. This is due to Consequently, the quenching speed should
the fact that some support is supplied by the never be faster than is required to attain the
buoyancy effect of molten salt. required critical cooling rate, when distortion is
One possible disadvantage (relating to dis- an important consideration.
tortion) of heating in molten salt is the heating Special quenching techniques may be
rate. Parts are heated four or five times as fast in needed. Vertical heating and quenching one part
a medium of molten salt compared to heating in at a time could be construed as a special tech-
a gaseous atmosphere. Rapid heating sometimes nique. However, commonly recognized special
increases distortion, especially when various techniques include:
section thicknesses are involved.  Martempering
Position during quenching may also have a  Press quenching
marked effect on the total amount of distortion.  Cold-die quenching
Parts that are hung vertically in the furnace to
minimize distortion should likewise be hung All of these methods can be used effectively to
vertically in the quenching tank; that is, deep reduce distortion, but as a rule, they are all
tanks are preferred for this type of work. In relatively costly and will greatly increase the
most instances, minimum distortion of specific total manufacturing cost.
workpieces is achieved when the quenching Whenever the handling of parts individually
medium is not agitated. To obtain full hardness, is involved, the cost of heat treating increases
however, agitation usually must be used. When rapidly. For example, tubes made from 52100
minimum distortion is required, if agitation is steel, 1.2 m (4 ft) long, 63.5 mm (2.5 in.) in
used, the quenching medium should be agitated diameter with a 3.175 mm (0.12 in.) wall thick-
with agitating force at the bottom of the tank. ness were required to be hardened to a minimum
Although this specific system is used for water, of 60 HRC with a maximum total indicator
the principle applies to any quenching medium. reading of 0.75 mm (0.030 in.). No salt bath of
The quenching medium should never be agitated sufficient depth was available for quenching;
from the side in such a system when minimum thus, martempering could not be considered.
distortion is important. Several different procedures were tried, but the
Choice of quenching medium can affect one that was ultimately successful consisted of
distortion. Typical quenching media listed in heating vertically (hanging) and quenching in
approximate order of decreasing cooling power, unagitated oil, one tube at a time. This procedure
are as follows: cost more than six times the estimated cost for
bundling the tubes, then mass heating and
 Water quenching. Therefore, the cost of such a practice
 Brine solutions (aqueous) would normally be considered prohibitively
 Caustic solutions (aqueous) expensive. Straightening during processing
 Polymer solutions may have solved the problem, but it also is very
 Oils expensive.
 Molten salts Martempering can, under many conditions,
 Molten metals be used to effectively reduce distortion and
 Gases, including still or moving can still be applied to mass production. This
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18 / Failure Analysis of Heat Treated Steel Components

depends largely on workpiece shape and size. metal dusting; sulfidation; nitridation; dis-
However, for long, shaftlike or otherwise bonding of chromium-molybdenum steels
unwieldy workpieces, martempering requires overlayed by austenitic stainless steels)
handling each workpiece individually and is
thus a relatively expensive operation, particu- Influence of design, steel grade, and condition
larly when simultaneous straightening is incor- are illustrated in the following examples.
porated. Example 1, in Fig. 16 (Ref 16), shows two
Press quenching is probably the oldest special AISI W1 carbon steel concrete roughers that
quenching technique and is still used to a con- failed after a few minutes of service. Cracking
siderable extent. The greatest use of press occurred at the change in section size due
quenching is for gears that cannot be heat treated to bending stresses. Although the section
with sufficient dimensional accuracy by mass change has a smooth, filleted surface, it is still
quenching in baskets. a very effective stress concentrator. Sub-
Selection of press quenching should be done sequent design changes involved a tapered
with the full knowledge that it is very expensive. change in section at the cracked location and
First, the presses are expensive machine tools. later at the start of the wrench above the
Second, the dies are expensive, and the dies must cracked region.
be tailored to the specific workpiece. Also, press Example 2 illustrates that holes placed too
quenching is slow, tedious, and thus expensive. close to the edges of components are a common
Minimum distortion is achieved by press source of failure during heat treatment or in
quenching, but heat treating cost is high. service. Figures 17(a) and (b) (Ref 16) show an
Dry die quenching is another tedious and AISI O1 tool steel die that cracked during oil
expensive process and should be considered quenching. The die face contained numerous
only for highly specialized applications. fine cracks. The left side of the die broke off
during quenching. Figure 17(b) shows both sides
of the fracture. Temper color (arrow), typical of
Examples of Failures due the 205  C (400  F) temper used in this case, is
to Heat Treatment apparent. This indicates the depth of the crack
produced during quenching that was open dur-
Different types of errors and failures produced ing tempering. Coarse machining marks and
in heat treatment (Ref 15) include: deep stamp marks were also present. Sharp,
unfilleted corners may also promote quench
 Heating errors: heating too fast causing cracking.
stresses in outer zones; heating non- Example 3, Fig. 18 (Ref 16) shows a 76 by 87
uniformly or locally overheating; heating at by 64 mm (3 by 37/16 by 2.5 in.) AISI O1 tool
too high a temperature or for too long a time steel die that cracked during oil quenching. The
(distortion, cracking, residual stresses, de- cracking pattern (emphasized using magnetic
carburization, alloy depletion) particles) that emanates from the sharp corners is
 Temperature errors: overheating (scaling, visible. A few cracks are also associated with the
burning, internal oxidation, hot shortness, holes that are rather close to the edges. Temper
grain coarsening, aging, phases precipi- color was observed on the crack surfaces, indi-
tation) cating that the cracks were present before tem-
 Heat treating errors: improper thermal pering.
cycle; too high a temperature; too low a Example 4, in Fig. 19 (Ref 16), shows an-
temperature; improper heating rate; impro- other example of a quench crack initiated by a
per cooling rate; improper soaking from sharp corner. This fixture was also made of AISI
timing errors or nonuniform quenchant; O1 tool steel that was oil quenched. In this case,
improper atmosphere control, which is cri- the corner was filleted, but there was a nick in the
tical in carburizing and nitriding; delay corner where cracking began. The shape of this
between quench and temper; improper aging fixture is also poor for steel that must be oil
treatment or postweld heat treatment (im- quenched. The thinner outer regions cool more
proper, unacceptable, or mixed structures and rapidly, forming martensite first, while the more
microstructural features; temper embrittle- massive central region cools at a slower rate. An
ment; sigma-phase embrittlement; 475  C air-hardenable steel would be a better choice for
embrittlement; sensitization; carburization; this part.
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Component Design / 19

Example 5 provides another case of a poor Example 6, in Fig. 21 (Ref 16), is a punch
design for liquid quenching, as shown in Fig. 20 made of AISI S7 tool steel that cracked during
(Ref 16). This 76 mm diameter by 76 mm long quenching because of rough machining marks (a
(3 in. by 3 in.) threaded part made of AISI W2 common cause of quench cracking). Because of
carbon tool steel cracked in half at an undercut at the section size, the punch was oil quenched to
the base of the threads. Figure 20 shows the two 540  C (1005  F), then air cooled. The cracking
broken halves along with a cold-etched disk pattern has been emphasized with magnetic
taken from the hollow portion of the part. The particles. Temper color was observed on the
hardened outer case can be seen in the fracture crack walls.
detail and in the cold-etched disk. Similar Example 7, Fig. 22(a,b) (Ref 16) show a
parts, without the undercut, were successfully classic example of a failure due to improper
hardened.

Fig. 17 (a) Front view of an AISI O1 tool steel die that


cracked during oil quenching. The die face contains
Fig. 16 AISI W1 (0.85% C) tool steel concrete roughers that holes that are close to the edge for safe quenching. (b) Side view of
failed after short service (2 min for S, 7 min for S11). broken die halves showing the mating fracture surfaces and
Failures occur at the change of sections. Source: Ref 16 temper color (arrow) on the crack surfaces. Source: Ref 16
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20 / Failure Analysis of Heat Treated Steel Components

electrical discharge machining (EDM) techni-


que. Die cavities are often machined by EDM.
The technique has many advantages, but failures
have been frequently observed due to failure to
remove the as-cast surface region associated
with the as-quenched martensitic layer. Cavity
surfaces must be stoned or ground, then tem-
pered to prevent such failures. Figure 22(a)
shows four 3.2 mm (0.125 in.) diameter EDM
holes in an AISI A4 tool steel primer cup plate.
The holes were finished by jig-bore grinding,
during which spalling was observed at many
of the holes (see upper-right hole). The surface
was swabbed with 10% aqueous nitric acid to
reveal regions affected by EDM. Figure 22(b)
shows the microstructure of these regions.
Fig. 18 AISI O1 tool steel that cracked during oil quenching. An as-cast region was present at the extreme
Note the cracks emanating from the sharp corners.
The four holes, which are close to the edge, also contribute to
edge (approximately 35.5 HRC). Beneath this
cracking. Source: Ref 16 layer was a region of as-quenched martensite
(approximately 63.5 HRC). Next was a back-
tempered region (approximately 56 HRC) and
then the base-unaffected interior (59 to 61
HRC). The brittle nature of the outer layers and
the associated residual-stress pattern caused the
spalling.
In many EDM-related failures, the as-cast
layer is not observed because of the technique
used or because of subsequent machining. In
these failures, however, an outer layer of brittle
as-quenched (white etching) martensite is pre-
sent. Such a failure is shown in Fig. 23; this
failure occurred in a plastic mold die made from
AISI S7 tool steel. The crack followed the lower
recessed contour of the larger-diameter gear
teeth and extended to a depth of approximately
1.6 mm. Etching of the surface revealed an as-
quenched martensite surface layer (thin, white
Fig. 19 Fixture made from AISI O1 tool that cracked during
layer), while the internal structure was grossly
oil quenching. The design is poor for liquid
quenching. Source: Ref 16

(a) (b)

Fig. 20 Threaded part made from AISI W2 carbon tool steel that cracked during quenching at an undercut at the base of the threads.
Source: Ref 16
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Component Design / 21

overaustenitized (note the retained austenite, (SEM) micrograph showing intergranular frac-
white, and coarse plate martensite). Both factors ture at a crack origin. Figure 26(c) is an SEM
led to cracking. If the EDM surface layer was not micrograph illustrating the brittle mode of
present, poor service life would have resulted failure associated with the fracture. Figure 26(d)
anyway due to poor microstructural condition. is a micrograph showing the typical con-
Example 8, in Fig. 24(a,b) (Ref 16), shows a centrations of nonmetallic stringers in the tube
41 mm (1.6 in.) square 1.4 kg (3 lb) AISI S5 material, and Fig. 26(e) is a micrograph show-
tool steel sledgehammer head that cracked dur- ing a quench crack with a heavy oxide. Although
ing quenching. A disk cut from the head was the steel met the compositional requirements
macroetched, revealing a heavily decarburized of SAE 4140, the sulfur level was 0.022%
surface (Fig. 24b). Such a condition promotes and would account for the formation of the sul-
quench cracking, particularly in liquid-quench- fide stringers observed. The combination of the
ing grades such as S5 (oil quenched), due to clustered, stringer-type inclusions and the
differential surface stresses. A deep stamp mark quenching conditions was too severe for this
also helped promote cracking. component geometry. The result was a high
Example 9 presents a situation with stamp incidence of quench cracks that rendered the
marks, such as that shown in Fig. 25 (Ref 16) parts useless.
that commonly promote quench cracks. This Example 11 presents the case of six wrist
was present on an air-quenched die made from pins designed especially for a high-performance
AISI S7 tool steel. In this case, the die was six-cylinder automotive engine (Ref 18) that
not tempered, another prime cause of quench failed after 4800 km (3000 mi) of normal
cracking. operation. The wrist pins were made of low-
Example 10, Fig. 26 (Ref 17) shows SAE carbon steel carburized on both the outer and
4140 grade steel seamless tubing that inner diameters. Two failed wrist pins were
failed because of quench cracks. During pro- submitted for examination. Sample 1 had frac-
duction of hydraulic cylinder housings being tured into three pieces (Fig. 27). Sample 2 had
fabricated from this steel seamless tubing, not fractured but exhibited circumferential
magnetic particle inspection indicated the pre- cracks on the surface of the central zone. Some
sence of circumferential and longitudinal cracks of the cracks had progressed for most of the 360
in a large number of cylinders. Figure 26(a) is a of the pin. Both samples showed some evidence
cross section of the tube showing extensive of scoring on the outer diameter.
cracking revealed by dye-penetrant inspection. The fractured faces of sample 1 were battered
Figure 26(b) is a scanning electron microscope but showed a fairly smooth annular ring around
both the outer and inner diameters, with a ductile
and fibrous core. The condition of the fractured
faces did not permit the definite establishment of
a fatigue failure. Figure 28 shows the dimen-
sions of a pin. The machining on the inside
diameter surface (indicated by B) was rela-
tively rough. The inner diameter had a raised
central section with a small fillet on either side
(indicated by A).
The core (Fig. 29) had a banded micro-
structure of ferrite and pearlite and contained
some MnS inclusions. The case (Fig. 30) showed
a tempered martensite matrix with a nearly
continuous grain-boundary network of cemen-
tite. Other cracks started on the surface caused
by the cementite network (Fig. 31). All cracks
progressed inward from the carburized surface
and circumferentially around the pin. Hardness
tests were performed on the cross section of
the pin, and the depth of case penetration to a
Fig. 21 Punch made of AISI S7 tool steel that cracked during
value of 50 HRC was measured. Results indi-
quenching because of rough machining marks
(a common cause of quench cracking). Source: Ref 16 cated a case depth of 0.89 to 1.0 mm (0.035
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22 / Failure Analysis of Heat Treated Steel Components

Fig. 22 (a) Surface of an AISI A4 primer cup plate showing spalling at one of the 3.2 mm diameter holes made by electrical discharge
machining (EDM) Original magnification: 2.5 . (b) Microstructures associated with the spalled hole in (a) caused by
improper EDM technique. Source: Ref 16
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Component Design / 23

to 0.040 in.). Determination of case depth by diameter, 111 mm (4.375 in.) grip length, and
visual examination on a microspecimen was 134.5 mm (5.294 in.) overall length. It was heat
0.89 mm (0.035 in.). treated to a tensile strength of 1240 to 1380 MPa
The principal causes of failure were inade- (180 to 200 ksi) and a hardness of 39 to 43 HRC
quate heat treatment of the case and a design that and then cadmium plated per QQ-P-416 type II
incorporated a raised central section of the inner class 2 (23 h bake).
diameter, which acted as a stress raiser. Rough The bolt fractured through the head-to-shank
machining of the inner diameter aggravated the fillet, a type of failure usually traceable to a
situation. The case with the cementite grain- poorly controlled manufacturing process, such
boundary network had not been heated to a high as heat treating (quench cracking) or chemical
enough temperature or long enough to take the plating (hydrogen embrittlement). In this in-
cementite into solution in the austenite. It was stance, delayed cracking caused by hydrogen
suspected that after slow cooling from the car- embrittlement was initially suspected, because
burizing temperature, pins were heated slightly the bolt reportedly had passed a magnetic par-
above the Ae1 prior to quenching and then given ticle inspection.
a low temper. The case was refined, and the core The fracture surface (Fig. 32), has two distinct
was unrefined. zones. Zone 1 was covered with a thick layer of
Thus, poor heat treatment, resulting in a brittle baked-on scale. The scale was removed and the
grain-boundary network of cementite, and a area examined using an SEM. The fracture
design that formed locations of stress con- topography shown in Fig. 33 is a combination of
centration in the inner diameter were the most tearing and intergranular hairline cracks, fea-
probable causes of failure. tures often associated with both hydrogen
The pins should be carburized to a double heat embrittlement and quench cracking. However,
treatment to refine both case and core and to the heavy adherent nature of the scale suggests
eliminate the brittle grain-boundary network of that it formed on the crack surface at high tem-
cementite. The pin design should be changed to perature, that is, during heat treating but before
eliminate the central raised section of the inner conventional quenching and subsequent cad-
diameter to avoid the fillets acting as stress rais- mium plating. Zone 2 is characterized by
ers. The machining of the inner diameter should equiaxed dimples, a common feature of ductile
be improved to avoid a rough surface. The depth tension overload (final stage of fracture). The
of the carburized case should be reduced to bolt head was cut through its centerline, and
approximately 0.38 mm (0.015 in.) to increase the crack cross section was metallographically
pin toughness. examined in a zone 1 area to further explore
Example 12 features cracking of an alloy whether failure was caused by hydrogen em-
steel bolt. A heat treated, cadmium-plated AISI brittlement (step cracking, no decarburization)
8740 steel bolt broke through the head-to- or quench cracking (temper scale). The crack
shank fillet while being handled during assem- had both heavy decarburization and temper scale
bly (Ref 19). Dimensions of the alloy steel bolt (Fig. 34), ruling out hydrogen embrittlement
(MSD 21250-10070) were 15.9 mm (0.625 in.) cracking. However, because quench cracking

(a) (b) (c)

Fig. 23 Plastic mold die made from AISI S7 tool steel that was found to be cracked before use. A crack followed the lower recessed
contour of the large gear teeth and had an average depth of 1.6 mm. Smaller cracks were also observed on the flat surfaces.
Source: Ref 16
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24 / Failure Analysis of Heat Treated Steel Components

occurs at relatively low temperatures, de-


carburization of the surface could only have
occurred if the crack was present prior to heat
treating. When asked to clarify the situation, the
bolt manufacturer admitted that the part had
been quenched in water from high temperatures
to verify dimension integrity and was returned to
the production lot, instead of being scrapped. It
was assumed that this uncontrolled quench
between hot heading and heat treating caused the
bolt to crack. Decarburization and scaling
occurred during subsequent heat treating of the
cracked part.
The crack in the bolt occurred subsequent to
the hot heading operation prior to the production
run. The bolt was quenched in water, dimen-
sionally inspected, and returned to the produc-
tion lot instead of being scrapped. The heavy
decarburization layer on the crack surface sup-
ports this scenario. A schematic of the quench
crack formation is shown in Fig. 35.
Example 13 involves hydrogen embrittle-
ment failure of several cadmium-plated carbon
steel socket head cap screws (Ref 20). The cap
screws were part of a slide valve assembly on a
regenerator line in a petrochemical plant. The
screws were exposed to Gulf Coast atmosphere,
with no exposure to a chemical process or sig-
nificant temperatures. The cap screws failed
during initial loading, while maintenance was
being performed on the valve. One failed and
one unfailed cap screw were sent to a laboratory
for analysis.
The as-received cap screws (Fig. 36) were
visually examined. One of the two screws had
fractured at the head-to-shank radius and was
missing its head. Both screws had been sec-
tioned in the threaded part of the shank (17th and
19th threads) approximately 25 mm (1.0 in.)

Fig. 24 (a) AISI S5 tool steel hammer head that cracked


during heat treatment. The fracture was caused by
quench cracking by the decarburized surface (b) and deep stamp
Fig. 25 Quench crack promoted by the presence of a deep,
sharp stamp mark in a die made of AISI S7 tool steel.
mark (arrows). Actual size. Source: Ref 16 Source: Ref 16
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Component Design / 25

(a) (b) (c)

(d) (e)

Fig. 26 A 4140 grade steel seamless tubing that failed because of quench cracks. (a) Cross section of tube showing extensive cracking
revealed by dye-penetrant inspection. (b) SEM micrograph showing intergranular fracture at a crack origin. Original mag-
nification: 90. (c) SEM micrograph illustrating the brittle mode of failure associated with the fracture. Original magnification: 50. (d)
Micrograph showing the typical concentrations of nonmetallic stringers in the tube material. (e) Micrograph showing a quench crack.
Note the intergranular branching and heavy oxide. Original magnification: 400 . Source: Ref 17

Fig. 28 Schematic of wrist pin. Note stress raisers at A and


the rough machining on surface B. Source: Ref 18

from the head of the screw. A crack was


observed in the first thread root below the
unthreaded part of the shank in the fractured
screw. The screws appeared to have been plated.
The crack in the fractured screw was opened to
reveal its fracture surfaces. Both the initial and
laboratory-opened fracture surfaces of the screw
were examined with a stereomicroscope at
magnifications of 7 to 45 and with an SEM at
much higher magnifications. The fracture sur-
Fig. 27 Failed wrist pin (sample 1), showing fractured faces. faces displayed similar fracture modes. Figure 37
Source: Ref 18 shows the overall fracture surface. Figure 38
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26 / Failure Analysis of Heat Treated Steel Components

shows a ductile fracture mode, which was To determine whether the cap screws were
observed over the majority of the fracture sur- plated, a fracture surface and the outside surface
faces. Figure 39 shows an intergranular fracture of the unthreaded part of the shank were cleaned
mode, which was observed around the circum- of oil and other deposits and analyzed using
ference of the screw, next to the plated surface. energy-dispersive x-ray spectroscopy (EDS) in
The part of the shank containing the fracture conjunction with SEM examination. The EDS
surfaces was metallurgically prepared in cross
section to look for secondary cracking and
pitting. No secondary cracking or pitting was
observed.

Fig. 31 Macrograph of sample 2 taken along the longitudinal


axis, showing cracks emanating from both the inner
and outer diameters. Unetched. Original magnification: 15.
Fig. 29 Central longitudinal zone of sample 2, showing Source: Ref 18
banded structure of white ferrite and dark unresolved
pearlite with MnS inclusions (light gray). 2% nital etch. Original
magnification: 200 . Source: Ref 18

Fig. 30 Surface structure along a longitudinal axis of speci-


men 2. The dark matrix is tempered martensite; the Fig. 32 Close-up view of the bolt-shank fracture surface.
light-colored grain-boundary network is cementite. Nital etch. Note the heavy scale on the zone 1 surface. Source:
Original magnification: 200 . Source: Ref 18 Ref 19
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Component Design / 27

Fig. 33 SEM fractography of a field on the zone 1 surface (see


Fig. 32). Note the combination of tearing and
intergranular fracture. Source: Ref 19

Fig. 34 Optical micrograph of a portion of the crack along a


cross section of the fractured bolt head. Note the
decarburization at the surface of the crack. Source: Ref 19

Fig. 35 Schematic of quench crack formation. Source: Ref 19

Fig. 37 Fracture surface of the crack in the failed screw after


Fig. 36 As-received socket head cap screws. Arrow indicates the crack was opened in the laboratory. L indicates
a secondary crack in the screw thread root. Source: the laboratory-induced overload region. Original magnification:
Ref 20 20. Source: Ref 20
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28 / Failure Analysis of Heat Treated Steel Components

Fig. 38 SEM micrograph showing a ductile fracture mode Fig. 39 SEM micrograph showing an intergranular fracture
mode, observed around the entire circumference at
observed over the majority of both fracture surfaces. both fractures in the screw. Structure at top is the base metal;
Original magnification: 1000 . Source: Ref 20 structure at bottom is cadmium plating. Original magnification:
1000 . Source: Ref 20

80.5 HRN, which converts to approximately


LT= 100 SECS
BASE METAL OF SCREW 40 HRC.
20K
The presence of a ductile fracture mode at the
Iron

core and an intergranular fracture mode at the


15K outer surface of a plated bolt is typical of
hydrogen embrittlement but could also be stress-
COUNTS

10K
corrosion cracking (SCC). However, SCC can
be eliminated, because the metallographic
results showed no evidence of secondary cracks
Manganese

5000 or other corrosion mechanisms, such as pitting.


Iron

Many hydrogen embrittlement mechanisms


0 have been proposed, but none is universally
0.000 1.000 2.000 3.000 4.000 5.000 6.000 7.000 8.000 9.000 10.000 accepted. However, the phenomenon of hydro-
(a) ENERGY keV gen embrittlement is widely known. The pre-
LT= 100 SECS sence of hydrogen in steel reduces the ductility
15K PLATING ON THE SCREWS SURFACE of the steel and causes premature failure under a
Cadmium

static load. The time for failure depends on


the stress applied to the component and the
Cadmium

10K
amount of hydrogen that has diffused into the
COUNTS

steel. A component may fail initially when put


under load or may fail several weeks after being
loaded. Because of this characteristic, hydrogen
Cadmium

5000
Cadmium

embrittlement is sometimes called hydrogen-


Cadmium

induced delayed failure.


Electroplating is a common cause of hydro-
0 gen embrittlement in bolts and screws, because
0.000 1.000 2.000 3.000 4.000 5.000 6.000 7.000 8.000 9.000 10.000
(b) ENERGY keV hydrogen is evolved (or liberated) during the
process. The screws had been plated, and be-
Fig. 40 Energy-dispersive x-ray spectroscopy spectra of (a) cause no other source of hydrogen was iden-
the base metal of the screw and (b) the plating on the tified, it is likely that the plating process was the
outside surface. Source: Ref 20
source of the hydrogen.
After most plating processes, bolts and screws
results are shown in Fig. 40. It was determined are usually baked for several hours at 190  C
that the screws were plated with cadmium. (375  F) to diffuse any hydrogen out of the steel.
Superficial Rockwell hardness measurements However, when a bolt or screw is cadmium
were taken on the metallographic section. The plated, it requires a much longer time (approxi-
average hardness for the failed cap screw was mately 24 h) for baking, because hydrogen
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Component Design / 29

diffuses less readily through cadmium than other systematic component design process. The
electrodeposited metals. In the case of the cap typical phases of component design include
screws, the screws either were not baked at all or planning and requirements definition, concept
were not baked for a sufficient period of time design, detail design, and test and validation.
and/or at a high enough temperature. The component is designed to provide a specific
The cap screws failed because of hydrogen mechanical, thermal, and chemical function
embrittlement. The most probable root cause throughout its life cycle and is often limited by
was absence of baking or insufficient baking space, cost, and safety considerations. The
of the cap screws after the cadmium plating selection of materials and manufacturing pro-
process. cesses for a cost-effective component design is a
To eliminate the possibility of future hydro- complex process and often involves iterative
gen embrittlement failures, the screws should decision making. The iterative nature of design
be baked at approximately 190  C (375  F) requires a continuous analysis and redesign
for 24 h. process.
Process design employs stress-analysis tools
with stress-concentration factors, design rules
Heat Treatment Design based on experimental data, material property
databases, and mechanical properties resulting
As was analyzed in previous sections, heat from a broad range of heat treatment processes.
treatments are a series of operations in the course Computer modeling is a valuable design tool for
of which a solid ferrous product is totally or heat treated components. A computer process
partially exposed to thermal cycles to achieve simulation model allows a particular design to
the desired change in structures and properties be tested under a specific set of process condi-
(Ref 2). The chemical composition of the tions. The computer software can graphically
material may possibly be modified during these display not only the resulting residual stresses
operations (thermochemical treatment). and distortions in the component but also the
In addition to the ability of the heat treatment associated transient evolution of temperature,
to achieve desired mechanical properties, heat metallurgical phases, volume changes, and
treatment also produces dimensional changes stresses.
and residual-stress patterns that, in some cases, Regardless of the procedure used for devel-
can lead to component cracking and distortions. oping the design, at the end of the design pro-
In the following section, a procedure is ana- cess, the required quality of the product should
lyzed to improve the performance of the design be defined and then described in a technical
process. A typical component manufacturing document, definitive layout, or final design
process includes metalworking, machining, or intended to accomplish the product manu-
other forming operations, followed by heat facturing. Only the minimum quality needed
treatment. for the product to perform the function intended
Different types of heat treatment of steels should be specified. Overspecifying and in-
are usually employed by industry: hardening, cluding restrictive features in the quality des-
austenitization, annealing, normalizing, stress cription can cause delays and increase costs to
relieving, quenching and tempering, and aus- the buyer.
tempering. The design process requires developing
Heat treatment processes include component operational definitions. Operational definitions
heatup, holding at temperature for through-heat are, for example, a specific test of a piece of
solutionizing, or thermochemical treatments material or criterion for judgment. Without
such as carburizing or nitriding, quenching from operational definitions, a specification is mean-
elevated temperature, postquench tempering, or ingless. A specification for heat treatment con-
aging treatment. All the steps can influence taining the clause Avoid long, thin sections
dimensional changes, residual-stress patterns, requires operational meaning of long, thin
and cracking in heat treated components. section. This definition depends greatly on the
quenching media; however, any section length
greater than 15 times the diameter is almost
The Process of Component Design always characterized as such, and the slightest
In order to avoid failures associated with nonuniformity in quench will cause it to distort.
heat treatments, it is necessary to develop a As the quenching medium becomes more severe

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