HANOI UNIVERSITY OF TECHNOLOGY

ONE LOVE. ONE FUTURE

CHAPTER 4. HEAT TREATMENT OF STEEL

MSE2468

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 Chapter 4. Heat treatment
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 Chapter 4. Heat treatment
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4.1. Concept of heat treatment

4.2. Pre-heat treatment. Annealing and normalizing
4.3. Quenching and tempering
4.4. Surface hardening of steels

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 4.1. Concept of heat treatment
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Heat treatment process

a) Definition: Heat treatment of steel is heating steels to a specified temperature, soaking, and
cooling at an appropriate rate to change the structure of steel  change the properties as req
uired.
Features:
- Non-melting and deforming
- Evaluation by the result of changes in microstructures and properties
b) Characteristic factors
- The main parameters:
+ Heating temperature, T [oC]
+ Soaking time, t[h]
+ Cooling rate; [oC/s]
- Evaluation criteria
+ Microstructures (phase structures and
distributions, the depth of hardening layer …)
+ Hardness, strength, ductility, toughness
+ Warping and deformation

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 4.1. Concept of heat treatment
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Heat treatment process

c) Classification of heat treatment:
- Heat treatment: Only using heat to change the microstructures and pro
perties, including annealing, normalizing, quenching + tempering
- Thermo-Chemical treatment: combining infiltration of elements to ch
ange the chemical composition of the surface layer and heat treatment, i
mproving mechanical properties: permeation C, C-N, Al, Co, B ...
- Thermomechanical treatment: combining plastic deformation in the a
ustenitic state and heat treatment to create a fine, fine-grained structure
s with the highest synthetic mechanical properties.
The role of heat treatment in mechanical production
- Increase hardness, wear resistance and durability of steel: increase servi
ce life of products;
- Technological improvement: Preliminary heat treatment creates mecha
nical properties suitable for machining conditions.

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 4.1. Concept of heat treatment
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4.1.1. Structures obtained in the heating and cooling

Formation of austenite: P  
Based on phase diagram Fe-Fe3C:
- T < Ac1: Non-transformation
- T = Ac1: phase transformation P  
[Fe + Xe]0,8%C  Fe(C)0,8%C
- Above GSE line: Only phase, 
Temperature. C

Finishing transformation
Transformational characteristics P  
As higher heating rate V, as higher start
and finish temperature, as shorter time of
Starting transformation transformation:
V2 >V1 => a2>a1; b2>b1
Time, min

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 4.1. Concept of heat treatment
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Formation of austenite
Austenite grain size: Smaller austenite grain size  smaller grain of
pearlite structure after cooling and better mechanical properties.
Transformation mechanism P  
- Nucleation at F and Xe boundary
- Nucleation growth is similar to crystallization

Transformation mechanism P   makes grain structure smaller

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 4.1. Concept of heat treatment
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Transformation to form austenite

The austenitic grain size depends on:
- Initial grain size of pearlite
- Increase Vh: smaller grain

Temperature. C
- Increase Th: bigger grain

Austenite
- Increase s: bigger grain
Notes: There are steels with small grain-
like structure and steels with big grain-

Pearlite
like structure.
Size
Purpose of soaking:
- Uniform temperature of the entire section
- Completely phase transformation
- Uniform chemical composition in austenitic phase
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 4.1. Concept of heat treatment
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4.1.2. Transformation of austenite with a slow cooling rate

a) Isothermal transformation Stable austenite
Unstable Pearlite
TTT Diagram of the eutectoid steel Sorbite
austenite

Temperature. C
[1]: stable austenite, [2]: unstable austenite
[3]: austenite is transforming Troostite
Mixed F+Fe3C

[4]: Mixed F+Fe3C, [5]: M + r

- Isothermal transformation: Bainite

+ T = 7000C: Pearlite, 10-15 HRC Ms

+ T = 6500C: Sorbite, 25-35 HRC

+ T = 500-6000C Troostite, 40-45 HRC Martensite + Retained austenite
+ T = 250-4500C Bainite, 50-55 HRC Mf
- Features:
+ P, S, T, B all are the mixture of eutectoid F and
Fe3C. As the supercooling temperature Time, s
increases, as the number of nucleation
increases, as finer structure and higher + By isothermal transformation, microstructure is
hardness obtained uniformly over the entire cross-section

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 4.1. Concept of heat treatment
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4.1.2. Transformation of austenite with a slow cooling rate

b) The austenite decomposition in continuous slow cooling transformation
- V1  Pearlite
Stable austenite
- V2  Sorbite

Temperature. C
Pearlite
Sorbite
- V3  Troostite
- V4  Bainite + Martensite Troostite
- VC  Critical Cooling Rate
- V5  Martensite
Ms Bainite
Features:
- Phase microstructures are dependent on VC
Vcooling
- With large machine parts, structures are Time, s
not uniform
- Only get completely bainite structure by
isothermal transformation
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4.1.2. Transformation of austenite with a slow cooling rate

c) Transformation of austenite of hypo-
eutectoid and hyper-eutectoid steels Stable austenite F or Fe3C A3 or Acm

- The C-curve has an extra branch,

Temperature. C
Pearlite
moves left a little bit Sorbite

Mixed F+Fe3C
- Cooling with slow cooling rate V2, F
Troostite
is first formed.
Bainite
- With higher cooling rate, P, S, T, B Ms
can be formed. M + r
Mf

Time, s

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 4.1. Concept of heat treatment
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4.1.3. Martensite transformation – High cooling rate

V > VC:   M
a) Martensite characteristics
- Supersaturated solid solution of carbon in Fe
- A body-centered tetragonal structure, c/a =
1.002-1.06
- With large lattice distortion, then M have high
hardness Austenite

b) Characteristics of M transformation:

Temperature. C
- Occurs when rapid continuous cooling of
austenite, V > VCC
- Diffusionless transformation
- Occurs in a wide temperature range between, Ms
Ms (Martensite start) and Mf (Martensite finish) VC
M + r
VCC
- Incomplete transformation: Martensite and
retained austenite Time, s

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 4.1. Concept of heat treatment
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Martensite transformation
c) Martensite properties

Hardness, HRC
- Its hardness is dependent on the
carbon content, up to about 0.6 wt%
+ %C < 0.2%: < 30HRC
+ %C = 0.4-0.5%: > 50HRC
+ %C > 0.6%: > 60HRC
- M is brittle, due to: r

Martensite, %
+ Small platelike (or needlelike)
martensite
+ Small residual stresses because
rapid cooling – thermal stress.
Ms Mf
Temperature. C

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 4.1. Concept of heat treatment
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Tempering transformation
a) Why tempering?
- In the as-quenched state, martensite, is very hard, so brittle, having internal stresses. The
ductility and toughness of martensite may be enhanced and these internal stresses relieved by
a heat treatment known as tempering.
- After quenching, the steel has a structure consisting of martensite and retained austenitic.
This is an unstable structure, which tends to turn into a stable structure when the steel is
tempered : (M + r)  MT  F + Xe
b) Stages of transformation for eutectoid steel after M transformation (0.8%C)
Stage I (T < 2000C):
- 80 < T < 2000C: -carbide Fe2.0-2.4C forms from martensite ; r non-transform
Fe (C ) 0.8  [ Fe (C ) 0.250.4  Fe2.0 2.4C ]

Microstructure: Tempered martensite and retained austenite: MT + r

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 4.1. Concept of heat treatment
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Tempering transformation
b) Stages of transformation for eutectoid steel after M transformation (0.8%C)
Stage II (200 - 2600C)
- The martensite and retained austenite in the steel decomposes into ferrite
and cementite
Fe (C ) 0.8  [ Fe (C ) 0.150.2  Fe2.0 2.4C ]
Fe (C ) 0.8  [ Fe (C ) 0 ,15  0 , 2  Fe 2.0  2.4 C ]
- Hardness of Mr is less than hardness of Mq
Stage III (260 - 4000C):
- MT transforms into F + Xe
Fe(C)0.15-0.2  Fe + Fe3C (particles) Fine grain structure of pearlite
Fe2.0-2.4(C)  Fe3C (particles) known as tempered troostite:
high elastic limit and non
residual stress.

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 4.1. Concept of heat treatment
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Tempering transformation
b) Stages of transformation for eutectoid steel after M transformation (0.8%C)
Stage IV (> 4000C)
- Carbide Fe3C is coarsening (coalescence of the cementite particles)
- At 500-6000C, tempered sorbite exists, having el, ak maximum
- At A1 (7270C): F + Fe3C (Pparticle)
Summary:
- The decomposition process of Mq occurs during tempering lead to reduce hardness
and relieve internal stress of steels.
- Different tempering temperature leads to different microstructures of steel.
- With increasing temperature, the hardness decreases, which corresponds to the
growth and coalescence of the cementite particles

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 4.2. Pre-heat treatment. Annealing and normalizing
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Define: Preliminary heat treatment is a heat treatment method to create suitable stru
ctures and mechanical properties for further (machining) processing
a) Annealing
It is a heat treatment process in which a material is exposed to an elevated temperat
ure, kept there for some time and then slowly cooled, usually, with the furnace. The
microstructure is according to the phase diagram, which is low strength and soft.
Purpose of annealing:
- Produce specific microstructure
- To increase softness
- To relieve (relief) internal or residual stresses
- Uniform chemical composition
- Small grain size
Classification: two groups, phase transformation annealing and annealing without p
hase transformation

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 4.2. Pre-heat treatment. Annealing and normalizing
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The critical temperatures

corresponding to phase transition points in steel
A1, A3, Acm
- A1: PSK (7270C),   P [F + Xe] Acm
- A3: GS (911-7270C),    +  hypo-eutectoid
steels A
3 A
- Acm: SE (727-11470C), hyper-eutectoid steels
1
- Heating “c”, cooling “r”

P[+Fe3C]
Ac1 > A1 > Ar1; Ac3 > A3 > Ar3;
Accm > Acm > Arcm

A3 = 727 + 230(0,8-x) 0C; Acm = 727 + 313(y-0,8) 0C; (x, y là %C)

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 4.2. Pre-heat treatment. Annealing and normalizing
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a) Annealing

Phase transformation annealing:

+ T > Ac1: austenite transformation   P:
reduce grain size
+ Full annealing: (apply for hypoeutectoi
d steels)
T = Ac3 + (20-300C)
Microstructures: F + Pplatelike
Purpose: small grain size, decrease the h
ardness of steel (160-200HB), increase t
he ductility of steel
+ Partial annealing (apply for hypereutec
toid steels, %C > 0.7%)
T = Ac1 + (20-300C)
Particle pearlite structure
Purpose: decrease the hardness of steel (
< 200HB),

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 4.2. Pre-heat treatment. Annealing and normalizing
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a) Annealing
Phase transformation annealing:
+ Spheroidizing: It is long soaking time heatin
g just below the eutectoid temperature of the
727°C (below A1) by about 25-30°C. This w
ill produce soft spheroidite structure that coul
d be needed in subsequent forming operation
s. It is usually performed for plain carbon ste
el of more than 0.45wt%. The heating temper
ature range and the plain carbon steel compo
sition that used by this process

Time

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 4.2. Pre-heat treatment. Annealing and normalizing
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a) Annealing
Phase transformation annealing:
+ Isothermal annealing:
• Hypoeutectoid steel is heated above th
e upper critical temperature
• Temp maintained for a time
• Cooled fast till temp is brought to 500C
– 1000C below lower critical temperatu
re 6000C- 7000C
• Hold the temp to decompose into com
plete pearlite
• Cooled again
• Increase machinability ↑

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 4.2. Pre-heat treatment. Annealing and normalizing
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a) Annealing

Phase transformation annealing:

+ Diffusion annealing:
• Heating upto 11000C – 12000C to allow easy diffusion and rapid growth of
austenitic grain
• Holding the temp: 10-15h
• Cooled to 8000C
• Holding the temp
• Further cooling in air

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 4.2. Pre-heat treatment. Annealing and normalizing
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a) Annealing
Annealing without phase transformation:
+ T < Ac1: Non-transformation
+ Stress relief annealing: (200-6000C): relieves stresses for parts after cold wo
rking, machining, welding, casting (avoid recrystallization, encourage recover
y, and no change in microstructure).
+ Recrystallization (Tra > Tre): after cold working (Ductility  + Hardness )

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 4.2. Pre-heat treatment. Annealing and normalizing
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b) Normalizing
A heat treatment process consisting of austenitizing above
critical temperature, holding temperature, and then slow co
oling (usually in air)
• Purpose:
- Increase hardness for low carbon steels, (%C <0,25%), fo
r better machinability of low carbon steels.
- Produce a fine-grained, uniformly distributed, ferrite-pear
lite structure.
- Destroy the network cementite structure of hyper eutectoi
d steels

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 4.2. Pre-heat treatment. Annealing and normalizing
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b) Normalizing
Stages of Normalizing
 In order to achieve the objectives of
normalizing, heat-treated steel alloys are
heated up to austenite region
(austenitizing) according to the steel
composition as the following
For hypoeutectoid steels:
T = A3 + (30-50)°C

For hypereutectoid steels:

T = Acm + (30-50)°C
 Then, the treatment is completed by
cooling into air after predetermined
soaking time of 10-20 minutes for every
10 mm material thickness
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 4.3. Quenching and Tempering
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1. Quenching
 Quenching process is the heat treatment process with heating steel until austenitic
structure then rapid cooling at rate fast enough to prevent the transformation to
any product phase(s) differ than martensite

 The carbon atoms remain forcibly dissolved in the microstructure as a result of

quenching and distort the lattice structure (martensite microstructure)

Microstructural change during quenching

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 4.3. Quenching and Tempering
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1. Quenching (conti…)
Determine quenching Temp
For carbon steels
For hypoeutectoid steels:
T = A3 + (30-50)°C

For hypereutectoid steels:

T = A1 + (30-50)°C

For low alloy steels

T Alloy Steel = T equivalent carbon steel +

(10-20)°C

For other alloy steels

T Alloy Steel  Find in Handbook

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 4.3. Quenching and tempering
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1. Quenching
The Critical Cooling Rate: is the minimum cooling rate for the martensite
transformation to occur when the steel is hardened.   M;
VCC = (A1-Tm)/m Tm, m temp and time corresponding to the least stable austenite

- Factors affecting on VCC: Austenite

+ Almost all alloying elements

Temperature. C
dissolve into austenite, VCC 
+ Homogenization of chemical
composition and structure of
austenite, VCC 
+ Large austenite grain size, VCC  Vc
+ Solid compounds insoluble in
austenite, VCC  M + R
Time, s

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 4.3. Quenching and tempering
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1. Quenching
Hardenability is the ability of the steel to harden by the formation of martensite o
n quenching. The hardenability determines the depth of hardening obtained on qu
enching, which is usually specified as the distance below the surface where the
amount of martensite has been reduced to 50% Martensite (and 50% Troostite)
- Influencing factors :
+ Critical cooling rate
+ Cooling rate of specimen

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 4.3. Quenching and tempering
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1. Quenching
Hardenability vs Hardness
- Hardenability: %alloying elements , hardenability 
- Hardness: %C , hardness 

Hardness Hardness Hardness

Distance, mm Distance, mm Distance, mm

0.4%C + 1%Cr
0.4%C 0.4%C + 1%Cr
+ 0.18%Mo
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 4.3. Quenching and tempering
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a) Quenching Austenite

Temperature. C
Methods of bulk quenching and applications
Direct quenching in one medium a):
+ A proper quenching medium
+ Martensite microstructure
+ Distortionless
Ms
+ Economical and safety
Two medium quenching b):
+ Different cooling rate Time, s
+ Stage I: quick cooling rate (water, saft
solution…) until 300-4000C Queching medium Cooling rate (oC/s)
(600 - 500)0C (300 - 200)0C
+ Stage II: slow cooling rate (oil, air…) Cold water, (10-20)0C 600 - 500 270
+ Advs: Distortionless and no microcrak Hot water, 500C 100 270
+ Disadvs: difficult to determine Solution (10%NaCl, 10%Na 1100 - 1200 300
OH), 200C
transition time bewteen two medium
Oil 100 - 150 20 - 25
quenching.
Compressed air 35 - 30 15 - 10

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 4.3. Quenching and tempering
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a) Quenching
Methods of bulk quenching and applications
Salt quenching c):
Austenite
+ Quickly cool into molten salt having a

Temperature. C
temperature higher than Ms point about 50-1000C
and then cooled in air, martensite transformation
occurs.
+ Ads: overcome the difficulty of determining
transition time of two medium quenching: higher
hardnes, small residual stresses and distortion.
+ Disads: low productivity only applies to steel Ms
with small Vcc and small details: drill bits, taps,
milling cutters...
Isothermal quenching d): Time, s
+ The difference with salt quenching is that soaking time is longer
+ 250-4000C: bainite, 500-6000C: troostite
+ After isothermal quenching, no need to temper.
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 4.3. Quenching and tempering
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a) Quenching
Methods of bulk quenching and applications
Cryogenic hardening ( for reducing retained austenite)
- Apply for steel with high carbon and alloying content with low Ms point
Quenching and self tempering method
Deformation
Partially heating (usually the working
Parts)
Thermomechanical treatment Deformation
- Combine: Heating and deforming
- High temp: deforming, T > A3
- Low temp: T < Trc

Time, s Time, s

a) High temp b) Low temp

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 4.3. Quenching and tempering
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b) Tempering
Define:
- Mandatory operations for steels after quenching
- Heat the steel to a specified temp (< Ac1), and then cool in air
Purpose:
- Reduce or relieve residual stresses to avoid brittleness
- Adjust mechanical properties to suit working conditions
Classification of tempering:
Low tempering (150-2500C):
+ Microstructure: Mtemperimg
+ It is done to reduce brittleness
+ Hardness of MT is slightly smaller than that of Mq
+ Low temperature tempering is applied to components, which undergo surface hardening
treatments and case hardening treatments, such as carburizing or carbonitriding.

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 4.3. Quenching and tempering
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b) Tempering
Classification of tempering:
- Low tempering (150-2500C):
+ Tempered plain carbon steels (0.6 to 1.3% C)
have a hardness of HRC 58 to 63.
+ This treatment is given to tools of plain carbo
n and low alloy steels, where properties deve
loped are high cutting-ability, wear and abras
ion resistance with some toughness.

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 4.3. Quenching and tempering
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b) Tempering
Classification of tempering:
Medium tempering (350-4500C), for steels with %C = (0.55-0.65%)
+ Troostite microstructure is observed with development of high elastic limit with goo
d toughness and hardness in range of HRC 40-50.
+ Because of high elastic limit and endurance limit, these are mainly used for springs
of both types, coil and laminated, and for dies.
+ Care must be exercised to avoid 350°C embrittlement.

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 4.3. Quenching and tempering
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b) Tempering
Classification of tempering:
High tempering (500-6500C)
+ Produces fine grains in plain C and low alloy steels (0.3-0.5%C), resulting in increase in str
ength and toughness in machine component.
+ Sorbite structure after tempering
+ After hardening, combining high yield strength and high tensile strength with good notch to
ughness, ductility.
Applications: Gear, gearbox, cranksaft, connecting rod.

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 4.3. Quenching and tempering
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Plain C steels, 0,45%C with different heat treatment methods

Type of heat treatment Mechanical properties
b, MPa 0,2, MPa , % , % aK, kJ/m2
Annealing, 8400C 530 280 32,5 50 900
Normalizing, 8500C 650 320 15 40 500
Quenching, 8500C + Tempering, 2000C 1100 720 8 12 300
Quenching, 8500C + Tempering, 6500C 720 450 22 55 1400

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 4.3. Quenching and tempering
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Defects caused by heat treatment

a) Distortion and crack:
- Reasons:
+ Thermal stresses when cooling, heating
+ Transformation stresses: VM > V
- Remedies:
+ Heating and cooling with proper rates
+ Cooling according to the principle: dip vertical
ly, the thicker part is quenched first.
+ For thin parts, it needs to be clamped tightly w
hen quenching and tempering
+ Warped parts can be straightened by pressing.

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 4.3. Quenching and tempering
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Defects caused by heat treatment

b) Oxidation and decarbonization
- Reasons:
+ Heating medium contains: O2, CO2, H2O
- Remedies:
+ Workpieces is covered with charcoal
+ Using the gases supplied into the furnace chamber: Ar, N2; CO2/CO, H2
O/H2, H2/CH4
+ Heating in a vacuum furnace with10-2-10-4 mmHg

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 4.4. Surface hardening of steels
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Concepts
Surface durability/case hardening/surface hardening
 is a process by which a steel is given a hard, wear resistant surface, while
retaining a ductile but tougher interior

 Surface hardening is usually done for the following reasons

 To improve wear resistance

 To improve resistance to high contact stresses

 To improve fracture toughness

 To improve fatigue resistance, and, sometimes,

 To improve corrosion resistance

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 4.4. Surface hardening of steels
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Application to parts:

- Gears - Bearings - Valves

- Cams - Hand tools - Rolls
- Shafts - Machine tools - Bearing races

Surface hardening techniques can be classified into two major categories:

1. Processes that change the surface chemical composition (case hardening or

thermochemical processes)
2. Processes that do not change the surface chemical composition (selective
surface hardening or local thermal surface hardening)

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 4.4. Surface hardening of steels
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Local thermal surface hardening/Selective Surface Hardening

 These processes are also called localised heat treatment because
only the surface is austenitised and quenched to produce martensite
 The basic requirement for these processes is that the steel must have
sufficient carbon and hardenability to achieve the required hardness
at the surface (medium carbon steels are usually suited for these
processes)
 Selective surface hardening are classified according to the heating
source into:
1. Induction hardening
2. Laser hardening
3. Electron-beam heat-treating
4. Flame hardening

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 4.4. Surface hardening of steels
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Induction hardening
Process:
 Induced current.
 Metal will be surrounded in a quickly
changing magnetic field
 Heating temperature: 900oC – 950oC
 Quench: water/oil
Applications: Common heat treatment process:
 Crankshafts. Step 1:
 Gears.  Bulk quenching + HT Tempering: for the whole
 Automotive product
components which Step 2:
require high core  Induction hardening + LT Tempering: for the surface
strength only

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 4.4. Surface hardening of steels
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Carburizing

 The steel is heated in contact with a substance that

has a high carbon content
 The steel is held at a temperature above the UCT
(850–950oC) for a suitable period of time
 Then quenched rapidly to produce a hardened
surface layer or “case” over a softer and tougher core
 The steel is then tempered to the desired hardness

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 4.4. Surface hardening of steels
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Carburizing
CARBURIZING PROCESSES

GAS CARBURIZING

PACK CARBURIZING LIQUID

CARBURIZING
 Carburizing is done on low C steel (< 0.25 %)
 The carburizing time varies between (4 – 70) hours
 The length to time the steel is left in the furnace determines the depth of carburizing
 Case depths ranging from 0.08 mm - 6.4 mm may be specified, depending on the
service requirements of the product
 The carburizing process does not harden the steel, it only increases the carbon
content to a desired depth below the surface

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 4.4. Surface hardening of steels
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Pack Carburizing
 In pack carburizing, the steel piece
is packed in a steel container and
completely surrounded with
charcoal

 The charcoal is treated with

BaCO3, which promotes the
formation of CO2.

 CO reacts with the low carbon steel

surface to form atomic C, which
diffuses into the steel

 Quenching is difficult in pack

carburizing. Usually, the part is
allowed to cool slowly and then
hardened and tempered

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 4.4. Surface hardening of steels
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Gas Carburizing
Carburizing is done with carbonaceous gases, such as: methane, ethane,
natural gas or propane

The advantage of gas carburizing is that the steel can be quenched directly
from the carburizing temperature

Liquid Carburizing
Carburizing is done in liquid salts, which contain compounds such as
NaCN, Ba(CN)2…

Shorter carburizing time compared to pack and gas carburizing

Environmental hazards of the salts used

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 4.4. Surface hardening of steels
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2. Nitriding
Advantages
 Better retention of hardness at elevated temperature
 Greater fatigue strength under corrosive conditions
 Less warping or distortion of parts treated
 Higher endurance limit under bending stress
 Greater resistance to wear and corrosion
 Greater surface hardness
Disadvantages
 High furnace costs due to the long time of treatment
 Necessity of using special alloy steels

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 4.4. Surface hardening of steels
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2. Nitriding

NITRIDING PROCESSES

GAS NITRIDING

LIQUID NITRIDING PLASMA NITRIDING

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 4.4. Surface hardening of steels
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Gas Nitriding

Nitriding gas is
ammonia (NH3)
Temperature:
(350-680)oC
3
NH 3  N  H2
2
6594
ln K1  14,050 
T

To control case nitriding  change Kn values

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 4.4. Surface hardening of steels
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Plasma Nitriding

 Nitriding gas is N2 ( +
H2, Ar2, CH4,….)
 Temperature: < 600oC

Liquid Nitriding
 Salts: NaCN, NaCNO…..

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